U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

1 

49–010 

" ! SENATE 109TH CONGRESS

1st Session 

REPORT

2005

109–181 

Calendar No. 291 

BALLAST WATER MANAGEMENT ACT OF 

2005 

R E P O R T 

OF THE

COMMITTEE ON COMMERCE, SCIENCE, AND 

TRANSPORTATION 

ON

S. 363 

NOVEMBER 16, 2005.—Ordered to be printed 


E:\Seals\Congress.#13
(II) 

SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION 

ONE HUNDRED NINTH CONGRESS

FIRST SESSION

TED STEVENS, Alaska, Chairman 

DANIEL K. INOUYE, Hawaii, Co-Chairman 

JOHN MCCAIN, Arizona 

CONRAD BURNS, Montana 

TRENT LOTT, Mississippi 

KAY BAILEY HUTCHISON, Texas 

OLYMPIA J. SNOWE, Maine 

GORDON H. SMITH, Oregon 

JOHN ENSIGN, Nevada 

GEORGE ALLEN, Virginia 

JOHN E. SUNUNU, New Hampshire 

JIM DEMINT, South Carolina 

DAVID VITTER, Louisiana 

JOHN D. ROCKEFELLER IV, West Virginia 

JOHN F. KERRY, Massachusetts 

BYRON L. DORGAN, North Dakota 

BARBARA BOXER, California 

BILL NELSON, Florida 

MARIA CANTWELL, Washington 

FRANK LAUTENBERG, New Jersey 

E. BENJAMIN NELSON, Nebraska 

MARK PRYOR, Arkansas 

LISA SUTHERLAND, Staff Director 

CHRISTINE DRAGER KURTH, Deputy Staff Director 

DAVID RUSSELL, Chief Counsel 

MARGARET CUMMISKY, Democratic Staff Director and Chief Counsel 

SAMUEL WHITEHORN, Democratic Deputy Staff Director and General Counsel 

Calendar No. 291 

109TH CONGRESS REPORT " ! SENATE 1st Session 109–181 

BALLAST WATER MANAGEMENT ACT OF 2005 

NOVEMBER 16, 2005.—Ordered to be printed 

Mr. STEVENS, from the Committee on Commerce, Science, and 

Transportation, submitted the following 

R E P O R T 

[To accompany S. 363] 

The Committee on Commerce, Science, and Transportation, to 

which was referred the bill (S. 363) to amend the Nonindigenous 

Aquatic Nuisance Prevention and Control Act of 1990 to establish 

vessel ballast water management requirements, and for other purposes, having considered the same, reports favorably thereon with 

an amendment (in the nature of a substitute) and recommends that 

the bill (as amended) do pass. 

PURPOSE OF THE BILL

The purpose of S. 363 is to establish a comprehensive Federal 

program for management of aquatic invasive species in ballast 

water. The bill provides that the United States Coast Guard, currently the lead agency for the existing Federal program addressing 

this issue, will continue in this role. The bill authorizes $20 million 

in annual appropriations for the Coast Guard for fiscal years 2006 

through 2010 to implement its responsibilities under the legislation. The bill also authorizes $5 million in annual appropriations 

for the Federal Ballast Water Demonstration Project to support development of innovative ballast water treatment technologies. 

BACKGROUND AND NEEDS

The United States Commission on Ocean Policy identified ballast 

water as a major pathway for introduction of aquatic invasive species. Ships carry ballast water to aid in stability and structural integrity. Ships will take on ballast water in one port, and carry such 

ballast to other ports, where it is discharged into harbors—along 

with non-native species that are contained in the ballast water. 

2 

Some of these organisms may thrive in their new environment, becoming invasive and destructive to local ecosystems. The only practice now required to address this issue—exchanging ballast water 

in the open ocean—has proven to be ineffective. The Commission 

recognized that there are other vectors for aquatic invasive species, 

but made its strongest recommendations on improving the Coast 

Guard’s ballast water management program, including the adoption of uniform, mandatory national standards for ballast water 

treatment. 

It has been estimated that between 7,000 and 10,000 aquatic 

species travel around the globe each day in the ballast water of 

cargo ships. Vessels discharge more than 2 billion gallons of ballast 

water into U.S. waters each year. Invasive species may be introduced to the U.S. from foreign ports, or may be transferred from 

one U.S. port to another through coastal trade. 

Virtually all coastal and Great Lakes States have experienced 

damage from invasive species. Some of the high profile invasions 

stemming from ballast water are the zebra mussel in the Great 

Lakes and the European green crab along the Pacific and Atlantic 

coasts. Other examples of significant impacts from invasive species 

from around the U.S. include: (1) the non-native Asian clam altered 

the ecology of San Francisco Bay in the 1980’s due to its efficiency 

at reproducing and filtering the native plankton, (2) the Asian 

whelk has established a foothold in the lower Chesapeake Bay and 

may threaten local oyster populations, and (3) the invasive sea 

squirt, Didemnum spp., has recently been found colonizing Georges 

Bank off New England and has led to concerns over impacts on the 

local scallop fishery. Additionally, the black coral populations in 

Hawaii are showing signs of stress that may be linked to invasive 

snowflake coral. Even inland States are being impacted by the 

spread of invasive species. For example, zebra mussels have now 

been found in 21 States: Alabama, Arkansas, Connecticut, Illinois, 

Indiana, Iowa, Kentucky, Louisiana, Michigan, Minnesota, Mississippi, Missouri, New York, Ohio, Oklahoma, Pennsylvania, Tennessee, Vermont, Washington, West Virginia, and Wisconsin. 

Damage to the U.S. environment and economy from aquatic 

invasive species includes the loss of native and commercially important species, significant altering of native ecosystems, interference with industrial operations, and the cost of mitigation and 

removal efforts. Estimates of the costs to the U.S. economy from 

these invasions range from millions to billions of dollars per year. 

Millions of dollars have been spent annually in combating the 

zebra mussel invasion in the Great Lakes alone, including efforts 

to unclog intake pipes and prevent further infestation. 

While ballast water is regarded as the most significant vector for 

ships in transporting aquatic invasive species, ships can transfer 

aquatic invasive species in other ways. These include transport on 

equipment, such as anchors and propellers, and on the external 

surfaces of hulls. 

CURRENT REGULATIONS AND PROGRAMS

The Nonindigenous Aquatic Nuisance Prevention and Control 

Act of 1990, as amended by the National Invasive Species Act of 

1996, requires ships to exchange their ballast water prior to entering the Great Lakes from outside the 200-mile Economic Exclusion 

3 

Zone (EEZ). The Coast Guard recently extended the application of 

these requirements nationally. However, ballast water exchange 

can be dangerous, and is often not carried out due to safety considerations. In addition, current authority does not address the introduction of non-native species from one U.S. port to another. 

Numerous Federal, State and international efforts are now focusing on the need to develop and utilize ballast water treatment technologies. However, the Coast Guard does not currently have the 

authority to require such treatment technologies, outside of the 

regulatory scheme which is focused on ballast water exchange. 

West Coast and Great Lakes States have passed or are looking 

at passing their own ballast water laws. The focus of these laws 

has been on ballast water exchange, but some States have passed 

or are beginning to consider treatment requirements. The Committee finds that the current patchwork of State laws is inadequate 

to address this issue effectively. Moreover, continuing to rely on 

ballast water exchange will not be effective in preventing new invasions. A national program establishing ballast water treatment is 

needed for these reasons, and to ensure that ships traveling from 

port to port are not subject to different State laws which would 

make compliance difficult, if not impossible. 

INTERNATIONAL MARITIME ORGANIZATION CONVENTION

In February of 2004, the International Maritime Organization 

(IMO) adopted a new ballast water Convention. This agreement set 

up a timetable for ships to meet new ballast water performance 

standards. These standards would prohibit ships from discharging 

ballast water with a concentration of more than 10 organisms per 

cubic meter or greater. Until the performance standards are followed, vessels would be required to exchange their ballast water 

offshore. The Coast Guard has testified that the 10 organisms per 

cubic meter standard may not be sufficient to adequately treat ballast water, and may be no more effective than ballast water exchange. At the IMO negotiations, the Coast Guard pushed for a 

standard of 0.01 organisms per cubic meter. The Coast Guard had 

included in the final IMO agreement a provision allowing countries 

to adopt more stringent domestic measures and has supported 

adopting a tougher standard than the IMO Convention in Federal 

law. 

The Convention must be ratified by at least 30 countries representing at least 35 percent of global shipping tonnage before it 

goes into effect; only 1 country has ratified the agreement. 

COLUMBIA RIVER AQUATIC NUISANCE SPECIES INITIATIVE

The Committee is interested in the ballast water program implemented in Oregon on the Columbia River and involving Portland 

State University’s Center for Lakes and Reservoirs, the Port of 

Portland, and the Port of Astoria. This project, also known as the 

Columbia River Aquatic Nuisance Species Initiative, is focused on 

developing prevention and management programs for one of the 

nation’s most important shipping and recreational rivers. 

4 

SUMMARY OF PROVISIONS

The bill would amend section 1101 of the Nonindigenous Aquatic 

Nuisance Prevention and Control Act of 1990 (16 U.S.C. 4711, et 

seq.) to establish a comprehensive national approach for addressing 

invasive species in ballast water. This new approach closely tracks 

with the requirements and structure of the ballast water Convention adopted by the IMO. 

The provisions of the bill would apply to vessels that are designed, constructed or adapted to carry ballast water. Certain vessels are excluded from the provisions of the bill, including vessels 

of the Armed Services that comply with a comparable program. 

Covered vessels would be required to have an approved ballast 

water management plan and keep a ballast water record book on 

board documenting their ballast water operations. Until required to 

adopt ballast water treatment technology, covered vessels would be 

required to conduct ballast water exchange in accordance with regulations prescribed by the Secretary of the department in which 

the Coast Guard is operating (the Secretary). Alternatively, vessels 

would be able to comply with this requirement by using ballast 

water treatment technology that is as effective as ballast water exchange, or implement the treatment requirements of the Act in an 

earlier timeframe. The Coast Guard would be required to establish 

guidelines within one year of enactment of the bill on what level 

of treatment would be at least as effective as ballast water exchange. The Committee views the timely completion of these guidelines as a priority. 

A number of exceptions are included in the requirements for ballast water exchange. First, the ballast water exchange requirements would not apply to discharges or uptakes of ballast water 

necessary to ensure the safety or stability of the vessel, its crew or 

its passengers. This exemption is important for certain vessel classes, such as many tug and barge operations. The Committee intends 

that the Coast Guard allow this exemption for specific vessels that 

are routinely unable to conduct exchange due to safety considerations, as opposed to allowing exemptions only on a voyage-by-voyage basis. Second, the provision addresses the problem of requiring 

ballast water exchange for vessels on short coastal voyages by allowing vessel operators to seek a waiver if conducting exchange 

would cause the operator substantial business hardship, as determined by the Secretary. Third, an exemption is provided for vessels 

operating exclusively between certain areas where the risk of introducing aquatic invasive species is insignificant, including vessels 

operating exclusively within the Great Lakes and between the 

main Hawaiian islands. Finally, the bill provides that existing regulations in place for the Great Lakes and the Hudson River north 

of the George Washington Bridge would not be interrupted until 

the bill’s requirements are fully phased in. 

Ballast water treatment requirements would be phased in for different vessels beginning in January 2009 depending on the ballast 

water capacity and age of a vessel. Like the IMO agreement, the 

bill sets forth performance standards for ballast water treatment. 

The bill includes a feasibility review process for the Coast Guard 

to evaluate whether technologies exist that would meet the performance standards. The process is to include specific criteria, inVerDate Aug 31 2005 06:31 Nov 20, 2005 Jkt 049010 PO 00000 Frm 00006 Fmt 6659 Sfmt 6602 E:\HR\OC\SR181.XXX SR181
5 

cluding the effectiveness of a technology, whether a technology has 

an adverse impact on the environment, and cost effectiveness. If 

the Coast Guard determines that compliance with the performance 

standards is not feasible, the Coast Guard is to extend the date of 

compliance up to two years and recommend action to ensure compliance with such schedule. If the Coast Guard determines that 

treatment technology exists that exceeds the performance standards, or that effective technology could be implemented earlier than 

the phase-in dates, the Coast Guard is to revise the standards and 

time frame for implementation accordingly. 

The Committee expects that the Coast Guard will develop efficient verification methodologies to evaluate the technical capabilities of ballast water treatment technologies, such as monitoring the 

presence or the lack of certain substances in the ballast water as 

a surrogate for evaluating the content of ballast water samples. 

The bill would require the Secretary, in consultation with States, 

to develop a list of vessels that pose a relatively high risk of introducing aquatic invasive species into the waters of the United 

States. In developing this list the Secretary should consider factors 

such as the origin of their voyages, the volume of ballast water 

they carry and the fact that they frequently discharge unexchanged 

or improperly exchanged ballast water pursuant to an exception 

under subsection (e)(3). The Committee expects that the Coast 

Guard would, as quickly as possible, develop a process and timeframe for States to submit their proposals for inclusion on the list. 

The bill further provides that the Secretary would give priority to 

such vessels for participation in technology pilot programs described in subsection (f)(6), and encourage other Federal and State 

programs to give incentives to such vessels to more quickly adopt 

ballast water treatment technologies. Such incentives could include 

positive incentives, such as expanded privileges or discounted services, or negative incentives, such as financial penalties. The Committee intends that these provisions, in combination with the provision allowing use of treatment technologies in place of ballast 

water exchange, will provide a means by which interested States 

could provide incentives for the accelerated use of treatment technologies. 

The bill would allow vessels participating in a Coast Guard-approved pilot program to conduct ship-board testing of ballast water 

treatment technologies. The Coast Guard would allow the vessels 

to use such technology for ten years, which should encourage more 

vessel operators to test new technologies in pilot programs. It 

would also authorize $5,000,000 annually from FY 2006 through 

FY 2010 for the existing Federal Ballast Water Demonstration 

Project, which provides grants for research and development of innovative technologies for the management, treatment, and disposal 

of ballast water and sediment, ballast water exchange, and other 

vessel vectors of aquatic invasive species. 

The bill would preempt State and local laws with respect to ballast water exchange and ballast water treatment requirements. 

This section would not preempt States or local governments from 

levying greater penalties or fees for violations of the provisions of 

the bill, or other State and local law provisions that do not conflict 

and are not inconsistent with the requirements of the bill. 

6 

The Ballast Water Management Act of 2005 will provide the sole 

Federal authority to address invasive species in ballast water, and 

supersedes any other provision of Federal law that conflicts with 

the bill. Specifically, the bill provides that aquatic invasive species 

in ballast water are not ‘‘pollutants’’ regulated under other Federal 

laws. The Committee believes it is important to avoid inconsistencies or duplicative regulations of this issue at the Federal level. 

However, S. 363 also provides other agencies and States, including 

the Environmental Protection Agency (EPA), with a significant 

role. For example, the Coast Guard must consult the EPA in developing a process for reviewing and approving treatment technologies. The Coast Guard must also consult the EPA in identifying 

additional microbes to be regulated. The Coast Guard may only 

designate alternative areas for exchange and discharge of ballast 

water after consultation with both the EPA, NOAA, and affected 

States. The EPA would be responsible for regulating reception facilities for ballast water and sediment. The bill only relates to 

aquatic invasive species, and would not impact any existing Federal authority to regulate pollutants that may be contained in ballast water. 

The bill would also require the Secretary to submit two reports 

to Congress on other vessel-related vectors of harmful aquatic species. First, the Secretary would provide a report on vessel-borne 

vectors of aquatic invasive species other than ballast water, including vessel hulls and equipment. The Secretary would also report on 

best practices, procedures and/or regulations to reduce the introduction of invasive species from these sources and to further reduce 

the introduction and spread of aquatic invasive species from ballast 

water, for example, through designation of geographical locations 

for uptakes and/or discharges of ballast water. Second, the Secretary would provide a report on potential adverse impacts from 

discharges of ballast water from vessels transiting through waters 

subject to the jurisdiction of the United States (but not coming to 

United States ports or places), and provide recommendations. The 

bill would authorize $20,000,000 in annual appropriations for the 

Coast Guard for FY 2006 through FY 2010 to implement the legislation. 

LEGISLATIVE HISTORY

S. 363 was introduced in the Senate on February 10, 2005, by 

Senator Inouye (and co-sponsored by Senator Stevens, Senator 

Cantwell, Senator Lautenberg, Senator Akaka, and Senator Sarbanes) and referred to the Senate Committee on Commerce, 

Science, and Transportation. On July 21, 2005, the bill was considered by the Committee in an open Executive Session. Senator 

Inouye offered an amendment in the nature of a substitute, cosponsored by Senator Stevens and Senator Sununu. The Committee, without objection, ordered that S. 363 be reported with an 

amendment in the nature of a substitute. 

ESTIMATED COSTS

In accordance with paragraph 11(a) of rule XXVI of the Standing 

Rules of the Senate and section 403 of the Congressional Budget 

7 

Act of 1974, the Committee provides the following cost estimate, 

prepared by the Congressional Budget Office: 

SEPTEMBER 2, 2005. 

Hon. TED STEVENS, 

Chairman, Committee on Commerce, Science, and Transportation, 

U.S. Senate, Washington, DC. 

DEAR MR. CHAIRMAN: The Congressional Budget Office has prepared the enclosed cost estimate for S. 363, the Ballast Water Management Act of 2005. 

If you wish further details on this estimate, we will be pleased 

to provide them. The CBO staff contact is Megan Carroll. 

Sincerely, 

DOUGLAS HOLTZ-EAKIN, 

Director. 

Enclosure. 

S. 363—Ballast Water Management Act of 2005 

Summary: S. 363 would amend current law to require the U.S. 

Coast Guard (USGC) to establish new standards and procedures 

for controlling the spread of aquatic invasive species through ballast water. Assuming appropriation of the authorized amounts, 

CBO estimates that implementing the bill would cost $10 million 

in 2006 and $85 million over the 2006–2010 period. S. 363 could 

increase revenues, but we estimate that any such increases would 

not exceed $500,000 in any year. 

S. 363 contains intergovernmental mandates as defined in the 

Unfunded Mandates Reform Act (UMRA) because it would preempt 

some states laws and impose new requirements that may affect 

some public transportation vessels. CBO estimates that the total 

cost of complying with these mandates would not exceed the annual threshold established in that act ($62 million in 2005, adjusted annually for inflation). 

S. 363 would impose private-sector mandates, as defined in 

UMRA, on owners and operators of certain vessels equipped to 

carry ballast water and manufacturers of such vessels. CBO cannot 

estimate the aggregate cost of the private-sector mandates in the 

bill primarily because the technologies to treat ballast water to 

meet the standards specified in the bill have not been fully developed. Though CBO cannot estimate the cost of each mandate, we 

expect that the aggregate cost of private-sector mandates in the bill 

would exceed the annual threshold established in UMRA ($123 million in 2005, adjusted annually for inflation) sometime during the 

first five years after the new standards are put into effect. We expect those standards to become effective after 2009. That conclusion is based on the findings of current research that the technology being developed to treat ballast water would cost hundreds 

of thousands of dollars per vessel. 

Estimated cost to the Federal Government: For this estimate, 

CBO assumes that S. 363 will be enacted near the start of fiscal 

year 2006 and that funds will be provided as specified in the bill. 

The estimated budgetary impact of S. 363 is shown in the following 

table. The costs of this legislation fall within budget function 300 

(natural resources and environment). 

8 

By fiscal year, in millions of dollars— 

2005 2006 2007 2008 2009 2010 

SPENDING SUBJECT TO APPROPRIATION 

Spending under current law: 

Budget authority 1 ................................................... 5 0 0 0 0 0 

Estimated outlays .................................................... 5 0 0 0 0 0 

Proposed changes: 

Authorization level ................................................... 0 20 20 20 20 20 

Estimated outlays .................................................... 0 10 15 20 20 20 

Spending under S. 363: 

Authorization level 1 ................................................. 5 20 20 20 20 20 

Estimated outlays .................................................... 5 10 15 20 20 20 

1 The 2005 level is the amount appropriated to the USCG for that year for programs related to ballast water. 

Basis of estimate: S. 363 would authorize the appropriation of $20 million a year over the 2006–2010 period for the USCG to establish and implement new regulations aimed at reducing the 

spread of invasive aquatic species through ballast water. (Ballast 

water is carried in tanks by some ships to maintain stability.) 

Under the bill, the USCG would specify standards and procedures 

that operators of certain U.S. vessels must follow when treating or 

discharging ballast water and sediment. The bill would establish 

civil penalties for violations of those standards and procedures. 

Based on information from the USCG about spending patterns 

for existing programs to regulate the use of ballast water, CBO estimates that S. 363 would cost $10 million in 2006 and $85 million 

over the next five years. We also estimate that any increased revenues from civil penalties established under S. 363 would not exceed 

$500,000 in any year. 

Estimated impact on state, local, and tribal governments: Current regulations require U.S. and foreign vessels, equipped with 

ballast tanks that operate in the waters of the United States and 

are bound for ports or places in the United States, to report on and 

conduct activities relating to ballast water exchange. Enacting S. 

363 would place additional requirements on those vessels by requiring the implementation of systems to treat ballast water. Vessels owned by state and local governments that do not meet exemption standards would be required to comply. The duty to comply 

would be an intergovernmental mandate as defined by UMRA. 

CBO estimates, however, that the costs to those entities would be 

small because we expect that few publicly owned vessels would be 

affected by the regulations. 

S. 363 also would preempt state and local laws that would be inconsistent or conflict with the new federal requirements. (The bill 

would specifically preserve state and local authority to impose 

greater penalties or fees for acts or omissions that are violations 

of the act.) This preemption constitutes a mandate as defined by 

UMRA; however, any costs to state and local governments would 

be minimal. In total, the costs of the intergovernmental mandates 

in the bill would fall significantly below the threshold established 

in that act ($62 million in 2005, adjusted annually for inflation). 

Estimated impact on the private sector: S. 363 would impose private-sector mandates, as defined in UMRA, on owners and operators of certain vessels equipped to carry ballast water and manufacturers of such vessels. Ballast water is held in the ballast tanks 

and cargo holds of vessels to provide balance and stability during 

a voyage and is considered one of the major ways in which invasive 

9 

species enter U.S. waters. The bill would prohibit certain vessels 

from discharging ballast water except after conducting ballast 

water exchange in compliance with federal regulations; or using 

ballast water treatment that meets the performance standards 

specified in the bill; or using environmentally sound alternative 

ballast water treatment approved by the Secretary of Homeland 

Security. During the period before 2009, most vessels would comply 

with the mandate by conducting ballast water exchange. Ballast 

water exchange involves replacing coastal water with open-ocean 

water during a voyage. This process reduces the density of coastal 

organisms in ballast tanks that may be able to invade a recipient 

port, replacing them with oceanic organisms with a lower probability of survival in near-shore waters. Certain exemptions from 

the requirement—such as for safety of crew, passengers, and vessels—would be allowed. 

In general, the bill would require owners and operators of vessels 

to conduct all ballast water management operations in accordance 

with a ballast water management plan that meets the requirements prescribed and approved by the Secretary. Currently, vessels 

are required to have ballast water management plans and follow 

mandatory ballast water management practices under Coast Guard 

regulations; those regulations include maintaining a ballast water 

record book on board the vessel and conducting ballast water exchange. The bill would add two additional requirements: (1) each 

vessel’s ballast water management plan would have to be approved 

by the Secretary, and (2) vessel operators would be required to 

maintain the record book on board the vessel for an extended period of time. Because vessels are already in compliance with most 

of those requirements, CBO expects that the incremental costs to 

comply with mandates during the period before 2009 would not be 

large. 

Beginning in 2009, the bill would implement, in four phases, a 

performance standard for the treatment of ballast water. The performance standard contains a series of concentration levels for living organisms and microbes allowed in the discharge of ballast 

water. Vessels would be scheduled to comply with the performance 

standard based on their ballast water capacity and date of construction. The first two phases would apply the standard to newly 

constructed vessels, and phases three and four would apply the 

standard to vessels currently in operation. Although a number of 

technologies for ballast water treatment are being tested, none 

have been proven to effectively reduce invasive species. 

According to several industry experts, however, recent research 

and testing of treatment technologies indicate that the cost to install ballast water treatment technologies could amount to hundreds of thousands of dollars per vessel. 

Few vessels of the type that would have to comply with the performance standard are manufactured in the United States. The 

cost of the mandate for U.S. manufacturers in the first two phases 

of implementation would not be significant. Vessels equipped to 

handle ballast water purchased by U.S. entities for use in U.S. waterways would have to comply with the performance standard beginning in the first phase. Depending on the number of vessels purchased, the incremental cost to U.S. entities could be tens of millions of dollars. Beginning in phases three and four, when vessels 

10 

in operation must meet the performance standard, the total cost of 

the capital investment and installation for owners and operators of 

U.S. vessels and foreign vessels with operations in the United 

States could be substantial—potentially hundreds of millions of dollars. Consequently, CBO estimates that the cost to comply with the 

performance standards for treatment of ballast water would likely 

exceed the threshold for private-sector mandates established by 

UMRA ($123 million in 2005, adjusted annually for inflation) sometime during the first five years after the new standards are put 

into effect. We expect those standards to become effective after 

2009. 

Estimated prepared by: Federal costs: Megan Carroll and Deborah Reis; impact on state, local, and tribal governments: Lisa Ramirez-Branum; impact on the private sector: Alicia Handy. 

Estimate approved by: Peter H. Fontaine, Deputy Assistant Director for Budget Analysis. 

REGULATORY IMPACT STATEMENT

In accordance with paragraph 11(b) of rule XXVI of the Standing 

Rules of the Senate, the Committee provides the following evaluation of the regulatory impact of the legislation, as reported: 

NUMBER OF PERSONS COVERED

S. 363 as reported by the Committee would authorize appropriations to establish a national ballast water exchange and treatment 

program and make a number of changes to current law. The bill 

would have a large regulatory impact for commercial shippers operating in U.S. waters. 

ECONOMIC IMPACT

The reported bill would benefit the U.S. economy by reducing 

damages from aquatic invasive species, now estimated to be in the 

range of millions to billions of dollars annually. Up to $20 million 

per year for FY 2006 through FY 2010 would be authorized for appropriations to the Coast Guard to implement the bill’s obligations. 

The bill would also provide $5 million annually in support of private sector development of ballast water treatment technologies. 

Vessels to which the bill applies would bear the costs of implementing the bill’s requirements for treatment technologies; however, the purchase of such technologies would also provide a benefit 

to the U.S. economy. 

PRIVACY

The reported bill would have little, if any, impact on the personal 

privacy of U.S. citizens. 

PAPERWORK

The reported bill would increase paperwork requirements for individuals and businesses conducting commercial shipping operations in U.S. waters by requiring them to keep and maintain accurate logs of their ballast water exchange activities. 

11 

SECTION-BY-SECTION ANALYSIS

Section 1. Short title 

Section 1 would entitle the legislation as the ‘‘Ballast Water 

Management Act of 2005.’’ 

Section 2. Findings 

Section 2 would include Congressional findings relevant to the 

issue of aquatic invasive species and ballast water. 

Section 3. Ballast water management 

Section 3 would amend section 1101 of the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 (16 U.S.C. 4711, 

et seq.) to establish a stronger national approach to addressing 

invasive species in ballast water. The new approach set forth in 

section 3 closely tracks with the requirements and structure of an 

international agreement on ballast water that was recently negotiated in the IMO. 

Section 1101 would be amended as follows: 

Subsection (a) would apply the provisions of the bill to U.S. vessels and to foreign vessels that are en route to a U.S. port or place, 

or have departed from a U.S. port or place and are within waters 

subject to the jurisdiction of the United States. Several types of 

vessels are exempted from the requirements of the new section, including vessels of the Armed Forces that follow a comparable program, and small recreational vessels, for which alternative measures may be promulgated. 

Subsection (b) would establish a general requirement that vessels 

to which the legislation applies may only uptake or discharge ballast water or sediment in accordance with the requirements and 

schedule established in the bill. Certain exceptions would apply, including when the safety of the vessel is in question, in saving a life 

at sea, and when damage to the vessel results in an accidental discharge. 

Subsection (c) would require a vessel to have on board an approved ballast water management plan that meets requirements 

prescribed by the Secretary. The plan would describe the actions to 

be taken to implement the ballast water management requirements 

of the bill. For foreign vessels, the Secretary could approve a plan 

based on a certificate of compliance issued by the vessel’s country 

of registration. 

Subsection (d) would require a vessel to keep a ballast water 

record book on board documenting its ballast water operations, in 

accordance with regulations promulgated by the Secretary. 

Subsection (e) would require vessels to use ballast water exchange to reduce the risk of introduction of invasive species until 

ballast water treatment standards outlined in subsection (f) of this 

section come into effect. As an alternative, vessels could meet this 

requirement by using ballast water treatment that meets the performance standards of subsection (f), or by using ballast treatment 

that does not meet the performance standards in subsection (f) but 

is at least as effective as ballast water exchange. 

For vessels using ballast water exchange, this subsection would 

require vessels arriving at a U.S. port from outside the U.S. EEZ 

to conduct exchange at least 200 nautical miles from the nearest 

12 

point of land, in water at least 200 meters in depth. Vessels 

voyaging between ports within 200 nautical miles of the United 

States would be required to conduct exchange at least 50 nautical 

miles from the nearest land, in water at least 200 meters in depth. 

A number of exceptions are included in this subsection. First, the 

ballast water exchange requirements would not apply to discharges 

or uptakes of ballast water necessary to ensure the safety or stability of the vessel, its crew or its passengers. This exemption is important particularly for certain vessel classes, such as many tug 

and barge operations. Second, the provision addresses the problem 

of requiring ballast water exchange for vessels on extremely short 

coastal voyages by allowing vessel operators to seek a waiver if 

conducting exchange would cause the operator substantial business 

hardship, as determined by the Secretary. Third, an exemption is 

provided for vessels operating exclusively between certain areas 

where the risk of introducing aquatic invasive species is insignificant, including vessels operating in the Great Lakes and between 

the main Hawaiian islands. Finally, the requirements for ballast 

water exchange are not applicable to the Great Lakes or the Hudson River north of the George Washington Bridge, for which existing regulations would continue until the ballast water treatment 

requirements under the bill become applicable. This subsection also 

provides that unexchanged ballast water discharged pursuant to an 

exception should be discharged in an area designated by the Secretary, or into a reception facility established under subsection (f). 

Subsection (f) would phase-in ballast water treatment requirements beginning in January 2009 depending on the ballast water 

capacity and age of a vessel. The schedule is the same as that 

adopted by the IMO agreement. 

Subsection (f)(1) would set forth the performance standards for 

ballast water treatment. Treatment is to achieve less than 1 living 

organism that is 50 or more micrometers in size per 10 cubic meters, and less than 1 living organism that is less than 50 and more 

than 10 micrometers in size per 10 milliliters. The standards also 

include concentrations for three indicator microbes—Vibrio cholera, 

escherichia coli and enterococci. 

Subsection (f)(2) would provide that the performance standards 

are not applicable to discharges of ballast water into a reception facility designated by the Coast Guard or, in the case of land-based 

facilities, the EPA. 

Subsection (f)(3) would set forth the implementation schedule for 

phasing-in ballast water treatment. The earliest date, January 1, 

2009, would apply to new, smaller vessels, while the latest date, 

January 1, 2016, would apply to existing vessels that are either 

very small or large. 

Subsection (f)(4) would require the Secretary to establish a process for approval of ballast water treatment technologies. 

Subsection (f)(5) would set forth the feasibility review process 

that the Coast Guard would use to evaluate whether technologies 

exist that would meet the performance standards. The process 

would include specific criteria, including the effectiveness of a technology, whether a technology has an adverse impact on the environment, and cost effectiveness. If the Coast Guard determines 

that compliance with the performance standards is not feasible, the 

Coast Guard is to extend the date of compliance up to two years 

13 

and recommend action to ensure compliance with such schedule. 

Subsection (f)(5) also provides that if the Coast Guard determines 

that treatment technology exists that exceeds the performance 

standards, or that effective technology could be implemented sooner than the phase-in dates, the Coast Guard shall revise the standards and time frame for implementation accordingly. 

Subsection (f)(6) would provide that for vessels participating in 

a pilot program approved by the Coast Guard to conduct ship-board 

testing of ballast water treatment technologies likely to achieve or 

exceed the performance standards, the Coast Guard shall allow the 

vessels to use such technology for ten years. This provision is 

aimed at encouraging vessel operators to participate in such programs, who to date have not participated at a high rate due to the 

costs and risks otherwise involved in testing technologies on board. 

Subsection (f)(7) would provide that starting in December 2012, 

and every third year thereafter, the Coast Guard shall review the 

performance standards to determine if they should be revised to reduce the levels of organisms allowed to be discharged, and if the 

Coast Guard so determines, it shall develop a schedule for implementing such adjusted standards. 

Subsection (f)(8) would require the Secretary to develop a list, in 

consultation with States, of vessels that due to factors such as the 

origin of their voyages, the volume of ballast water they carry, and 

the fact that they frequently discharge unexchanged or improperly 

exchanged ballast water pursuant to an exception under subsection 

(e)(3), pose a relatively high risk of introducing aquatic invasive 

species into the waters of the United States. This paragraph further provides that the Secretary should give priority to such vessels 

for participation in technology pilot programs described in subsection (f)(6), and that Federal and State programs should give incentives to such vessels to more quickly adopt ballast water treatment technologies. 

Subsection (g) would require the Secretary to notify mariners of 

areas where vessels should not uptake ballast water due to known 

conditions. 

Subsection (h) would require vessels to dispose of sediment from 

ballast tanks either more than 200 nautical miles from the nearest 

point of land, or into a reception facility, in accordance with the 

ballast water plan and regulations to be approved by the Secretary. 

The Administrator of the EPA is to promulgate regulations for the 

reception facilities themselves. This subsection also requires new 

vessels to be designed and constructed in a manner that minimizes 

the occurrence of sediment in ballast tanks. 

Subsection (i) would require the Secretary to inspect vessels and 

ballast water equipment to ensure compliance with the requirements of the bill. 

Subsection (j) would authorize the Secretary to detain a vessel 

that is in violation of the ballast water management requirements 

before it gets underway. 

Subsection (k) would authorize civil or criminal penalties to be 

charged to the responsible party if the person or persons are found 

to be in violation of a regulation prescribed under this section. 

Subsection (l) would authorize the Secretary with enforcement 

authority for violations of the requirements of the bill. 

14 

Subsection (m) would encourage the Secretary to consult with the 

governments of Canada and Mexico, as well as other relevant countries, in implementing the requirements of the bill. 

Subsection (n) would encourage the Secretary to enter into negotiations with foreign governments to develop and implement an effective international program for preventing the unintentional introduction and spread of aquatic invasive species. 

Subsection (o) would require the Secretary to ensure that vessels 

registered outside of the U.S. do not receive more favorable treatment than U.S. vessels in implementing the bill. 

Subsection (p) would authorize $5,000,000 annually from FY 

2006 through FY 2010 to the Secretary to be provided to the existing Federal Ballast Water Demonstration Project, which provides 

grants for research and development of innovative technologies for 

the management, treatment, and disposal of ballast water and 

sediment, ballast water exchange, and other vessel vectors of 

aquatic invasive species. 

Subsection (q) would require the Secretary to consult with the 

Aquatic Nuisance Species Task Force, established by the Nonindigenous Nuisance Prevention and Control Act of 1990, in implementing this section. 

Subsection (r) would preempt State and local laws with respect 

to ballast water exchange and ballast water treatment requirements. This section would not preempt the imposition by States or 

local governments of greater penalties or fees for violations of the 

provisions of the bill, or other State and local law provisions that 

do not conflict and are not inconsistent with the requirements of 

the bill. This subsection also provides that the provisions of this 

Act establish the Federal authority for aquatic invasive species in 

ballast water and sediment, and supersede any provision of other 

Federal laws that conflict with the bill. 

Subsection (s) would authorize the Secretary to issue such regulations as necessary to implement this section within one year of 

the date of enactment, and provides for judicial review of such regulations. 

Section 3 of the bill would amend section 1003 of the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 (16 

U.S.C. 4702) to establish several additional definitions and would 

make conforming amendments in subsection (c). 

Section 4. Authorization of appropriations 

Section 4 of the bill would authorize $20,000,000 in annual appropriations for the Coast Guard for FY 2006 through FY 2010 to 

implement the legislation. 

Section 5. Coast Guard reports on other sources of vessel-borne 

invasive species 

Section 5 of the bill would require the Secretary to submit two 

reports to Congress on other vessel-related vectors of harmful 

aquatic species. 

15 

CHANGES IN EXISTING LAW

In compliance with paragraph 12 of rule XXVI of the Standing 

Rules of the Senate, 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 material is printed in italic, existing law in which no change is proposed is shown in roman): 

NONINDIGENOUS AQUATIC NUISANCE PREVENTION AND 

CONTROL ACT OF 1990 

TITLE I—AQUATIC NUISANCE PREVENTION AND CONTROL 

SUBTITLE A—GENERAL PROVISIONS

SEC. 1001. SHORT TITLE. 

This title may be cited as the ‘‘Nonindigenous øAquatic Nuisance¿ Aquatic Invasive Species Prevention and Control Act of 

1990’’. 

SEC. 1002. FINDINGS AND PURPOSES. 

[16 U.S.C. 4701] 

(a) FINDINGS.—The Congress finds that— 

(1) the discharge of untreated water in the ballast tanks of 

vessels and through other means results in unintentional introductions of nonindigenous species to fresh, brackish, and 

saltwater environments; 

(2) when environmental conditions are favorable, nonindigenous species become established, may compete with or prey 

upon native species of plants, fish, and wildlife, may carry diseases or parasites that affect native species, and may disrupt 

the aquatic environment and economy of affected nearshore 

areas; 

(3) the zebra mussel was unintentionally introduced into the 

Great Lakes and has infested— 

(A) waters south of the Great Lakes, into a good portion 

of the Mississippi River drainage; 

(B) waters west of the Great Lakes, into the Arkansas 

River in Oklahoma; and 

(C) waters east of the Great Lakes, into the Hudson 

River and Lake Champlain; 

(4) the potential economic disruption to communities affected 

by the zebra mussel due to its colonization of water pipes, boat 

hulls and other hard surfaces has been estimated at 

$5,000,000,000 by the year 2000, and the potential disruption 

to the diversity and abundance of native fish and other species 

by the zebra mussel and ruffe, round goby, and other nonindigenous species could be severe; 

(5) the zebra mussel was discovered on Lake Champlain during 1993 and the opportunity exists to act quickly to establish 

zebra mussel controls before Lake Champlain is further infested and management costs escalate; 

(6) in 1992, the zebra mussel was discovered at the northernmost reaches of the Chesapeake Bay watershed; 

(7) the zebra mussel poses an imminent risk of invasion in 

the main waters of the Chesapeake Bay; 

16 

(8) since the Chesapeake Bay is the largest recipient of foreign ballast water on the East Coast, there is a risk of further 

invasions of other nonindigenous species; 

(9) the zebra mussel is only one example of thousands of 

nonindigenous species that have become established in waters 

of the United States and may be causing economic and ecological degradation with respect to the natural resources of waters 

of the United States; 

(10) since their introduction in the early 1980’s in ballast 

water discharges, ruffe— 

(A) have caused severe declines in populations of other 

species of fish in Duluth Harbor (in Minnesota and Wisconsin); 

(B) have spread to Lake Huron; and 

(C) are likely to spread quickly to most other waters in 

North America if action is not taken promptly to control 

their spread; 

(11) examples of nonindigenous species that, as of the date 

of enactment of the National Invasive Species Act of 1996, infest coastal waters of the United States and that have the potential for causing adverse economic and ecological effects include— 

(A) the mitten crab (Eriocher sinensis) that has become 

established on the Pacific Coast; 

(B) the green crab (Carcinus maenas) that has become 

established in the coastal waters of the Atlantic Ocean; 

(C) the brown mussel (Perna perna) that has become established along the Gulf of Mexico; and 

(D) certain shellfish pathogens; 

(12) many øaquatic nuisance¿ aquatic invasive vegetation 

species, such as Eurasian watermilfoil, hydrilla, water hyacinth, and water chestnut, have been introduced to waters of 

the United States from other parts of the world causing or having a potential to cause adverse environmental, ecological, and 

economic effects; 

(13) if preventive management measures are not taken nationwide to prevent and control unintentionally introduced 

nonindigenous aquatic species in a timely manner, further introductions and infestations of species that are as destructive 

as, or more destructive than, the zebra mussel or the ruffe infestations may occur; 

(14) once introduced into waters of the United States, 

øaquatic nuisance¿ aquatic invasive species are unintentionally 

transported and introduced into inland lakes and rivers by recreational boaters, commercial barge traffic, and a variety of 

other pathways; and 

(15) resolving the problems associated with øaquatic nuisance¿ aquatic invasive species will require the participation 

and cooperation of the Federal Government and State governments, and investment in the development of prevention technologies. 

(b) PURPOSES.—The purposes of this Act are— 

(1) to prevent unintentional introduction and dispersal of 

nonindigenous species into waters of the United States through 

ballast water management and other requirements; 

17 

(2) to coordinate federally conducted, funded or authorized 

research, prevention control, information dissemination and 

other activities regarding the zebra mussel and other øaquatic 

nuisance¿ aquatic invasive species; 

(3) to develop and carry out environmentally sound control 

methods to prevent, monitor and control unintentional introductions of nonindigenous species from pathways other than 

ballast water exchange; 

(4) to understand and minimize economic and ecological impacts of nonindigenous øaquatic nuisance¿ aquatic invasive 

species that become established, including the zebra mussel; 

and 

(5) to establish a program of research and technology development and assistance to States in the management and removal of zebra mussels. 

SEC. 1003. DEFINITIONS. 

[16 U.S.C. 4702] 

As used in this Act, the term— 

(1) ‘‘Administrator’’ means the Administrator of the Environmental Protection Agency; 

ø(1)¿ (2) ‘‘aquatic ønuisance¿ invasive 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’’— 

(A) means water taken on board a vessel to control trim, 

list, draught, stability, or stresses of the vessel, including 

matter suspended in such water; and 

(B) any water placed into a ballast tank during cleaning, 

maintenance, or other operations; but 

(C) does not include water that, at the time of discharge, 

does not contain aquatic invasive species that was taken on 

board a vessel and used for a purpose described in subparagraph (A); 

(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; 

18 

(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; 

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 øaquatic nuisance¿ aquatic invasive 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; 

ø(7)¿ (11) ‘‘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 Canadian Border), and includes all 

other bodies of water within the drainage basin of such lakes 

and connecting channels. 

ø(8)¿ (12) ‘‘Great Lakes region’’ means the 8 States that border on the Great Lakes; 

ø(9)¿ (13) ‘‘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)¿ (14) ‘‘interstate organization’’ means an entity— 

(A) established by— 

(i) an interstate compact that is approved by Congress; 

(ii) a Federal statute; or 

(iii) a treaty or other international agreement with 

respect to which the United States is a party; and 

(B)(i) that represents 2 or more— 

(I) States or political subdivisions thereof; or 

(II) Indian tribes; or 

(ii) that represents— 

(I) 1 or more States or political subdivisions 

thereof; and 

(II) 1 or more Indian tribes; or 

(iii) that represents the Federal Government and 1 

or more foreign governments; and 

(C) has jurisdiction over, serves as forum for coordinating, or otherwise has a role or responsibility for the 

management of, any land or other natural resource; 

(15) ‘‘major conversion’’ means a conversion of a vessel, that— 

19 

(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)¿ (16) ‘‘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)¿ (17) ‘‘Secretary’’ means the Secretary of the department in which the Coast Guard is operating; 

(18) ‘‘sediment’’ means matter that has settled out of ballast 

water within a vessel; 

ø(13)¿ (19) ‘‘Task Force’’ means the øAquatic Nuisance¿ 

Aquatic Invasive Species Task Force established under section 

1201 of this Act; 

ø(14)¿ (20) ‘‘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)¿ (21) ‘‘Under Secretary’’ means the Under Secretary of 

Commerce for Oceans and Atmosphere; 

ø(17)¿ (22) ‘‘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 purposes. 

(23) ‘‘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, the Northern Marianas, and the United States Virgin Islands; 

(24) ‘‘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 of 

the department in which the Coast Guard is operating as 

a vessel equivalent to a vessel described in subparagraph 

(A); 

ø(16)¿ (25) ‘‘waters of the United States’’ means the navigable waters and the territorial sea of the United States; and 

(26) ‘‘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. 

20 

SUBTITLE B—PREVENTION OF UNINTENTIONAL INTRODUCTIONS OF

AQUATIC NUISANCE SPECIES

øSEC. 1101. AQUATIC NUISANCE SPECIES IN WATERS OF THE UNITED 

STATES. 

[16 U.S.C. 4711] 

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 øaquatic 

nuisance¿ aquatic invasive 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 

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 waVerDate Aug 31 2005 06:31 Nov 20, 2005 Jkt 049010 PO 00000 Frm 00022 Fmt 6659 Sfmt 6601 E:\HR\OC\SR181.XXX SR181
21 

ters of the United States under the Federal Water Pollution Control Act; 

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. 

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 speVerDate Aug 31 2005 06:31 Nov 20, 2005 Jkt 049010 PO 00000 Frm 00023 Fmt 6659 Sfmt 6601 E:\HR\OC\SR181.XXX SR181
22 

cies 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— 

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. 

23 

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 reducing 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.— 

24 

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 regulations; 

and 

ø(B) may be regional in scope. 

ø(3) INTERNATIONAL REGULATIONS.—The Secretary shall revise regulations promulgated under this subsection to the extent 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. 

25 

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 decides 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.— 

ø(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.— 

ø(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. 

26 

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), 

and (4), this section applies to a vessel that is designed, constructed, or adapted to carry ballast water; and 

(A) is a vessel of United States registry or nationality, or 

operated under the authority of the United States, wherever 

located; or 

(B) 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 and is 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 of Defense and the Secretary of Homeland Security, 

after consultation with the Administrator, the Under Secretary of Commerce for Oceans and Atmosphere, and the 

Secretary, shall implement a ballast water management 

program, including the promulgation 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 is— 

(i) consistent with the requirements of this section, 

including the deadlines; and 

(ii) at least as stringent as the requirements promulgated for such vessels under section 312 of the Clean 

Water 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 promulgate alternative measures for 

managing ballast water in a manner that is consistent with the 

requirements of this section. 

(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 except as provided in this section. 

27 

(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 

invasive species that— 

(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. 

28 

(B) FOREIGN VESSELS.—The Secretary may approve a 

ballast water management plan for a foreign vessel (as defined in section 2101(12) of title 46, United States Code) 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 promulgated 

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 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 a ballast water record book 

in English on board the vessel in which— 

(A) each operation involving ballast water or sediment 

discharge is fully recorded without delay, in accordance 

with regulations promulgated by the Secretary; 

(B) each such operation is described in detail, including 

the location and circumstances of, and the reason for, the 

operation; and 

(C) the exact nature and circumstances of any situation 

under which any operation was conducted under an exception set forth in subsection (b)(2) or (e)(3) is described. 

(2) AVAILABILITY.—The ballast water record book— 

(A) shall be kept readily available for examination by the 

Secretary 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 

(B) under the control of the vessel’s owner for an additional period of 3 years. 

(4) REGULATIONS.—In the regulations prescribed 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 

shall provide by regulation for alternative methods of recordkeeping, including electronic recordkeeping, to comply with the 

requirements of this subsection. 

(e) BALLAST WATER EXCHANGE REQUIREMENTS.— 

(1) IN GENERAL.—Until a vessel is required to conduct ballast 

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29 

tion, the operator of a vessel to which this section applies may 

not discharge ballast water except after — 

(A) conducting ballast water exchange, in accordance 

with regulations prescribed by the Secretary, in a manner 

that results in an efficiency of at least 95 percent volumetric exchange of the ballast water for each ballast water 

tank; 

(B) using ballast water treatment that meets the performance standards of subsection (f); or 

(C) using environmentally-sound alternative ballast 

water treatment, if the Secretary determines that such 

treatment is at least as effective as the ballast water exchange required by subparagraph (A) in preventing and 

controlling infestation of aquatic invasive species. 

(1A) GUIDANCE; 5-YEAR USAGE.— 

(A) GUIDANCE.—Within 1 year after the date of enactment of the Ballast Water Management Act of 2005, the 

Secretary shall develop guidance on technology that may be 

used to under paragraph (1)(C). 

(B) 5-YEAR USAGE.—If the Secretary accelerates the schedule under subsection (f)(5)(C) for implementation of the 

treatment technology required under subsection (f), the Secretary shall allow a vessel using environmentally-sound alternative ballast water treatment under paragraph (1)(C) to 

continue to use that treatment for 5 years after the date on 

which the environmentally-sound alternative ballast water 

treatment was first placed in service on the vessel. 

(2) 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 United States exclusive economic zone 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. 

(3) SAFETY OR STABILITY EXCEPTION.— 

(A) IN GENERAL.—Paragraphs (1) and (2) do not apply to 

the discharge of ballast water if the master of a vessel determines that compliance with those paragraphs 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. 

(B) NOTIFICATION REQUIRED.—Whenever the master of a 

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30 

graphs (1) and (2) because of a determination made under 

subparagraph (A), 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— 

(I) in an alternative area that may be designated 

by the Secretary, after consultation with the Administrator, the Undersecretary, and representatives of States the waters of which would be affected by the discharge of ballast water; or 

(II) undertake discharge of ballast water in accordance with paragraph (5) if safety or stability 

concerns prevent undertaking ballast water exchange in the alternative area. 

(C) 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 circumstances 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. 

(4) 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 (2)(B) without substantial 

business hardship, as determined under regulations prescribed by the Secretary, the operator shall request a waiver 

from the Secretary and discharge the ballast water in accordance with paragraph (5). 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 

(2)(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). 

(5) PERMISSABLE 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 Undersecretary and 

the Administrator and representatives of any State that 

31 

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 the provisions of this paragraph 

may not exceed the volume necessary to ensure the safe operation of the vessel. 

(6) PARTIAL COMPLIANCE.—The operator of a vessel that is 

unable to comply fully with the requirements of paragraphs (1) 

and (2)— 

(A) shall nonetheless conduct ballast water exchange to 

the maximum extent feasible in compliance with those 

paragraphs; and 

(B) may conduct a partial ballast water exchange under 

this paragraph only to the extent that the ballast water in 

an individual ballast tank can be completely exchanged in 

accordance with the provisions of paragraph (1)(B). 

(7) SPECIAL RULES FOR VESSELS IN THE GREAT LAKES.—Until 

vessels described in subsection (e)(6) are required to conduct 

ballast water treatment in accordance with the requirements of 

subsection (f), the regulations promulgated by the Secretary of 

Transportation under this section, as such regulations and section were in effect on the day before the date of enactment of 

the Ballast Water Management Act of 2005, shall remain in full 

force and effect for, and shall continue to apply to, such vessels. 

(8) CERTAIN GEOGRAPHICALLY LIMITED ROUTES.—Notwithstanding paragraph (2)(B) of this subsection, the operator of a 

vessel is not required to comply with the requirements of paragraph (2)(B)— 

(A) if the vessel operates exclusively— 

(i) within Lake Superior, Lake Michigan, Lake 

Huron, and Lake Erie and the connecting channels; 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 Undersecretary, the Administrator, and 

representatives of States the waters of which would be affected by the discharge of ballast water, that the risk of introducing aquatic invasive species through ballast water 

discharge in the areas in which the vessel operates is insignificant. 

(9) MARINE SANCTUARIES AND OTHER PROHIBITED AREAS.—A 

vessel may not conduct ballast water exchange or discharge 

unexchanged ballast water under this subsection within a marine sanctuary designated under title III of the National Marine 

Sanctuaries Act (16 U.S.C. 1431 et seq.) or in any other waters 

designated by the Secretary after consultation with the Undersecretary and the Administrator. 

(10) REGULATIONS DEADLINE.—The Secretary shall issue a 

final rule for regulations required by this subsection within 1 

year after the date of enactment of the Ballast Water Management Act of 2005. 

(f) BALLAST WATER TREATMENT REQUIREMENTS.— 

32 

(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 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— 

(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 promulgated by the Secretary, after consultation with the Environmental Protection Agency, 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 prescribed by the Administrator; or 

(ii) a water-based facility for the reception of ballast 

water that meets standards prescribed by the Secretary. 

(B) PROMULGATION OF STANDARDS.—Within 1 year after 

the date of enactment of the Ballast Water Management Act 

of 2005, the Administrator and the Secretary, respectively, 

shall promulgate 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) IMPLEMENTATION SCHEDULE.—Paragraph (1) applies to 

vessels in accordance with the following schedule: 

(A) FIRST PHASE.—Beginning January 1, 2009, for vessels constructed on or after that date with a ballast water 

capacity of less than 5,000 cubic meters. 

(B) SECOND PHASE.—Beginning January 1, 2012, for vessels constructed on or after that date with a ballast water 

capacity of 5,000 cubic meters or more. 

(C) THIRD PHASE.—Beginning January 1, 2014, for vessels constructed before January 1, 2009, with a ballast 

water capacity of 1,500 cubic meters or more but not more 

than 5,000 cubic meters. 

33 

(D) FOURTH PHASE.—Beginning January 1, 2016, for vessels constructed— 

(i) before January 1, 2009, with a ballast water capacity of less than 1,500 cubic meters or 5,000 cubic 

meters or more; or 

(ii) on or after January 1, 2009, and before January 

1, 2012, with a ballast water capacity of 5,000 cubic 

meters or more. 

(4) TREATMENT SYSTEM APPROVAL REQUIRED.—The operator 

of a vessel 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 promulgate 

regulations establishing a process for such approval, after consultation with the Administrator, within 1 year after the date 

of enactment of the Ballast Water Management Act of 2005. 

(5) FEASIBILITY REVIEW.— 

(A) IN GENERAL.—Not less than 2 years before the date 

on which paragraph (1) applies to vessels under each subparagraph of paragraph (3), or as that date may be extended under this paragraph, the Secretary shall complete 

a review to determine whether appropriate technologies are 

available to achieve the standards set forth in paragraph 

(1) for the vessels to which they apply under the schedule 

set forth in paragraph (3). In reviewing the technologies the 

Secretary, after consultation with the Administrator, shall 

consider— 

(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) DELAY IN SCHEDULED APPLICATION.—If the Secretary 

determines, on the basis of the review conducted under subparagraph (A), that compliance with the standards set 

forth in paragraph (1) in accordance with the schedule set 

forth in any subparagraph of paragraph (3) is not feasible 

for any class of vessels, the Secretary shall— 

(i) extend the date on which that subparagraph first 

applies to vessels for a period of not more than 24 

months; and 

(ii) recommend action to ensure that compliance with 

the extended date schedule for that subparagraph is 

achieved. 

(C) HIGHER STANDARDS; EARLIER IMPLEMENTATION.— 

(i) STANDARDS.—If the Secretary determines that ballast water treatment technology exists that exceeds the 

performance standards required under this subsection, 

the Secretary shall, for any class of vessels, revise the 

performance standards to incorporate the higher performance standards. 

(ii) IMPLEMENTATION.—If the Secretary determines 

that technology that achieves the applicable performVerDate Aug 31 2005 06:31 Nov 20, 2005 Jkt 049010 PO 00000 Frm 00035 Fmt 6659 Sfmt 6603 E:\HR\OC\SR181.XXX SR181
34 

ance standards required under this subsection can be 

implemented earlier than required by this subsection, 

the Secretary shall, for any class of vessels, accelerate 

the implementation schedule under paragraph (3). If 

the Secretary accelerates the implementation schedule 

pursuant to this clause, the Secretary shall provide at 

least 24 months notice before such accelerated implementation goes into effect. 

(iii) DETERMINATIONS NOT MUTUALLY EXCLUSIVE.— The Secretary shall take action under both clause (i) 

and clause (ii) if the Secretary makes determinations 

under both clauses. 

(6) DELAY OF APPLICATION FOR VESSEL PARTICIPATING IN

PROMISING TECHNOLOGY EVALUATIONS.— 

(A) IN GENERAL.—If a vessel participates in a program 

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 subparagraph (A), (B), (C), or (D) of paragraph (3) applies. 

(C) TERMINATION OF GRACE PERIOD.—The Secretary may 

terminate the 10-year grace period of a vessel under subparagraph (A) if participation of the vessel in the program 

is terminated without the consent of the Secretary. 

(D) ANNUAL RE-EVALUATION; TERMINATION.—The Secretary shall establish an annual evaluation process to determine whether the performance of an approved technology 

is sufficiently effective and whether it is causing harm to 

the environment. If the Secretary determines that an approved technology is insufficiently effective or it causing 

harm to the environment, the Secretary shall revoke the approval granted under subparagraph (D). 

(7) REVIEW OF STANDARDS.— 

(A) IN GENERAL.—In December, 2012, and in every third 

year thereafter, the Secretary shall review ballast water 

treatment standards to determine, after consultation with 

the Undersecretary and the Administrator, 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 successful invasions of aquatic invasive species and improvements in ballast water treatment technology. The Secretary shall revise 

by regulation the requirements of this subsection as necessary. 

35 

(B) APPLICATION OF ADJUSTED STANDARDS.—In the regulations, the Secretary shall provide for the prospective application of the adjusted standards prescribed 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. 

(8) HIGH-RISK VESSELS.— 

(A) VESSEL LIST.—Within 1 year after the date of enactment of the Ballast Water Management Act of 2005, the 

Secretary shall initiate a list, in consultation with States, 

of vessels 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 

unexchanged or improperly exchanged ballast water pursuant to an exception under subsection (e), pose a relatively 

high risk of introducing aquatic invasive species into the 

waters of those States. 

(B) INCENTIVE PROGRAMS.—The Secretary shall— 

(i) give priority to vessels on the list for participation 

in pilot programs described in paragraph (6); and 

(ii) shall encourage Federal and State technology development programs or other incentives (whether positive or negative) to give priority to such vessels 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. 

(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 should 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 required under subsection (c); and 

(B) more than 200 nautical miles from the nearest point 

of land or into a reception facility that meets the requirements of paragraph (3). 

(2) DESIGN REQUIREMENTS.— 

(A) NEW VESSELS.—After December 31, 2008, it shall be 

unlawful to construct a vessel in the United States to which 

this section applies unless that vessel is designed and constructed, in accordance with regulations prescribed under 

subparagraph (C), in a manner that— 

(i) minimizes the uptake and entrapment of sediment; 

(ii) facilitates removal of sediment; and 

36 

(iii) provides for safe access for sediment removal 

and sampling. 

(B) EXISTING VESSELS.—Every vessel to which this section applies that was constructed before January 1, 2009, 

shall be modified before January 1, 2009, to the extent 

practicable, to achieve the objectives described in clauses 

(i), (ii), and (iii) of subparagraph (A). 

(C) REGULATIONS.—The Secretary shall promulgate 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. 

(3) SEDIMENT RECEPTION FACILITIES.— 

(A) STANDARDS.—The Administrator, shall promulgate 

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. The Administrator may not prescribe standards under this subparagraph that are less stringent than any otherwise applicable 

Federal, State, or local law requirements. 

(B) DESIGNATION.—The Administrator shall designate facilities for the reception of vessel sediment that meet the requirements of the regulations promulgated 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 meets the requirements of this section; and 

(ii) the equipment used for ballast water and sediment management in accordance with the requirements 

of this section and the regulations promulgated hereunder 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 VESSELS.—In the case of a foreign vessel (as 

defined in section 2101(12) of title 46, United States Code), 

the Secretary shall perform the examination required by 

37 

this paragraph the first time the vessel enters a United 

States port. 

(2) SUBSEQUENT EXAMINATIONS.—The Secretary shall examine vessels no less frequently than once each year to ensure vessel compliance with the requirements of this section. 

(3) INSPECTION AUTHORITY.—The Secretary may carry out 

such inspections of any vessel to which this section applies at 

any time, including the taking of ballast water samples, to ensure the vessel’s compliance with this Act. 

(4) 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 promulgated hereunder, 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. 

(5) NOTIFICATION OF VIOLATIONS.—If the Secretary finds, on 

the basis of an examination under paragraph (1) or (2), sampling under paragraph (3), or any other information, that a vessel is being operated in violation of the requirements of this section and the regulations promulgated hereunder, the Secretary 

shall— 

(A) notify— 

(i) the master of the vessel; and 

(ii) the captain of the port at the vessel’s next port of 

call; and 

(B) take such other action as may be appropriate. 

(6) COMPLIANCE MONITORING.—The Secretary shall by regulation establish sampling procedures to monitor compliance with 

the requirements of this section. 

(7) EDUCATION AND TECHNICAL ASSISTANCE PROGRAMS.—The 

Secretary may carry out education and technical assistance programs and other measures to promote compliance with the requirements issued under this section. 

(j) DETENTION OF VESSELS.— (1) IN GENERAL.—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— 

(A) the vessel is a vessel to which this section applies; 

and 

(B) the vessel does not comply with the requirements of 

this section or of the regulations issued hereunder or is 

being operated in violation of such requirements. 

(2) CLEARANCE.— 

(A) IN GENERAL.—A vessel detained under paragraph (1) 

may obtain clearance under section 4197 of the Revised 

Statutes (46 U.S.C. App. 91) only if the violation for which 

it was detained has been corrected. 

(B) WITHDRAWAL.—If the Secretary finds that a vessel detained under paragraph (1) has received a clearance under 

section 4197 of the Revised Statutes (46 U.S.C. App. 91) before it was detained under paragraph (1), the Secretary 

shall withdraw, withhold, or revoke the clearance. 

38 

(k) SANCTIONS.— (1) CIVIL PENALTIES.—Any person who violates a regulation 

promulgated 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 the regulations is liable in rem for any civil 

penalty assessed under this subsection for that violation. 

(2) CRIMINAL PENALTIES.—Any person who knowingly violates 

the regulations promulgated under this section is guilty of a 

class C felony. 

(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 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 this section. 

(4) EXCEPTION TO SANCTIONS.— 

(A) IN GENERAL.—This subsection does not apply to a 

failure to exchange ballast water if— 

(i) 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 

(ii) the recordkeeping and reporting requirements of 

the Act are complied with. 

(B) GREAT LAKES.—This paragraph does not apply to vessels operating in the Great Lakes. 

(l) ENFORCEMENT.— (1) ADMINISTRATIVE ACTIONS.—If the Secretary finds, after 

notice and an opportunity for a hearing, that a person has violated any provision of this section or any regulation promulgated hereunder, the Secretary may assess a civil penalty for 

that violation. 

(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 promulgated hereunder. 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 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, 

after 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 aquatic 

invasive species. 

(n) INTERNATIONAL COOPERATION.—The Secretary, in cooperation 

with the Undersecretary, 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 

39 

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 (as defined in the Convention for the Protection and Development of the Marine Environment of the Wider Caribbean 

(Cartagena Convention)) under this section. 

(o) 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. 

(p) SUPPORT FOR FEDERAL BALLAST WATER DEMONSTRATION

PROJECT.—In addition to amounts otherwise available to the Maritime Administration, the National Oceanographic and Atmospheric 

Administration, and the United States Fish and Wildlife Service for 

the Federal Ballast Water Demonstration Project, the Secretary 

shall provide support for the conduct and expansion of the project, 

including grants for research and development of innovative technologies for the management, treatment, and disposal of ballast 

water and sediment, for ballast water exchange, and for other vessel 

vectors of aquatic invasive species such as hull-fouling. There are 

authorized to be appropriated to the Secretary $5,000,000 for each 

of fiscal years 2006 through 2010 to carry out this subsection. 

(q) CONSULTATION WITH TASK FORCE.—The Secretary shall consult with the Task Force in carrying out this section. 

(r) PREEMPTION.— 

(1) IN GENERAL.—Except as provided in paragraph (2) 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. 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 shall not be considered to 

be inconsistent with, or to conflict with, the requirements of 

those subsections. Nothing in the preceding sentence limits the 

scope of State or local law provisions that are not to be considered to be inconsistent with, or to conflict with, the requirements of those subsections 

(2) RECEPTION FACILITIES.—The standards prescribed by the 

Administrator or the Secretary under subsection (f)(2) do not 

supersede any more stringent standard under any otherwise applicable Federal, State, or local law. 

(3) APPLICATION WITH OTHER STATUTES.—This section provides the Federal authority for addressing aquatic invasive species in ballast water or sediment. If there is a conflict between 

any otherwise applicable provision of Federal law and the requirements of this section, the provisions of this section shall 

control to the extent that such requirements relate to vessels 

with respect to aquatic invasive species in ballast water or sediment. 

(s) REGULATIONS.— 

40 

(1) IN GENERAL.—The Secretary, after consultation with the 

Administrator, shall issue such regulations as may be necessary 

initially to carry out this section within 1 year after the date of 

enactment of the Ballast Water Management Act of 2005. 

(2) JUDICIAL REVIEW.— (A) 120-DAY RULE.—An interested person may bring an 

action for review of a final regulation promulgated under 

this section by the Secretary of the department in which the 

Coast Guard is operating, or by the Administrator, in the 

United States Circuit Court of Appeals for the Federal judicial district in which that person resides or transacts business which is directly affected by that regulation only if 

that action is filed within— 

(i) 120 days after the date on which the regulation 

is promulgated; or 

(ii) more than 120 days after that date if the action 

is based on grounds that arose after that 120-day period. 

(B) REVIEW IN ENFORCEMENT PROCEEDINGS.—A regulation for which review could have been obtained under subparagraph (A) of this paragraph is not subject to judicial 

review in any civil or criminal proceeding for enforcement. 

SEC. 1102. NATIONAL BALLAST WATER MANAGEMENT INFORMATION. 

[16 U.S.C. 4712] 

(a) STUDIES ON INTRODUCTION OF øAQUATIC NUISANCE¿ AQUATIC

INVASIVE SPECIES BY VESSELS.— (1) BALLAST EXCHANGE STUDY.—The Task Force, in cooperation with the Secretary, shall conduct a study— 

(A) to assess the environmental effects of ballast water 

exchange on the diversity and abundance of native species 

in receiving estuarine, marine, and fresh waters of the 

United States; and 

(B) to identify areas within the waters of the United 

States and the exclusive economic zone, if any, where the 

exchange of ballast water does not pose a threat of infestation or spread of øaquatic nuisance¿ aquatic invasive species in the Great Lakes and other waters of the United 

States. 

(2) BIOLOGICAL STUDY.—The Task Force, in cooperation with 

the Secretary, shall conduct a study to determine whether 

øaquatic nuisance¿ aquatic invasive species threaten the ecological characteristics and economic uses of Lake Champlain 

and other waters of the United States other than the Great 

Lakes. 

(3) SHIPPING STUDY.—The Secretary shall conduct a study to 

determine the need for controls on vessels entering waters of 

the United States, other than the Great Lakes, to minimize the 

risk of unintentional introduction and dispersal of øaquatic 

nuisance¿ aquatic invasive species in those waters. The study 

shall include an examination of— 

(A) the degree to which shipping may be a major pathway of transmission of øaquatic nuisance¿ aquatic invasive 

species in those waters; 

(B) possible alternatives for controlling introduction of 

those species through shipping; and 

41 

(C) the feasibility of implementing regional versus national control measures. 

(b) ECOLOGICAL AND BALLAST WATER DISCHARGE SURVEYS.— (1) ECOLOGICAL SURVEYS.— (A) IN GENERAL.—The Task Force, in cooperation with 

the Secretary, shall conduct ecological surveys of the 

Chesapeake Bay, San Francisco Bay, and Honolulu Harbor 

and, as necessary, of other estuaries of national significance and other waters that the Task Force determines— 

(i) to be highly susceptible to invasion by øaquatic 

nuisance¿ aquatic invasive species resulting from ballast water operations and other operations of vessels; 

and 

(ii) to require further study. 

(B) REQUIREMENTS FOR SURVEYS.—In conducting the 

surveys under this paragraph, the Task Force shall, with 

respect to each such survey— 

(i) examine the attributes and patterns of invasions 

of øaquatic nuisance¿ aquatic invasive species; and 

(ii) provide an estimate of the effectiveness of ballast 

water management and other vessel management 

guidelines issued and regulations promulgated under 

this subtitle in abating invasions of øaquatic nuisance¿ aquatic invasive species in the waters that are 

the subject of the survey. 

(2) BALLAST WATER DISCHARGE SURVEYS.— (A) IN GENERAL.—The Secretary, in cooperation with the 

Task Force, shall conduct surveys of ballast water discharge rates and practices in the waters referred to in 

paragraph (1)(A) on the basis of the criteria under clauses 

(i) and (ii) of such paragraph. 

(B) REQUIREMENTS FOR SURVEYS.—In conducting the 

surveys under this paragraph, the Secretary shall— 

(i) examine the rate of, and trends in, ballast water 

discharge in the waters that are the subject of the survey; and 

(ii) assess the effectiveness of voluntary guidelines 

issued, and regulations promulgated, under this subtitle in altering ballast water discharge practices to reduce the probability of accidental introductions of 

øaquatic nuisance¿ aquatic invasive species. 

(3) COLUMBIA RIVER.—The Secretary, in cooperation with the 

Task Force and academic institutions in each of the States affected, shall conduct an ecological and ballast water discharge 

survey of the Columbia River system consistent with the requirements of paragraphs (1) and (2). 

(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 section 1101(b), 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. 

(2) BIOLOGICAL AND SHIPPING STUDIES.—Not later than 18 

months after the date of enactment of this Act, the Secretary 

42 

and the Task Force shall each submit to the Congress a report 

on the results of their respective studies under paragraphs (2) 

and (3) of subsection (a). 

(d) NEGOTIATIONS.—The Secretary, working through the International Maritime Organization, is encouraged to enter into negotiations with the governments of foreign countries concerning the 

planning and implementation of measures aimed at the prevention 

and control of unintentional introductions of øaquatic nuisance¿ 

aquatic invasive species in coastal waters. 

(e) REGIONAL RESEARCH GRANTS.—Out of amounts appropriated 

to carry out this subsection for a fiscal year, the Under Secretary 

may— (1) make available not to exceed $750,000 to fund research 

on øaquatic nuisance¿ aquatic invasive species prevention and 

control in the Chesapeake Bay through grants, to be competitively awarded and subject to peer review, to universities and 

research institutions; 

(2) make available not to exceed $500,000 to fund research 

on øaquatic nuisance¿ aquatic invasive species prevention and 

control in the Gulf of Mexico through grants, to be competitively awarded and subject to peer review, to universities and 

research institutions; 

(3) make available not to exceed $500,000 to fund research 

on øaquatic nuisance¿ aquatic invasive species prevention and 

control for the Pacific Coast through grants, to be competitively 

awarded and subject to peer review, to universities and research institutions; 

(4) make available not to exceed $500,000 to fund research 

on øaquatic nuisance¿ aquatic invasive species prevention and 

control for the Atlantic Coast through grants, to be competitively awarded and subject to peer review, to universities and 

research institutions; and 

(5) make available not to exceed $750,000 to fund research 

on øaquatic nuisance¿ aquatic invasive species prevention and 

control in the San Francisco Bay-Delta Estuary through 

grants, to be competitively awarded and subject to peer review, 

to universities and research institutions. 

(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) ballasting practices; 

(B) compliance with the guidelines issued pursuant to 

section 1101(c); and 

(C) any other information obtained by the Task Force 

under subsection (b). 

(2) REPORT.—In consultation and cooperation with the Task 

Force and the Smithsonian Institution (acting through the 

Smithsonian Environmental Research Center), the Secretary 

shall prepare and submit to the Task Force and the Congress, 

on a biennial basis, a report that synthesizes and analyzes the 

data referred to in paragraph (1) relating to— 

(A) ballast water delivery and management; and 

43 

(B) invasions of øaquatic nuisance¿ aquatic invasive species resulting from ballast water. 

øSEC. 1103. ARMED SERVICES BALLAST WATER PROGRAMS. 

[16 U.S.C. 4713] 

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.¿ 

SEC. 1104. BALLAST WATER MANAGEMENT DEMONSTRATION PROGRAM. 

[16 U.S.C. 4714] 

(a) TECHNOLOGIES AND PRACTICES DEFINED.—For purposes of 

this section, the term ‘‘technologies and practices’’ means those 

technologies and practices that— 

(1) may be retrofitted— 

(A) on existing vessels or incorporated in new vessel designs; and 

(B) on existing land-based ballast water treatment facilities; 

(2) may be designed into new water treatment facilities; 

(3) are operationally practical; 

(4) are safe for a vessel and crew; 

(5) are environmentally sound; 

(6) are cost-effective; 

(7) a vessel operator is capable of monitoring; and 

(8) are effective against a broad range of øaquatic nuisance¿ 

aquatic invasive species. 

(b) DEMONSTRATION PROGRAM.— 

(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. 

(2) LOCATION.—The installation and construction of the technologies and practices used in the demonstration program conducted under this subsection shall be performed in the United 

States. 

(3) VESSEL SELECTION.—In demonstrating technologies and 

practices on vessels under this subsection, the Secretary of the 

Interior and the Secretary of Commerce, shall— 

44 

(A) use only vessels that— 

(i) are approved by the Secretary; 

(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 

(iii) are— 

(I) publicly or privately owned; and 

(II) in active use for trade or other cargo shipment purposes during the demonstration; 

(B) select vessels for participation in the program by giving priority consideration— 

(i) first, to vessels documented under chapter 121 of 

title 46, United States Code; 

(ii) second, to vessels that are a majority owned by 

citizens of the United States, as determined by the 

Secretary; and 

(iii) third, to any other vessels that regularly call on 

ports in the United States; and 

(C) seek to use a variety of vessel types, including vessels that— 

(i) call on ports in the United States and on the 

Great Lakes; and 

(ii) are operated along major coasts of the United 

States and inland waterways, including the San Francisco Bay and Chesapeake Bay. 

(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. 

(5) REPORT.—Not later than 3 years after the date of enactment of the National Invasive Species Act of 1996, the Secretary of the Interior and the Secretary of Commerce shall prepare and submit a report to the Congress on the demonstration 

program conducted pursuant to this section. The report shall 

include findings and recommendations of the Secretary of the 

Interior and the Secretary of Commerce concerning technologies and practices. 

(c) AUTHORITIES; CONSULTATION AND COOPERATION WITH INTERNATIONAL MARITIME ORGANIZATION AND TASK FORCE.— 

(1) AUTHORITIES.—In conducting the demonstration program 

under subsection (b), the Secretary of the Interior may— 

(A) enter into cooperative agreements with appropriate 

officials of other agencies of the Federal Government, 

agencies of States and political subdivisions thereof, and 

private entities; 

(B) accept funds, facilities, equipment, or personnel from 

other Federal agencies; and 

(C) accept donations of property and services. 

(2) CONSULTATION AND COOPERATION.—The Secretary of the 

Interior shall consult and cooperate with the International 

45 

Maritime Organization and the Task Force in carrying out this 

section. 

SUBTITLE C—PREVENTION AND CONTROL OF AQUATIC NUISANCE

SPECIES

SEC. 1201. ESTABLISHMENT OF TASK FORCE. 

[16 U.S.C. 4721] 

(a) TASK FORCE.—There is hereby established an ‘‘øAquatic Nuisance¿ Aquatic Invasive Species Task Force’’. 

(b) MEMBERSHIP.—Membership of the Task Force shall consist 

of— 

(1) the Director; 

(2) the Under Secretary; 

(3) the Administrator of the Environmental Protection Agency; 

(4) the Commandant of the United States Coast Guard; 

(5) the Assistant Secretary; 

(6) the Secretary of Agriculture; and 

(7) the head of any other Federal agency that the chairpersons designated under subsection (d) deem appropriate. 

(c) EX OFFICIO MEMBERS.—The chairpersons designated under 

subsection (d) shall invite representatives of the Great Lakes Commission, the Lake Champlain Basin Program, the Chesapeake Bay 

Program, the San Francisco Bay-Delta Estuary Program, and State 

agencies and other governmental entities to participate as ex officio 

members of the Task Force. 

(d) CHAIRPERSONS.—The Director and the Under Secretary shall 

serve as co-chairpersons of the Task Force and shall be jointly responsible, and are authorized to undertake such activities as may 

be necessary, for carrying out this subtitle in consultation and cooperation with the other members of the Task Force. 

(e) MEMORANDUM OF UNDERSTANDING.—Within six months of the 

date of enactment of this Act, the Director and the Under Secretary 

shall develop a memorandum of understanding that describes the 

role of each in jointly carrying out this subtitle. 

(f) COORDINATION.—Each Task Force member shall coordinate 

any action to carry out this subtitle with any such action by other 

members of the Task Force, and regional, State and local entities. 

øSEC. 1202. AQUATIC NUISANCE SPECIES PROGRAM.¿ 

SEC. 1202. AQUATIC INVASIVE SPECIES PROGRAM. 

[16 U.S.C. 4722] 

(a) IN GENERAL.—The Task Force shall develop and implement 

a program for waters of the United States to prevent introduction 

and dispersal of øaquatic nuisance¿ aquatic invasive species; to 

monitor, control and study such species; and to disseminate related 

information. 

(b) CONTENT.—The program developed under subsection (a) 

shall— 

(1) identify the goals, priorities, and approaches for øaquatic 

nuisance¿ aquatic invasive species prevention, monitoring, control, education and research to be conducted or funded by the 

Federal Government; 

46 

(2) describe the specific prevention, monitoring, control, education and research activities to be conducted by each Task 

Force member; 

(3) coordinate øaquatic nuisance¿ aquatic invasive species 

programs and activities of Task Force members and affected 

State agencies; 

(4) describe the role of each Task Force member in implementing the elements of the program as set forth in this subtitle; 

(5) include recommendations for funding to implement elements of the program; and 

(6) develop a demonstration program of prevention, monitoring, control, education and research for the zebra mussel, to 

be implemented in the Great Lakes and any other waters infested, or likely to become infested in the near future, by the 

zebra mussel. 

(c) PREVENTION.— 

(1) IN GENERAL.—The Task Force shall establish and implement measures, within the program developed under subsection (a), to minimize the risk of introduction of øaquatic nuisance¿ aquatic invasive species to waters of the United States, 

including— 

(A) identification of pathways by which aquatic organisms are introduced to waters of the United States; 

(B) assessment of the risk that an aquatic organism carried by an identified pathway may become an øaquatic 

nuisance¿ aquatic invasive species; and 

(C) evaluation of whether measures to prevent introductions of øaquatic nuisance¿ aquatic invasive species are effective and environmentally sound. 

(2) IMPLEMENTATION.—Whenever the Task Force determines 

that there is a substantial risk of unintentional introduction of 

an øaquatic nuisance¿ aquatic invasive species by an identified 

pathway and that the adverse consequences of such an introduction are likely to be substantial, the Task Force shall, acting through the appropriate Federal agency, and after an opportunity for public comment, carry out cooperative, environmentally sound efforts with regional, State and local entities to 

minimize the risk of such an introduction. 

(d) MONITORING.—The Task Force shall establish and implement 

monitoring measures, within the program developed under subsection (a), to— 

(1) detect unintentional introductions of øaquatic nuisance¿ 

aquatic invasive species; 

(2) determine the dispersal of øaquatic nuisance¿ aquatic 

invasive species after introduction; and 

(3) provide for the early detection and prevention of infestations of øaquatic nuisance¿ aquatic invasive species in unaffected drainage basins. 

(e) CONTROL.— (1) IN GENERAL.—The Task Force may develop cooperative 

efforts, within the program established under subsection (a), to 

control established øaquatic nuisance¿ aquatic invasive species 

to minimize the risk of harm to the environment and the public health and welfare. For purposes of this Act, control efforts 

47 

include eradication of infestations, reductions of populations, 

development of means of adapting human activities and public 

facilities to accommodate infestations, and prevention of the 

spread of øaquatic nuisance¿ aquatic invasive species from infested areas. Such control efforts shall be developed in consultation with affected Federal agencies, States, Indian Tribes, 

local governments, interjurisdictional organizations, and other 

appropriate entities. Control actions authorized by this section 

shall be based on the best available scientific information and 

shall be conducted in an environmentally sound manner. 

(2) DECISIONS.—The Task Force or any other affected agency 

or entity may recommend that the Task Force initiate a control 

effort. In determining whether a control program is warranted, 

the Task Force shall evaluate the need for control (including 

the projected consequences of no control and less than full control); the technical and biological feasibility and cost-effectiveness of alternative control strategies and actions; whether the 

benefits of control, including costs avoided, exceed the costs of 

the program; the risk of harm to non-target organisms and ecosystems, public health and welfare; and such other considerations the Task Force determines appropriate. The Task Force 

shall also determine the nature and extent of control of target 

øaquatic nuisance¿ aquatic invasive species that is feasible and 

desirable. 

(3) PROGRAMS.—If the Task Force determines in accordance 

with paragraph (2) that control of an øaquatic nuisance¿ 

aquatic invasive species is warranted, the Task Force shall develop a proposed control program to achieve the target level of 

control. A notice summarizing the proposed action and soliciting comments shall be published in the Federal Register, in 

major newspapers in the region affected, and in principal trade 

publications of the industries affected. Within 180 days of proposing a control program, and after consultation with affected 

governmental and other appropriate entities and taking into 

consideration other comments received, the Task Force shall 

complete development of the proposed control program. 

(f) RESEARCH.— 

(1) PRIORITIES.—The Task Force shall, within the program 

developed under subsection (a), conduct research concerning— 

(A) the environmental and economic risks and impacts 

associated with the introduction of øaquatic nuisance¿ 

aquatic invasive species into the waters of the United 

States; 

(B) the principal pathways by which øaquatic nuisance¿ 

aquatic invasive species are introduced and dispersed; 

(C) possible methods for the prevention, monitoring and 

control of øaquatic nuisance¿ aquatic invasive species; and 

(D) the assessment of the effectiveness of prevention, 

monitoring and control methods. 

(2) PROTOCOL.—Within 90 days of the date of enactment of 

this Act, the Task Force shall establish and follow a protocol 

to ensure that research activities carried out under this subtitle do not result in the introduction of øaquatic nuisance¿ 

aquatic invasive species to waters of the United States. 

48 

(3) GRANTS FOR RESEARCH.—The Task Force shall allocate 

funds authorized under this Act for competitive research 

grants to study all aspects of øaquatic nuisance¿ aquatic 

invasive species, which shall be administered through the National Sea Grant College Program and the Cooperative Fishery 

and Wildlife Research Units. Grants shall be conditioned to ensure that any recipient of funds follows the protocol established 

under paragraph (2) of this subsection. 

(g) TECHNICAL ASSISTANCE.—The Task Force shall, within the 

program developed under subsection (a), provide technical assistance to State and local governments and persons to minimize the 

environmental, public health, and safety risks associated with 

øaquatic nuisance¿ aquatic invasive species, including an early 

warning system for advance notice of possible infestations and appropriate responses. 

(h) EDUCATION.—The Task Force shall, with the program developed under subsection (a), establish and implement educational 

programs through Sea Grant Marine Advisory Services and any 

other available resources that it determines to be appropriate to inform the general public, State governments, governments of political subdivisions of States, and industrial and recreational users of 

aquatic resources in connection with matters concerning the identification of øaquatic nuisance¿ aquatic invasive species, and control 

methods for such species, including the prevention of the further 

distribution of such species. 

(i) ZEBRA MUSSEL DEMONSTRATION PROGRAM.— (1) ZEBRA MUSSEL.— (A) IN GENERAL.—The Task Force shall, within the program developed under subsection (a), undertake a program 

of prevention, monitoring, control, education and research 

for the zebra mussel to be implemented in the Great Lakes 

and any other waters of the United States infested or likely to become infested by the zebra mussel, including— 

(i) research and development concerning the species 

life history, environmental tolerances and impacts on 

fisheries and other ecosystem components, and the efficacy of control mechanisms and means of avoiding or 

minimizing impacts; 

(ii) tracking the dispersal of the species and establishment of an early warning system to alert likely 

areas of future infestations; 

(iii) development of control plans in coordination 

with regional, State and local entities; and 

(iv) provision of technical assistance to regional, 

State and local entities to carry out this section. 

(B) PUBLIC FACILITY RESEARCH AND DEVELOPMENT.—The 

Assistant Secretary, in consultation with the Task Force, 

shall develop a program of research, technology development, and demonstration for the environmentally sound 

control of zebra mussels in and around public facilities. 

The Assistant Secretary shall collect and make available, 

through publications and other appropriate means, information pertaining to such control methods. 

(C) VOLUNTARY GUIDELINES.—Not later than 1 year after 

the date of enactment of this subparagraph, the Task 

49 

Force shall develop and submit to the Secretary voluntary 

guidelines for controlling the spread of the zebra mussel 

and, if appropriate, other øaquatic nuisance¿ aquatic 

invasive species through recreational activities, including 

boating and fishing. Not later than 4 months after the date 

of such submission, and after providing notice and an opportunity for public comment, the Secretary shall issue 

voluntary guidelines that are based on the guidelines developed by the Task Force under this subparagraph. 

(2) DISPERSAL CONTAINMENT ANALYSIS.— 

(A) RESEARCH.—The Administrator of the Environmental Protection Agency, in cooperation with the National Science Foundation and the Task Force, shall provide research grants on a competitive basis for projects 

that— 

(i) identify environmentally sound methods for controlling the dispersal of øaquatic nuisance¿ aquatic 

invasive species, such as the zebra mussel; and 

(ii) adhere to research protocols developed pursuant 

to subsection (f)(2). 

(B) AUTHORIZATION OF APPROPRIATIONS.—There are authorized to be appropriated to the Environmental Protection Agency to carry out this paragraph, $500,000. 

(3) DISPERSAL BARRIER DEMONSTRATION.— 

(A) IN GENERAL.—The Assistant Secretary, in consultation with the Task Force, shall investigate and identify environmentally sound methods for preventing and reducing 

the dispersal of øaquatic nuisance¿ aquatic invasive species between the Great Lakes-Saint Lawrence drainage 

and the Mississippi River drainage through the Chicago 

River Ship and Sanitary Canal, including any of those 

methods that could be incorporated into the operation or 

construction of the lock system of the Chicago River Ship 

and Sanitary Canal. 

(B) REPORT.—Not later than 18 months after the date of 

enactment of this paragraph, the Assistant Secretary shall 

issue a report to the Congress that includes recommendations concerning— 

(i) which of the methods that are identified under 

the study conducted under this paragraph are most 

promising with respect to preventing and reducing the 

dispersal of øaquatic nuisance¿ aquatic invasive species; and 

(ii) ways to incorporate those methods into ongoing 

operations of the United States Army Corps of Engineers that are conducted at the Chicago River Ship 

and Sanitary Canal. 

(C) AUTHORIZATION OF APPROPRIATIONS.—There are authorized to be appropriated to the Department of the 

Army, to carry out this paragraph, $750,000. 

(4) CONTRIBUTIONS.—To the extent allowable by law, in carrying out the studies under paragraphs (2) and (3), the Administrator of the Environmental Protection Agency and the Secretary of the Army may enter into an agreement with an interVerDate Aug 31 2005 06:31 Nov 20, 2005 Jkt 049010 PO 00000 Frm 00051 Fmt 6659 Sfmt 6601 E:\HR\OC\SR181.XXX SR181
50 

ested party under which that party provides in kind or monetary contributions for the study. 

(5) TECHNICAL ASSISTANCE.—The Great Lakes Environmental Research Laboratory of the National Oceanic and Atmospheric Administration shall provide technical assistance to 

appropriate entities to assist in the research conducted pursuant to this subsection. 

(j) IMPLEMENTATION.— (1) REGULATIONS.—The Director, the Secretary, and the 

Under Secretary may issue such rules and regulations as may 

be necessary to implement this section. 

(2) PARTICIPATION OF OTHERS.—The Task Force shall provide 

opportunities for affected Federal agencies which are not part 

of the Task Force, State and local government agencies, and 

regional and other entities with the necessary expertise to participate in control programs. If these other agencies or entities 

have sufficient authority or jurisdiction and expertise and 

where this will be more efficient or effective, responsibility for 

implementing all or a portion of a control program may be delegated to such agencies or entities. 

(k) REPORTS.— (1) Not later than 12 months after the date of enactment of 

this Act, the Task Force shall submit a report describing the 

program developed under subsection (a), including the research 

protocol required under subsection (f)(2), to the Congress. 

(2) On an annual basis after the submission of the report 

under paragraph (1), the Task Force shall submit a report to 

the Congress detailing progress in carrying out this section. 

SEC. 1203. REGIONAL COORDINATION. 

[16 U.S.C. 4723] 

(a) GREAT LAKES PANEL.— (1) IN GENERAL.—Not later than 30 days following the date 

of enactment of this Act, the Task Force shall request that the 

Great Lakes Commission (established under Article IV of the 

Great Lakes Compact to which the Congress granted consent 

in the Act of July 24, 1968, convene a panel of Great Lakes region representatives from Federal, State, and local agencies 

and from private environmental and commercial interests to— 

(A) identify priorities for the Great Lakes region with respect to øaquatic nuisance¿ aquatic invasive species; 

(B) make recommendations to the Task Force regarding 

programs to carry out section 1202(i) of this Act; 

(C) assist the Task Force in coordinating Federal 

øaquatic nuisance¿ aquatic invasive species program activities in the Great Lakes region; 

(D) coordinate, where possible, øaquatic nuisance¿ 

aquatic invasive species program activities in the Great 

Lakes region that are not conducted pursuant to this Act; 

(E) provide advice to public and private individuals and 

entities concerning methods of controlling øaquatic nuisance¿ aquatic invasive species; and 

(F) submit annually a report to the Task Force describing activities within the Great Lakes region related to 

øaquatic nuisance¿ aquatic invasive species prevention, research, control. 

51 

(2) CONSULTATION.—The Task Force shall request that the 

Great Lakes Fishery Commission provide information to the 

panel convened under this subsection on technical and policy 

matters related to the international fishery resources of the 

Great Lakes. 

(3) CANADIAN PARTICIPATION.—The panel convened under 

this subsection is encouraged to invite representatives from the 

Federal, provincial or territorial governments of Canada to 

participate as observers. 

(b) WESTERN REGIONAL PANEL.—Not later than 30 days after the 

date of enactment of the National Invasive Species Act of 1996, the 

Task Force shall request a Western regional panel, comprised of 

Western region representatives from Federal, State, and local agencies and from private environmental and commercial interests, to— 

(1) identify priorities for the Western region with respect to 

øaquatic nuisance¿ aquatic invasive species; 

(2) make recommendations to the Task Force regarding an 

education, monitoring (including inspection), prevention, and 

control program to prevent the spread of the zebra mussel west 

of the 100th Meridian pursuant to section 1202(i) of this Act; 

(3) coordinate, where possible, other øaquatic nuisance¿ 

aquatic invasive species program activities in the Western region that are not conducted pursuant to this Act; 

(4) develop an emergency response strategy for Federal, 

State, and local entities for stemming new invasions of øaquatic nuisance¿ aquatic invasive species in the region; 

(5) provide advice to public and private individuals and entities concerning methods of preventing and controlling øaquatic 

nuisance¿ aquatic invasive species infestations; and 

(6) submit annually a report to the Task Force describing activities within the Western region related to øaquatic nuisance¿ aquatic invasive species prevention, research, and control. 

(c) ADDITIONAL REGIONAL PANELS.—The Task Force shall— 

(1) encourage the development and use of regional panels 

and other similar entities in regions in addition to the Great 

Lakes and Western regions (including providing financial assistance for the development and use of such entities) to carry 

out, with respect to those regions, activities that are similar to 

the activities described in subsections (a) and (b); and 

(2) cooperate with regional panels and similar entities that 

carry out the activities described in paragraph (1). 

øSEC. 1204. STATE AQUATIC NUISANCE SPECIES MANAGEMENT 

PLANS.¿ 

SEC. 1204. STATE AQUATIC INVASIVE SPECIES MANAGEMENT PLANS. 

[16 U.S.C. 4724] 

(a) STATE OR INTERSTATE INVASIVE SPECIES MANAGEMENT

PLANS.— 

(1) IN GENERAL.—After providing notice and opportunity for 

public comment, the Governor of each State may prepare and 

submit, or the Governors of the States and the governments of 

the Indian tribes involved in an interstate organization, may 

jointly prepare and submit— 

52 

(A) a comprehensive management plan to the Task Force 

for approval which identifies those areas or activities within the State or within the interstate region involved, other 

than those related to public facilities, for which technical, 

enforcement, or financial assistance (or any combination 

thereof) is needed to eliminate or reduce the environmental, public health, and safety risks associated with 

øaquatic nuisance¿ aquatic invasive species, particularly 

the zebra mussel; and 

(B) a public facility management plan to the Assistant 

Secretary for approval which is limited solely to identifying those public facilities within the State or within the 

interstate region involved for which technical and financial 

assistance is needed to reduce infestations of zebra mussels. 

(2) CONTENT.—Each plan shall, to the extent possible, identify the management practices and measures that will be undertaken to reduce infestations of øaquatic nuisance¿ aquatic 

invasive species. Each plan shall— 

(A) identify and describe State and local programs for 

environmentally sound prevention and control of the target 

øaquatic nuisance¿ aquatic invasive species; 

(B) identify Federal activities that may be needed for environmentally sound prevention and control of øaquatic 

nuisance¿ aquatic invasive species and a description of the 

manner in which those activities should be coordinated 

with State and local government activities; 

(C) identify any authority that the State (or any State 

or Indian tribe involved in the interstate organization) 

does not have at the time of the development of the plan 

that may be necessary for the State (or any State or Indian tribe involved in the interstate organization) to protect public health, property, and the environment from 

harm by øaquatic nuisance¿ aquatic invasive species; and 

(D) a schedule of implementing the plan, including a 

schedule of annual objectives, and enabling legislation. 

(3) CONSULTATION.— (A) In developing and implementing a management plan, 

the State or interstate organization should, to the maximum extent practicable, involve local governments and regional entities, Indian tribes, and public and private organizations that have expertise in the control of øaquatic 

nuisance¿ aquatic invasive species. 

(B) Upon the request of a State or the appropriate official of an interstate organization, the Task Force or the 

Assistant Secretary, as appropriate under paragraph (1), 

may provide technical assistance in developing and implementing a management plan. 

(4) PLAN APPROVAL.—Within 90 days after the submission of 

a management plan, the Task Force or the Assistant Secretary 

in consultation with the Task Force, as appropriate under 

paragraph (1), shall review the proposed plan and approve it 

if it meets the requirements of this subsection or return the 

plan to the Governor or the interstate organization with recommended modifications. 

53 

(b) GRANT PROGRAM.— 

(1) STATE GRANTS.—The Director may, at the recommendation of the Task Force, make grants to States with management plans approved under subsection (a) for the implementation of those plans. 

(2) APPLICATION.—An application for a grant under this subsection shall include an identification and description of the 

best management practices and measures which the State proposes to utilize in implementing an approved management 

plan with any Federal assistance to be provided under the 

grant. 

(3) FEDERAL SHARE.— 

(A) The Federal share of the cost of each comprehensive 

management plan implemented with Federal assistance 

under this section in any fiscal year shall not exceed 75 

percent of the cost incurred by the State in implementing 

such management program and the non-Federal share of 

such costs shall be provided from non-Federal sources. 

(B) The Federal share of the cost of each public facility 

management plan implemented with Federal assistance 

under this section in any fiscal year shall not exceed 50 

percent of the cost incurred by the State in implementing 

such management program and the non-Federal share of 

such costs shall be provided from non-Federal sources. 

(4) ADMINISRATIVE COSTS.—For the purposes of this section, 

administrative costs for activities and programs carried out 

with a grant in any fiscal year shall not exceed 5 percent of 

the amount of the grant in that year. 

(5) IN-KIND CONTRIBUTIONS.—In addition to cash outlays and 

payments, in-kind contributions of property or personnel services by non-Federal interests for activities under this section 

may be used for the non-Federal share of the cost of those activities. 

(c) ENFORCEMENT ASSISTANCE.—Upon request of a State or Indian tribe, the Director or the Under Secretary, to the extent allowable by law and in a manner consistent with section 141 of title 

14, United States Code, may provide assistance to a State or Indian tribe in enforcing an approved State or interstate invasive 

species management plan. 

SEC. 1205. RELATIONSHIP TO OTHER LAWS. 

[16 U.S.C. 4725] 

All actions taken by Federal agencies in implementing the provisions of section 1202 shall be consistent with all applicable Federal, 

State, and local environmental laws. Nothing in this title shall affect the authority of any State or political subdivision thereof to 

adopt or enforce control measures for øaquatic nuisance¿ aquatic 

invasive species, or diminish or affect the jurisdiction of any State 

over species of fish and wildlife. Compliance with the control and 

eradication measures of any State or political subdivision thereof 

regarding øaquatic nuisance¿ aquatic invasive species shall not relieve any person of the obligation to comply with the provisions of 

this subtitle. 

54 

SEC. 1206. INTERNATIONAL COOPERATION. 

[16 U.S.C. 4726] 

(a) ADVICE.—The Task Force shall provide timely advice to the 

Secretary of State concerning øaquatic nuisance¿ aquatic invasive 

species that infest waters shared with other countries. 

(b) NEGOTIATIONS.—The Secretary of State, in consultation with 

the Task Force, is encouraged to initiate negotiations with the governments of foreign countries concerning the planning and implementation of prevention, monitoring, research, education, and control programs related to øaquatic nuisance¿ aquatic invasive species infesting shared water resources. 

SEC. 1207. INTENTIONAL INTRODUCTIONS POLICY REVIEW. 

[16 U.S.C. 4727] 

Within one year of the date of enactment of this Act, the Task 

Force shall, in consultation with State fish and wildlife agencies, 

other regional, State and local entities, potentially affected industries and other interested parties, identify and evaluate approaches 

for reducing the risk of adverse consequences associated with intentional introduction of aquatic organisms and submit a report of 

their findings, conclusions and recommendations to the Congress. 

SEC. 1209. BROWN TREE SNAKE CONTROL PROGRAM. 

[16 U.S.C. 4728] 

The Task Force shall, within the program developed under subsection (a), undertake a comprehensive, environmentally sound program in coordination with regional, territorial, State and local entities to control the brown tree snake (Boiga irregularis) in Guam 

and other areas where the species is established outside of its historic range. 

SUBTITLE D—AUTHORIZATIONS OF APPROPRIATIONS

SEC. 1301. AUTHORIZATIONS. 

[16 U.S.C. 4741] 

(a) PREVENTION OF UNINTENTIONAL INTRODUCTIONS.—There are 

authorized to be appropriated to develop and implement the provisions of subtitle B— 

(1) $500,000 until the end of fiscal year 1992 to the Secretary 

to carry out sections 1101 and 1102(a)(3); 

(2) $2,000,000 until the end of fiscal year 1992 to the Director and Under Secretary to carry out the studies under sections 1102(a)(1) and 1102(a)(2); 

(3) to the Secretary to carry out section 1101— 

(A) $2,000,000 for each of fiscal years 1997 and 1998; 

and 

(B) $3,000,000 for each of fiscal years 1999 through 

2002; 

(4) for each of fiscal years 1997 through 2002, to carry out 

paragraphs (1) and (2) of section 1102(b)— 

(A) $1,000,000 to the Department of the Interior, to be 

used by the Director; and 

(B) $1,000,000 to the Secretary; øand¿ 

(5) for each of fiscal years 1997 through 2002— 

(A) $3,000,000, which shall be made available from 

funds otherwise authorized to be appropriated if such 

55 

funds are so authorized, to the Under Secretary to carry 

out section 1102(e); and 

(B) $500,000 to the Secretary to carry out section 

ø1102(f).¿ 1102(f); and (6) $20,000,000 for each of fiscal years 2006 through 2010 to 

the Secretary to carry out section 1101. 

(b) TASK FORCE AND øAQUATIC NUISANCE¿ AQUATIC INVASIVE

SPECIES PROGRAM.—There are authorized to be appropriated for 

each of fiscal years 1997 through 2002 to develop and implement 

the provisions of subtitle C— (1) $6,000,000 to the Department of the Interior, to be used 

by the Director to carry out sections 1202 and 1209; (2) $1,000,000 to the Department of Commerce, to be used by 

the Under Secretary to carry out section 1202; (3) $1,625,000, which shall be made available from funds 

otherwise authorized to be appropriated if such funds are so 

authorized, to fund øaquatic nuisance¿ aquatic invasive species 

prevention and control research under section 1202(i) at the 

Great Lakes Environmental Research Laboratory of the National Oceanic and Atmospheric Administration, of which 

$500,000 shall be made available for grants, to be competitively awarded and subject to peer review, for research relating 

to Lake Champlain; (4) $5,000,000 for competitive grants for university research 

on øaquatic nuisance¿ aquatic invasive species under section 

1202(f)(3) as follows: 

(A) $2,800,000, which shall be made available from 

funds otherwise authorized to be appropriated if such 

funds are so authorized, to fund grants under section 205 

of the National Sea Grant College Program Act (33 U.S.C. 

1124); 

(B) $1,200,000 to fund grants to colleges for the benefit 

of agriculture and the mechanic arts referred to in the first 

section of the Act of August 30, 1890 (26 Stat. 417, chapter 

841; 7 U.S.C. 322); and 

(C) $1,000,000 to fund grants through the Cooperative 

Fisheries and Wildlife Research Unit Program of the 

United States Fish and Wildlife Service; 

(5) $3,000,000 to the Department of the Army, to be used by 

the Assistant Secretary to carry out section 1202(i)(1)(B); and 

(6) $300,000 to the Department of the Interior, to be used by 

the Director to fund regional panels and similar entities under 

section 1203, of which $100,000 shall be used to fund activities 

of the Great Lakes Commission. 

(c) GRANTS FOR STATE MANAGEMENT PROGRAMS.—There are authorized to be appropriated for each of fiscal years 1997 through 

2002 $4,000,000 to the Department of the Interior, to be used by 

the Director for making grants under section 1204, of which 

$1,500,000 shall be used by the Director, in consultation with the 

Assistant Secretary, for management of øaquatic nuisance¿ aquatic 

invasive vegetation species. 

(d) INTENTIONAL INTRODUCTIONS POLICY REVIEW.—There are authorized to be appropriated for fiscal year 1991, $500,000 to the Director and the Under Secretary to conduct the intentional introduction policy review under section 1207. 

56 

(e) BALLAST WATER MANAGEMENT DEMONSTRATION PROGRAM.— There are authorized to be appropriated $2,500,000 to carry out 

section 1104. 

(f) RESEARCH.—There are authorized to be appropriated to the Director $1,000,000 to carry out research on the prevention, monitoring, and control of øaquatic nuisance¿ aquatic invasive species 

in Narragansett Bay, Rhode Island. The funds shall be made available for use by the Department of Environmental Management of 

the State of Rhode Island. 

SUBTITLE D—COOPERATIVE ENVIRONMENTAL ANALYSES. 

SEC. 1401. ENVIRONMENTAL IMPACT ANALYSES. 

[16 U.S.C. 4751] 

The Secretary of State, in consultation with the Council on Environmental Quality, is encouraged to enter into negotiations with 

the governments of Canada and Mexico to provide for reciprocal cooperative environmental impact analysis of major Federal actions 

which have significant transboundary effects on the quality of the 

human environment in the United States, Canada, and Mexico. 

Æ