II
104TH CONGRESS
2D SESSION
H.R. 4283
IN THE SENATE OF THE UNITED STATES
SEPTEMBER 30, 1996
Received
OCTOBER 3, 1996
Read twice and ordered referred to the Committee on Environment and Public
Works; committee discharged
OCTOBER 3, 1996
Ordered referred to the Committee on Commerce, Science and Transportation;
committee discharged
AN ACT
To provide for ballast water management to prevent the
introduction and spread of nonindigenous species into
the waters of the United States, and for other purposes.
Be it enacted by the Senate and House of Representa-
tives of the United States of America in Congress assembled,
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SECTION 1. SHORT TITLE; REFERENCES.
(a) IN GENERAL.—This Act may be cited as the ‘‘Na-
tional Invasive Species Act of 1996’’.
(b) REFERENCES.—Whenever in this Act an amend-
ment or repeal is expressed in terms of an amendment
to or repeal of a section or other provision, the reference
shall be considered to be made to a section or other provi-
sion of the Nonindigenous Aquatic Nuisance Prevention
and Control Act of 1990 (16 U.S.C. 4701 et seq.).
SEC. 2. AMENDMENTS TO THE NONINDIGENOUS AQUATIC
NUISANCE PREVENTION AND CONTROL ACT
OF 1990.
(a) FINDINGS; DEFINITIONS.—
(1) FINDINGS.—Section 1002(a) (16 U.S.C.
4701(a)) is amended—
(A) by striking paragraphs (2) and (3) and
inserting the following new paragraphs:
‘‘(2) when environmental conditions are favor-
able, 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 near-
shore areas;
‘‘(3) the zebra mussel was unintentionally intro-
duced into the Great Lakes and has infested—
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‘‘(A) waters south of the Great Lakes, into
a good portion of the Mississippi River drain-
age;
‘‘(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;’’;
(B) in paragraph (4)—
(i) by inserting ‘‘by the zebra mussel
and ruffe, round goby, and other non-
indigenous species’’ after ‘‘other species’’;
and
(ii) by striking ‘‘and’’ at the end;
(C) in paragraph (5), by striking the pe-
riod and inserting a semicolon; and
(D) by adding at the end the following new
paragraphs:
‘‘(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;
‘‘(8) since the Chesapeake Bay is the largest re-
cipient of foreign ballast water on the East Coast,
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there is a risk of further invasions of other non-
indigenous species;
‘‘(9) the zebra mussel is only one example of
thousands of nonindigenous species that have be-
come 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 popu-
lations of other species of fish in Duluth Har-
bor (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 caus-
ing adverse economic and ecological effects include—
‘‘(A) the mitten crab (Eriocher sinensis)
that has become established on the Pacific
Coast;
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‘‘(B) the green crab (Carcinus maenas)
that has become established in the coastal wa-
ters of the Atlantic Ocean;
‘‘(C) the brown mussel (Perna perna) that
has become established along the Gulf of Mex-
ico; and
‘‘(D) certain shellfish pathogens;
‘‘(12) many aquatic nuisance vegetation species,
such as Eurasian watermilfoil, hydrilla, water hya-
cinth, 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 uninten-
tionally introduced nonindigenous aquatic species in
a timely manner, further introductions and infesta-
tions of species that are as destructive as, or more
destructive than, the zebra mussel or the ruffe infes-
tations may occur;
‘‘(14) once introduced into waters of the United
States, aquatic nuisance species are unintentionally
transported and introduced into inland lakes and
rivers by recreational boaters, commercial barge
traffic, and a variety of other pathways; and
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‘‘(15) resolving the problems associated with
aquatic nuisance species will require the participa-
tion and cooperation of the Federal Government and
State governments, and investment in the develop-
ment of prevention technologies.’’.
(2) DEFINITIONS.—Section 1003 (16 U.S.C.
4702) is amended—
(A) by striking paragraph (1) and redesig-
nating paragraphs (2) through (8) as para-
graphs (1) through (7), respectively;
(B) in paragraph (2), as redesignated by
subparagraph (A) of this paragraph, by striking
‘‘assistant Secretary’’ and inserting ‘‘Assistant
Secretary’’;
(C) 
by 
redesignating 
paragraphs 
(9)
through (15) as paragraphs (11) through (17),
respectively; and
(D) by inserting after paragraph (7), as
redesignated by subparagraph (A) of this para-
graph, the following:
‘‘(8) ‘Great Lakes region’ means the 8 States
that border on the Great Lakes;
‘‘(9) ‘Indian tribe’ means any Indian tribe,
band, nation, or other organized group or commu-
nity, including any Alaska Native village or regional
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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 Unit-
ed States to Indians because of their status as Indi-
ans;
‘‘(10) ‘interstate organization’ means an en-
tity—
‘‘(A) established by—
‘‘(i) an interstate compact that is ap-
proved by Congress;
‘‘(ii) a Federal statute; or
‘‘(iii) a treaty or other international
agreement with respect to which the Unit-
ed 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 sub-
divisions thereof; and
‘‘(II) 1 or more Indian tribes; or
‘‘(iii) that represents the Federal Govern-
ment and 1 or more foreign governments; and
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‘‘(C) has jurisdiction over, serves as forum
for coordinating, or otherwise has a role or re-
sponsibility for the management of, any land or
other natural resource;’’.
(b) AQUATIC NUISANCE SPECIES CONTROL PRO-
GRAM.—
(1) AMENDMENT TO HEADING.—The heading
to subtitle B (16 U.S.C. 4711 et seq.) is amended
to read as follows:
‘‘Subtitle B—Prevention of Unin-
tentional Introductions of Non-
indigenous Aquatic Species’’.
(2) 
AQUATIC
NUISANCE
SPECIES.—Section
1101 (16 U.S.C. 4711) is amended to read as fol-
lows:
‘‘SEC. 1101. AQUATIC NUISANCE SPECIES IN WATERS OF
THE UNITED STATES.
‘‘(a) GREAT LAKES GUIDELINES.—
‘‘(1) IN GENERAL.—Not later than 6 months
after the date of enactment of this Act, the Sec-
retary shall issue voluntary guidelines to prevent the
introduction and spread of aquatic nuisance species
into the Great Lakes through the exchange of bal-
last water of vessels prior to entering those waters.
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‘‘(2) CONTENT
OF
GUIDELINES.—The guide-
lines issued under this subsection shall—
‘‘(A) ensure to the maximum extent prac-
ticable that ballast water containing aquatic
nuisance species is not discharged into the
Great Lakes;
‘‘(B) protect the safety of—
‘‘(i) each vessel; and
‘‘(ii) the crew and passengers of each
vessel;
‘‘(C) take into consideration different ves-
sel operating conditions; and
‘‘(D) be based on the best scientific infor-
mation available.
‘‘(b) REGULATIONS.—
‘‘(1) IN
GENERAL.—Not later than 2 years
after the date of enactment of this Act, the Sec-
retary, 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.
‘‘(2) CONTENT OF REGULATIONS.—The regula-
tions issued under this subsection shall—
‘‘(A) apply to all vessels equipped with bal-
last water tanks that enter a United States port
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on the Great Lakes after operating on the wa-
ters beyond the exclusive economic zone;
‘‘(B) require a vessel to—
‘‘(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;
‘‘(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 Unit-
ed States, as recommended by the Task
Force under section 1102(a)(1); or
‘‘(iii) use environmentally sound alter-
native ballast water management methods
if the Secretary determines that such alter-
native methods are as effective as ballast
water exchange in preventing and control-
ling infestations of aquatic nuisance spe-
cies;
‘‘(C) not affect or supersede any require-
ments or prohibitions pertaining to the dis-
charge of ballast water into waters of the Unit-
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ed States under the Federal Water Pollution
Control Act (33 U.S.C. 1251 et seq.);
‘‘(D) provide for sampling procedures to
monitor compliance with the requirements of
the regulations;
‘‘(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;
‘‘(F) protect the safety of—
‘‘(i) each vessel; and
‘‘(ii) the crew and passengers of each
vessel;
‘‘(G) take into consideration different oper-
ating conditions; and
‘‘(H) be based on the best scientific infor-
mation available.
‘‘(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 regula-
tions to prevent the introduction and spread of
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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.
‘‘(4) EDUCATION AND TECHNICAL ASSISTANCE
PROGRAMS.—The Secretary may carry out education
and technical assistance programs and other meas-
ures to promote compliance with the regulations is-
sued under this subsection.
‘‘(c) VOLUNTARY NATIONAL GUIDELINES.—
‘‘(1) IN GENERAL.—Not later than 1 year after
the date of enactment of the National Invasive Spe-
cies Act of 1996, and after providing notice and an
opportunity for public comment, the Secretary shall
issue voluntary guidelines to prevent the introduc-
tion 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.
‘‘(2) CONTENT OF GUIDELINES.—The voluntary
guidelines issued under this subsection shall—
‘‘(A) ensure to the maximum extent prac-
ticable that aquatic nuisance species are not
discharged into waters of the United States
from vessels;
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‘‘(B) apply to all vessels equipped with bal-
last water tanks that operate in waters of the
United States;
‘‘(C) protect the safety of—
‘‘(i) each vessel; and
‘‘(ii) the crew and passengers of each
vessel;
‘‘(D) direct a vessel that is carrying ballast
water into waters of the United States after op-
erating beyond the exclusive economic zone to—
‘‘(i) carry out the exchange of ballast
water of the vessel in waters beyond the
exclusive economic zone;
‘‘(ii) exchange the ballast water of the
vessel in other waters where the exchange
does not pose a threat of infestation or
spread of nonindigenous species in waters
of the United States, as recommended by
the Task Force under section 1102(a)(1);
or
‘‘(iii) use environmentally sound alter-
native ballast water management methods,
including modification of the vessel ballast
water tanks and intake systems, if the Sec-
retary determines that such alternative
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methods are at least as effective as ballast
water exchange in preventing and control-
ling infestations of aquatic nuisance spe-
cies;
‘‘(E) direct vessels to carry out manage-
ment practices that the Secretary determines to
be necessary to reduce the probability of unin-
tentional nonindigenous species transfer result-
ing from—
‘‘(i) ship operations other than ballast
water discharge; and
‘‘(ii) ballasting practices of vessels
that enter waters of the United States with
no ballast water on board;
‘‘(F) provide for the keeping of records
that shall be submitted to the Secretary, as pre-
scribed 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 sub-
section (i), in order to enable the Secretary to
determine compliance with the guidelines, in-
cluding—
‘‘(i) with respect to each ballast water
exchange referred to in clause (ii), report-
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ing on the precise location and thorough-
ness of the exchange; and
‘‘(ii) any other information that the
Secretary considers necessary to assess the
rate of effective compliance with the guide-
lines;
‘‘(G) provide for sampling procedures to
monitor compliance with the guidelines;
‘‘(H) take into consideration—
‘‘(i) vessel types;
‘‘(ii) variations in the characteristics
of point of origin and receiving water bod-
ies;
‘‘(iii) variations in the ecological con-
ditions of waters and coastal areas of the
United States; and
‘‘(iv) different operating conditions;
‘‘(I) be based on the best scientific infor-
mation available;
‘‘(J) not affect or supersede any require-
ments or prohibitions pertaining to the dis-
charge of ballast water into waters of the Unit-
ed States under the Federal Water Pollution
Control Act (33 U.S.C. 1251 et seq.); and
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‘‘(K) provide an exemption from ballast
water exchange requirements to passenger ves-
sels with operating ballast water systems that
are equipped with treatment systems designed
to kill aquatic organisms in ballast water, un-
less the Secretary determines that such treat-
ment systems are less effective than ballast
water exchange at reducing the risk of transfers
of invasive species in the ballast water of pas-
senger vessels; and
‘‘(L) not apply to crude oil tankers en-
gaged in the coastwise trade.
‘‘(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.
‘‘(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 Con-
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gress a report containing the information required pursu-
ant to paragraphs (1) and (2) of subsection (e).
‘‘(e) PERIODIC REVIEW AND REVISION.—
‘‘(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)—
‘‘(A) assess the compliance by vessels with
the voluntary guidelines issued under subsection
(c) and the regulations promulgated under this
Act;
‘‘(B) establish the rate of compliance that
is based on the assessment under subparagraph
(A);
‘‘(C) assess the effectiveness of the vol-
untary guidelines and regulations referred to in
subparagraph (A) in reducing the introduction
and spread of aquatic nuisance species by ves-
sels; and
‘‘(D) as necessary, on the basis of the best
scientific information available—
‘‘(i) revise the guidelines and regula-
tions referred to in subparagraph (A);
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‘‘(ii) promulgate additional regulations
pursuant to subsection (f)(1); or
‘‘(iii) carry out each of clauses (i) and
(ii).
‘‘(2) SPECIAL
REVIEW
AND
REVISION.—Not
later than 90 days after the Task Force makes a re-
quest to the Secretary for a special review and revi-
sion for coastal and inland waterways designated by
the Task Force, the Secretary shall—
‘‘(A) conduct a special review of guidelines
and regulations applicable to those waterways
in accordance with the review procedures under
paragraph (1); and
‘‘(B) as necessary, in the same manner as
provided under paragraph (1)(D)—
‘‘(i) revise those guidelines;
‘‘(ii) promulgate additional regulations
pursuant to subsection (f)(1); or
‘‘(iii) carry out each of clauses (i) and
(ii).
‘‘(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 de-
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termining the adequacy and effectiveness of the vol-
untary guidelines issued under subsection (c).
‘‘(f) AUTHORITY OF SECRETARY.—
‘‘(1) GENERAL REGULATIONS.—If, on the basis
of a periodic review conducted under subsection
(e)(1) or a special review conducted under sub-
section (e)(2), the Secretary determines that—
‘‘(A) the rate of effective compliance (as
determined by the Secretary) with the guide-
lines issued pursuant to subsection (c) is inad-
equate; or
‘‘(B) the reporting by vessels pursuant to
those guidelines is not adequate for the Sec-
retary 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).
‘‘(2) REQUIREMENTS FOR REGULATIONS.—The
regulations promulgated by the Secretary under
paragraph (1)—
‘‘(A) shall—
‘‘(i) not be promulgated sooner than
180 days following the issuance of the re-