signed, 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 re-
quirements promulgated for such vessels 
under section 312 of the Federal Water 
Pollution Control Act (33 U.S.C. 1322). 
‘‘(4) SPECIAL RULE FOR SMALL RECREATIONAL 
VESSELS.—In applying this section to recreational 
vessels less than 50 meters in length that have a 
maximum ballast water capacity of 8 cubic meters, 
the Secretary may promulgate alternative measures 
for managing ballast water in a manner that is con-
sistent 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 up-
take or discharge of ballast water or sediment except 
as provided in this section. 
‘‘(2) EXCEPTIONS.—Paragraph (1) does not 
apply to the uptake or discharge of ballast water or 
sediment in the following circumstances: 
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‘‘(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 pre-
vent or minimize ballast water and sedi-
ment 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 dis-
charge 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 
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ballast water and sediment from another area 
that has not been managed in accordance with 
the requirements of this section. 
‘‘(c) AQUATIC INVASIVE SPECIES 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 ac-
cordance with an aquatic invasive species plan de-
signed 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 an aquatic invasive species plan un-
less 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 re-
quirements of this section; 
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‘‘(iii) describes in detail safety proce-
dures 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 require-
ments for vessels established under this 
section and a copy of each form necessary 
to meet those requirements; 
‘‘(vi) includes documents relevant to 
aquatic 
invasive 
species 
management 
equipment and procedures; 
‘‘(vii) includes the location of access 
points for sampling ballast water and sedi-
ment; 
‘‘(viii) includes other requirements 
prescribed by the Secretary, including 
operational requirements for complying 
with subsections (f) and (g); 
‘‘(ix) includes a contingency plan for 
acting under the safety or stability excep-
tion under subsection (f)(4), that includes 
procedures to reduce the risk of organism 
transfer via ballast water discharge; and 
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‘‘(x) meets all other requirements pre-
scribed by the Secretary. 
‘‘(B) FOREIGN
VESSELS.—The Secretary 
may approve an aquatic invasive species 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 accord-
ance with regulations promulgated by the Sec-
retary. 
‘‘(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 aquat-
ic invasive species plan on board at all times; 
and 
‘‘(B) keep the plan readily available at all 
reasonable times for examination by the Sec-
retary or a representative of the State in which 
the port is located. 
‘‘(4) REGULATIONS.—The Secretary, in con-
sultation with the Task Force, shall issue regula-
tions prescribing the requirements of this subsection. 
‘‘(d) VESSEL BALLAST WATER RECORD BOOK.— 
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‘‘(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 the uptake 
or discharge of ballast water or sediment dis-
charge is fully recorded without delay, in ac-
cordance 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 sub-
section (b)(2) or (f)(4) is described. 
‘‘(2) AVAILABILITY.—The ballast water record 
book— 
‘‘(A) shall be kept readily available for ex-
amination by the Secretary or a representative 
of the State at all reasonable times in each port 
that is entered by the vessel; and 
‘‘(B) notwithstanding paragraph (1), may 
be kept on the towing vessel in the case of an 
unmanned vessel under tow. 
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‘‘(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 pre-
scribed under this section, the Secretary shall re-
quire, 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 re-
garding the ballast operations of the vessel as 
the Secretary may require. 
‘‘(5) 
ALTERNATIVE
MEANS
OF
RECORD-
KEEPING.—The Secretary shall provide by regula-
tion for alternative methods of recordkeeping, in-
cluding electronic recordkeeping, to comply with the 
requirements of this subsection. 
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‘‘(6) NATIONAL BALLAST INFORMATION CLEAR-
INGHOUSE.—Records required for a vessel under 
this subsection shall be transmitted by the owner or 
operator of the vessel to the National Ballast Infor-
mation Clearinghouse established under section 
1102(f). 
‘‘(e) BEST MANAGEMENT PRACTICES.— 
‘‘(1) GUIDELINES
FOR
BEST
MANAGEMENT 
PRACTICES.—The Secretary shall issue guidance for 
best management practices for purposes of compli-
ance with this section by no later than 18 months 
after the date of the enactment of this subsection. 
‘‘(2) CONTENT.—The guidance shall include— 
‘‘(A) sediment management in transoceanic 
vessels, including— 
‘‘(i) saltwater flushing of ballast tanks 
in accordance with subsection (f)(9) at reg-
ular intervals, for vessels that declare no- 
ballast-on-board or claim to be carrying 
only unpumpable quantities of ballast 
water; 
‘‘(ii) the minimization of ballast water 
uptake in areas with a greater risk of 
harmful organisms entering ballast tanks, 
such as areas with toxic algal blooms or 
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known outbreaks of aquatic invasive spe-
cies; 
‘‘(iii) the avoidance of unnecessary 
ballast water discharge in a port of ballast 
water taken up in another port; 
‘‘(iv) to the maximum extent possible, 
the collection and proper disposal of debris 
from cleaning of the vessel’s hull; 
‘‘(v) the proper use of anti-fouling 
coating; and 
‘‘(vi) the minimization of the transfer 
of aquatic invasive species from other 
pathways relevant to the vessel or towed 
structure, including the hull. 
‘‘(f) 
BALLAST
WATER
EXCHANGE
REQUIRE-
MENTS.— 
‘‘(1) IN GENERAL.—Until a vessel is required to 
conduct ballast water treatment in accordance with 
subsection (g) of this section, the operator of a ves-
sel to which this section applies may not discharge 
ballast water except after— 
‘‘(A) conducting ballast water exchange, in 
accordance with paragraph (3) and regulations 
prescribed by the Secretary, in a manner that 
results in an efficiency of at least 95 percent 
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volumetric exchange of the ballast water for 
each ballast water tank; 
‘‘(B) meeting the requirements of para-
graph (9), if the vessel’s condition is such that 
the vessel is declared to have no ballast on 
board or is claimed to be carrying only 
unpumpable quantities of ballast; 
‘‘(C) using ballast water treatment that 
meets the performance standards of subsection 
(g); or 
‘‘(D) using an environmentally sound alter-
native ballast water treatment method if the 
Secretary determines that the performance of 
such treatment meets, for the relevant vessel or 
group vessels, the International Maritime Orga-
nization standard for treatment in the Ballast 
Water Management Convention. 
‘‘(2) ALTERNATIVE
BALLAST
WATER
TREAT-
MENT TECHNOLOGY TO MEET IMO STANDARDS.— 
‘‘(A) IN GENERAL.—Within 1 year after 
the date of the enactment of this paragraph, 
the Secretary, in consultation with the Adminis-
trator and the Under Secretary, shall promul-
gate regulations to establish an approval proc-
ess for alternative ballast water treatment tech-
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nologies meeting the International Maritime Or-
ganization standard for treatment in the Bal-
last Water Management Convention. 
‘‘(B) COMPLIANCE WITH BALLAST WATER 
EXCHANGE REQUIREMENTS.—A vessel is not in 
compliance with paragraph (1)(D) unless the 
Secretary, under the approval process estab-
lished under subparagraph (A) of this para-
graph, approves the technology employed by the 
vessel for purposes of complying with paragraph 
(1)(D). 
‘‘(C) INCENTIVES
FOR
USE
OF
ALTER-
NATIVE
TREATMENT
METHODS.—If a vessel 
uses an alternative ballast water treatment 
technology approved under this paragraph, then 
vessel is in compliance with subsection (g) for 
the 10-year period beginning on the date that 
the approved technology is first placed on the 
vessel. 
‘‘(D) REVOCATION
OF
APPROVAL.—The 
Secretary shall revoke approval for an alter-
native technology if— 
‘‘(i) it is discovered the technology 
does not meet the International Maritime 
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Organization standard for treatment in the 
Ballast Water Management Convention; or 
‘‘(ii) use of the technology causes 
harm to the environment. 
‘‘(E) DISCRETIONARY REVOCATION OF AP-
PROVAL.—The Secretary may revoke approval 
for an alternative technology if revocation of 
approval is appropriate under any circumstance. 
‘‘(3) EXCHANGE AREAS.— 
‘‘(A) IN GENERAL.—A vessel is in compli-
ance with paragraph (1)(A) only if— 
‘‘(i) in the case of a vessel en route to 
a United States port or place from a port 
or place outside the United States exclu-
sive economic zone, the vessel conducts bal-
last water exchange— 
‘‘(I) at least 200 nautical miles 
from the nearest point of land in the 
United States; and 
‘‘(II) in water at least 200 me-
ters in depth; 
‘‘(ii) in the case 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 
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United States in Canada, Mexico, or other 
ports designated by the Secretary for pur-
poses of this section, the vessel conducts 
ballast water exchange— 
‘‘(I) at least 50 nautical miles 
from the nearest point of land in the 
United States, or in an area deter-
mined by the Secretary under sub-
paragraph (B) of this paragraph or 
paragraph (6); and 
‘‘(II) in water at least 200 me-
ters in depth. 
‘‘(B) 
DESIGNATION
OF
EXCHANGE 
AREAS.— 
‘‘(i) DESIGNATION.—If the Secretary, 
in consultation with the Administrator and 
the Under Secretary, determines based on 
oceanographic information that 50 nautical 
miles is an inadequate distance from the 
nearest point of land in the United States 
to prevent harm to coastal areas from or-
ganisms released in ballast water ex-
changes, the Secretary shall issue regula-
tions that establish designated areas for al-
lowable ballast water exchange. The des-
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ignated areas shall be located not more 
than 100 nautical miles from the nearest 
point of land in the United States. 
‘‘(ii) EXCHANGE DEEMED IN COMPLI-
ANCE.—Any ballast water exchange con-
ducted in accordance with regulations 
issued under this subparagraph is deemed 
to comply with this paragraph. 
‘‘(4) SAFETY OR STABILITY EXCEPTION.— 
‘‘(A) IN GENERAL.—Paragraphs (1) and 
(3) do not apply to the discharge of ballast 
water by a vessel if the master of a vessel deter-
mines that compliance with those paragraphs 
would threaten the safety or stability of the ves-
sel, its crew, or its passengers because of ad-
verse weather, equipment failure, or any other 
relevant condition. 
‘‘(B) NOTIFICATION
REQUIRED.—When-
ever the master of a vessel is unable to comply 
with the requirements of paragraphs (1) and 
(3) because of a determination made under sub-
paragraph (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; 
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‘‘(ii) ensure that the determination, 
the reasons for the determination, and the 
notice are recorded in the vessel’s ballast 
water record book; and 
‘‘(iii) conduct one of the following— 
‘‘(I) undertake ballast water ex-
change in an alternative area des-
ignated by the Secretary under para-
graph (3)(B) or paragraph (6); 
‘‘(II) undertake discharge of bal-
last water in accordance with para-
graph (7); or 
‘‘(III) act in accordance with a 
contingency plan included in the ves-
sel’s aquatic invasive species plan. 
‘‘(C) REVIEW OF CIRCUMSTANCES.—If the 
master of a vessel conducts a ballast water dis-
charge under this paragraph, the Secretary 
shall review the circumstances to determine 
whether the discharge met the requirements of 
this paragraph. The review under this subpara-
graph shall be in addition to any other enforce-
ment authority of the Secretary. 
‘‘(5) DISCHARGE UNDER WAIVER.— 
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‘‘(A) SUBSTANTIAL
BUSINESS
HARDSHIP 
WAIVER.—If, because of the short length of a 
voyage, the operator of a vessel is unable to dis-
charge ballast water in accordance with the re-
quirements of paragraph (3)(A)(ii) without sub-
stantial business hardship, as determined under 
regulations prescribed by the Secretary, the op-
erator may request a waiver from the Secretary 
to discharge ballast water in accordance with 
paragraph (7). 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
HARD-
SHIP.—For purposes of subparagraph (A), the 
factors taken into account in determining sub-
stantial business hardship shall include wheth-
er— 
‘‘(i) compliance with the requirements 
of paragraph (3)(A)(ii) 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 op-
erated; or 
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‘‘(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). 
‘‘(C) AQUATIC INVASIVE SPECIES PLAN.— 
If the Secretary grants a waiver under this 
paragraph for a vessel, then the aquatic 
invasive species plan as required for the vessel 
under subsection (c) shall be revised to include 
operations to minimize the risk of introduction 
of aquatic invasive species. 
‘‘(6) DESIGNATION OF ALTERNATIVE AREAS.— 
‘‘(A) REVIEW
OF
POTENTIAL
ALTER-
NATIVE AREAS.—Within 1 year after the date 
of the enactment of this paragraph, the Sec-
retary, in consultation with the Under Sec-
retary, the Task Force, the Administrator, and 
a representative of any State that may be af-
fected by discharge of ballast water in an area, 
shall finish a review to assist in the designation 
of alternative areas that would not be affected 
by the discharge of ballast water. 
‘‘(B) REGULATIONS.—After completion of 
the review in accordance with subparagraph 
(A), the Secretary may issue regulations desig-
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nating alternative areas where the discharge of 
ballast water would not affect the surrounding 
aquatic ecosystem. 
‘‘(C) REVIEW
AND
REVISION.—The Sec-
retary shall review and revise the designation of 
alternative areas under this paragraph as nec-
essary. 
‘‘(D) SPECIAL REVIEW AND REVISION.— 
Not later than 90 days after the date on which 
the Task Force makes a request to the Sec-
retary for a special review and revision of the 
areas designated as alternative areas for ballast 
water discharge, the Secretary, in consultation 
with the Under Secretary, the Task Force, the 
Administrator, and a representative of any 
State that may be affected by the discharge of 
ballast water in such an area, shall conduct a 
review to revise the designations if necessary. 
‘‘(7) PERMISSIBLE DISCHARGE.— 
‘‘(A) IN GENERAL.—The discharge of bal-
last water shall be considered to be carried out 
in accordance with this paragraph if it is— 
‘‘(i) in an alternative area designated 
for that purpose under paragraph (6) by 
the Secretary; or 
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‘‘(ii) into a reception facility described 
in subsection (g)(2). 
‘‘(B) LIMITATION ON VOLUME.—The vol-
ume 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. 
‘‘(8) PARTIAL COMPLIANCE.— 
‘‘(A) IN GENERAL.—The operator of a ves-
sel that is unable to comply fully with the re-
quirements of paragraphs (1) and (3)— 
‘‘(i) shall nonetheless conduct ballast 
water exchange to the maximum extent 
feasible in compliance with those para-
graphs; 
‘‘(ii) 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 paragraph 
(1); 
‘‘(iii) shall notify the Secretary as 
soon as practicable thereafter, but no later 
than 24 hours after making the determina-
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tion to conduct ballast water exchange 
under this paragraph; and 
‘‘(iv) shall ensure that the determina-
tion, the reasons for the determination, 
and the notice are recorded in the vessel’s 
ballast water record book. 
‘‘(B) REVIEW OF CIRCUMSTANCES.—If the 
master of a vessel conducts a ballast water dis-
charge under this paragraph, the Secretary 
shall review the circumstances to determine 
whether the vessel was unable to comply fully 
with the requirements of paragraphs (1) and 
(3). The review under this subparagraph shall 
be in addition to any other enforcement author-
ity of the Secretary. 
‘‘(9) SPECIAL REQUIREMENTS FOR NOBOBS.— 
‘‘(A) SALTWATER
FLUSHING
REQUIRE-
MENT.—Beginning 180 days after the date of 
the enactment of this paragraph, any vessel op-
erating en route to the United States from out-
side the exclusive economic zone of the United 
States that is unable to conduct ballast water 
exchange as otherwise required under this sub-
section, other than as provided in paragraph (4) 
and paragraph (5), shall conduct saltwater 
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flushing of its empty ballast tanks in an area 
located at least 200 nautical miles from any 
point on land in the United States before enter-
ing any port in the United States. 
‘‘(B) SALTWATER FLUSHING DEFINED.— 
For the purposes of this paragraph, the term 
‘saltwater flushing’ means a process that in-
cludes— 
‘‘(i) the addition to each empty ballast 
tank of as much ocean water that is safe 
for the vessel and crew; 
‘‘(ii) the mixing of the flush water 
with residual water and sediment through 
the motion of the vessel; and 
‘‘(iii) the discharge of the mixed 
water, 
in areas greater than 200 nautical miles from 
the nearest point of land in the United States 
such that the resultant residual water remain-
ing in the tank has a salinity greater than 30 
parts per thousand. 
‘‘(10) DESIGNATION
OF
ENCLOSED
AQUATIC 
ECOSYSTEMS.— 
‘‘(A) IN GENERAL.—The Secretary, in con-
sultation with the Under Secretary, the Admin-
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istrator, the Task Force, and representatives 
from affected States designated by the Task 
Force, shall designate, in addition to the Great 
Lakes, enclosed aquatic ecosystems in which the 
potential for movement of organisms by natural 
and anthropogenic means is not significantly al-
tered by the movement of vessels, including bal-
last water discharge, to which this section 
apply. 
‘‘(B) DESIGNATION
OF
REPRESENTED 
STATES.—The Task Force shall designate the 
States that may appoint representatives to as-
sist in designating enclosed aquatic ecosystems 
under subparagraph (A) and the number of 
representatives that may be appointed for each 
State. The governor of each designated State 
shall appoint the representatives for that State. 
‘‘(11) VESSELS
OPERATING
ON
THE
GREAT 
LAKES.—No vessel shall be operated 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 under this title, in-
cluding the regulations issued under this title. 
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‘‘(12) CERTAIN
GEOGRAPHICALLY
LIMITED 
ROUTES.—Notwithstanding paragraph (3)(B) of this 
subsection, the operator of a vessel is not required 
to comply with the requirements of paragraph (1) 
if— 
‘‘(A) the vessel operates exclusively— 
‘‘(i) within Lake Superior, Lake 
Michigan, Lake Huron, and Lake Erie and 
the connecting channels; 
‘‘(ii) between or among the main 
group of the Hawaiian Islands; or 
‘‘(iii) within any enclosed aquatic eco-
system designated under paragraph (10); 
and 
‘‘(B) the vessel carries only ballast water 
and sediment from the area identified under 
subparagraph (A). 
‘‘(13) MARINE SANCTUARIES AND OTHER PRO-
HIBITED AREAS.—A vessel may not conduct ballast 
water exchange or discharge unexchanged ballast 
water under this subsection within a marine sanc-
tuary designated under title III of the National Ma-
rine Sanctuaries Act (16 U.S.C. 1431 et seq.) or in 
any other waters designated by the Secretary after 
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consultation with the Under Secretary and the Ad-
ministrator. 
‘‘(14) STUDY AND REQUIREMENT OF ALTER-
NATIVES FOR THE GREAT LAKES.— 
‘‘(A) STUDY.—Not later than January 1, 
2011, the Secretary, in consultation with the 
Administer and the Under Secretary, shall con-
duct a study to evaluate alternatives to on- 
board treatment, including but not limited to 
cargo transfer and shore-based treatment, for 
vessels entering the Great Lakes from beyond 
the exclusive economic zone. 
‘‘(B) REGULATIONS.—The Secretary may 
promulgate regulations based on the results of 
the study to require alternatives that would as-
sist in preventing the introduction of aquatic 
invasive species from vessels. 
‘‘(15) PUBLIC NOTICE OF ACTIONS.— 
‘‘(A) NOTICE
REQUIREMENT.—The Sec-
retary shall provide public notice of each of the 
following: 
‘‘(i) Exemptions applied under para-
graph (4), including the nature and cir-
cumstances surrounding the application of 
the exemption. 
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‘‘(ii) Waivers granted under para-
graph (5), including the nature and cir-
cumstances surrounding the waiver. 
‘‘(iii) Instances of partial compliance 
under paragraph (8), including the nature 
and circumstances surrounding the in-
stance of partial compliance. 
‘‘(iv) Determinations made by the 
Secretary after reviews conducted pursuant 
to paragraphs (4) and (8). 
‘‘(B) MANNER OF NOTICE.—The Secretary 
shall publish notice under this paragraph— 
‘‘(i) in the Federal Register and on 
relevant web sites maintained by the Sec-
retary; 
‘‘(ii) once every 2 weeks; and 
‘‘(iii) with respect to all of the matters 
referred to in subparagraph (A) for the 2- 
week period preceding publication of the 
notice. 
‘‘(C) DATABASE
OF
NOTICES.—The Sec-
retary shall make all notices published under 
subparagraph (B)(i) available, at all times, to 
the public on relevant World Wide Web sites 
maintained by the Secretary. 
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‘‘(16) REGULATIONS
DEADLINE.—The Sec-
retary shall issue a final rule for regulations re-
quired by this subsection within 1 year after the 
date of enactment of the Prevention of Aquatic 
Invasive Species Act of 2006. 
‘‘(g) BALLAST
WATER
TREATMENT
REQUIRE-
MENTS.— 
‘‘(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 microm-
eters in minimum dimension; 
‘‘(C) concentrations of indicator microbes 
that are less than— 
‘‘(i) 
colony-forming 
unit 
of 
toxicogenic Vibrio cholera (serotypes O1 
and O139) per 100 milliliters, or less than 
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1 colony-forming unit of that microbe per 
gram of wet weight of zoological samples; 
‘‘(ii) 126 colony-forming units of esch-
erichia coli per 100 milliliters; and 
‘‘(iii) 33 colony-forming units of intes-
tinal enterococci per 100 milliliters; and 
‘‘(D) concentrations of such additional in-
dicator microbes as may be specified in regula-
tions promulgated by the Secretary, after con-
sultation with the Administrator, 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 re-
ception of ballast water that meets stand-
ards prescribed by the Administrator; or 
‘‘(ii) a water-based facility for the re-
ception of ballast water that meets stand-
ards prescribed by the Secretary. 
‘‘(B) PROMULGATION
OF
STANDARDS.— 
Within 1 year after the date of enactment of 
the paragraph— 
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‘‘(i) the Administrator shall promul-
gate standards for— 
‘‘(I) the reception of ballast 
water in land-based facilities; and 
‘‘(II) the disposal or treatment of 
ballast water discharged into a land- 
based or water-based reception facility 
in a way that does not impair or dam-
age the environment, human health, 
property, or resources; and 
‘‘(ii) the Secretary shall promulgate 
standards for the reception of ballast water 
in water-based facilities. 
‘‘(3) 
IMPLEMENTATION
SCHEDULE.—Para-
graph (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. 
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‘‘(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. 
‘‘(D) FOURTH
PHASE.—Beginning Janu-
ary 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
RE-
QUIRED.—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 under paragraph (8) or 
(10). 
‘‘(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 para-
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graph (3), or as that date may be extended 
under this paragraph, the Secretary, in con-
sultation with the Administrator, the Under 
Secretary, and the Task Force, shall complete 
a review to determine whether appropriate tech-
nologies 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 shall consider— 
‘‘(i) the effectiveness of a technology 
in achieving the standards; 
‘‘(ii) feasibility in terms of compat-
ibility with vessel design and operations; 
‘‘(iii) safety considerations; 
‘‘(iv) whether a technology is deter-
mined to have an adverse impact on the 
environment under the criteria issued 
under paragraph (11); and 
‘‘(v) cost effectiveness. 
‘‘(B) DELAY
IN
SCHEDULED
APPLICA-
TION.—If the Secretary determines, on the 
basis of the review conducted under subpara-
graph (A), that compliance with the standards 
set forth in paragraph (1) in accordance with 
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the schedule set forth in any subparagraph of 
paragraph (3) is not feasible for any class of 
vessels, the Secretary, in consultation with the 
Administrator, the Under Secretary, and the 
Task Force, 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
IM-
PLEMENTATION.— 
‘‘(i) STANDARDS.—If the Secretary 
determines that ballast water treatment 
technology exists that exceeds the perform-
ance standards required under this sub-
section, the Secretary, in consultation with 
the Administrator, the Under Secretary, 
and the Task Force, shall, for any class of 
vessels, revise the performance standards 
to incorporate the higher performance 
standards. 
‘‘(ii) IMPLEMENTATION.—If the Sec-
retary determines that technology that 
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achieves the applicable performance stand-
ards required under this subsection can be 
implemented earlier than required by this 
subsection, the Secretary, in consultation 
with the Administrator, the Under Sec-
retary, and the Task Force, shall, for any 
class of vessels, accelerate the implementa-
tion schedule under paragraph (3). If the 
Secretary accelerates the implementation 
schedule pursuant to this clause, the Sec-
retary shall provide notice at least 24 
months before such accelerated implemen-
tation goes into effect. 
‘‘(iii) DETERMINATIONS
NOT
MUTU-
ALLY
EXCLUSIVE.—The Secretary shall 
take action under both clause (i) and 
clause (ii) if the Secretary makes deter-
minations under both clauses. 
‘‘(D) INTERIM
STANDARDS.—If the Sec-
retary determines that appropriate technologies 
are not available to meet the standards set 
forth in paragraph (1), then the International 
Maritime Organization standard for treatment 
in the Ballast Water Management Convention 
shall apply instead of the standards set forth in 
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paragraph (1), in accordance with the imple-
mentation schedule established under paragraph 
(3), until the standards set forth in paragraph 
(1) take effect pursuant to subparagraph (B). 
‘‘(6) REVIEW OF BALLAST WATER TREATMENT 
STANDARDS.—At the end of the 3-year period begin-
ning on the date of the enactment of this paragraph 
and every 3 years thereafter, the Secretary, in con-
sultation with the Administrator and based on rec-
ommendations by the Task Force and information 
collected and analyzed under this title, and in ac-
cordance with criteria developed by the Task Force 
under paragraph (15), shall— 
‘‘(A) assess the compliance by vessels with 
regulations promulgated under this section; 
‘‘(B) assess the effectiveness of regulations 
promulgated under this section in reducing the 
introduction and spread of aquatic invasive spe-
cies by vessels; 
‘‘(C) assess the approval process under 
paragraph (8); and 
‘‘(D) as necessary, revise regulations pro-
mulgated under this section and promulgate 
new regulations. 
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‘‘(7) SPECIAL
REVIEW
AND
REVISION.—Not 
later than 90 days after the date on which the Task 
Force makes a request to the Secretary for a special 
review and revision of the regulations promulgated 
under this section, the Secretary, in consultation 
with the Administrator, shall conduct a special re-
view in accordance with paragraph (6), including the 
revision of regulations or the promulgation of new 
regulations as necessary. 
‘‘(8) APPROVAL
OF
BALLAST
WATER
TREAT-
MENT SYSTEMS.— 
‘‘(A) REGULATIONS.—The Secretary, in 
consultation with the Administrator, the Under 
Secretary, and the Task Force and by not later 
than 1 year after the date of the enactment of 
this paragraph, shall issue regulations estab-
lishing an approval process for ballast water 
treatment systems. The regulations shall in-
clude standards for the certification of treat-
ment or practices and an ongoing enforcement 
of the use of treatments and practices. 
‘‘(B) QUALIFIED
TYPE-APPROVAL
PROC-
ESS.—The approval of ballast water treatment 
systems shall be based on a qualified type-ap-
proval process that is capable of estimating the 
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extent to which treated ballast water discharge 
is to comply with the standards of paragraph 
(1). 
‘‘(C) CONSIDERATION OF RESTRICTIONS.— 
The approval of ballast water treatment sys-
tems shall take into account restrictions relat-
ing to— 
‘‘(i) biological, chemical, or physical 
conditions of water taken into ballast 
tanks; and 
‘‘(ii) conditions encountered during a 
ship’s voyage. 
‘‘(D) ENVIRONMENTAL
SOUNDNESS
AND 
SAFETY.—The approval process for ballast 
water treatment systems shall be capable of de-
termining the extent to which a ballast water 
treatment method is— 
‘‘(i) environmentally sound based on 
criteria promulgated by the Administrator 
pursuant to paragraph (11); and 
‘‘(ii) safe for vessel and crew. 
‘‘(E) ESTIMATION OF USEFUL LIFE.—The 
approval process for ballast water treatment 
systems may be used to estimate the useful life 
of the ballast water treatment system, as deter-
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mined on the basis of voyage patterns and nor-
mal use conditions. 
‘‘(F) SHIP-BOARDING TESTING.—The ap-
proval process of ballast water treatment sys-
tems shall include a ship-boarding testing com-
ponent, and may include a shore-based testing 
component. 
‘‘(G) MONITORING.—The approval process 
for ballast water treatment systems shall pro-
vide for appropriate monitoring. 
‘‘(H) APPLICATION FORM AND INFORMA-
TION.—The Secretary shall approve an applica-
tion for certification of ballast water treatment 
system only if the application is in such form 
and contains such information as the Secretary 
requires. 
‘‘(9) MONITORING AND EFFECTIVENESS; REV-
OCATION OF CERTIFICATION.—Based on the results 
of appropriate monitoring of ballast water treatment 
systems, the Secretary shall revoke the certification 
of a ballast water treatment system if it is found 
that ballast water treated with the system does not 
meet the standards of paragraph (1) or paragraph 
(11). 
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‘‘(10) APPROVAL OF EXPERIMENTAL BALLAST 
WATER TREATMENT TECHNOLOGIES.— 
‘‘(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 treat-
ment technologies achieving a standard that is 
the same as or more stringent than the stand-
ard that applies under paragraph (1) before the 
first date on which paragraph (1) applies to 
that vessel, the Secretary shall certify a vessel 
to allow the use of that technology and such 
vessel shall be deemed to be in compliance with 
the requirements of paragraph (1) during the 
period of certification. 
‘‘(B) GUIDELINES
BY
SECRETARY.—The 
Secretary, in consultation with the Adminis-
trator, the Under Secretary, and the Task 
Force, within 1 year after the date of the enact-
ment of this paragraph shall issue guidelines 
for the approval of experimental ballast water 
treatment technologies that are likely to meet 
the standards of paragraph (1). 
‘‘(C) GUIDELINES
BY
ADMINISTRATOR.— 
The Administrator, in consultation with the 
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Secretary, the Under Secretary, and the Task 
Force, within 1 year after the date of the enact-
ment of this paragraph shall issue guidelines 
for the approval of ballast water treatment 
technologies under this paragraph pursuant to 
the environmental soundness criteria under 
paragraph (11). 
‘‘(D) CRITERIA BY ADMINISTRATOR.—The 
Administrator shall include in criteria promul-
gated under paragraph (11) specific criteria to 
grant environmental soundness exceptions such 
that, in an emergency situation, to achieve re-
ductions in significant and acute risk of trans-
fers of invasive species by vessels, the Secretary 
and the Administrator may jointly determine to 
make an exception to criteria of paragraph 
(11). To be eligible for an exception, approval 
for an experimental technology under this para-
graph shall be subject to all other provisions of 
this paragraph. 
‘‘(E) 
CERTIFICATION
BY
ADMINIS-
TRATOR.—Not later than 90 days after receiv-
ing an application, the Administrator shall re-
view the application for compliance with envi-
ronmental soundness criteria under paragraph 
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(11) and certify the ballast water treatment 
system covered by the application as meeting 
environmental requirements if it indeed meets 
those criteria. The Administrator’s determina-
tion should be based on independent and peer- 
reviewed information. 
‘‘(F) APPROVAL OR DISAPPROVAL BY SEC-
RETARY.—Not later than 180 days after receiv-
ing an application, the Secretary shall— 
‘‘(i) determine if the ballast water 
treatment system covered by the applica-
tion meets the requirements of this sub-
section; 
‘‘(ii) approve or disapprove the appli-
cation; and 
‘‘(iii) provide the applicant written no-
tice of the approval or disapproval. 
‘‘(G) APPEAL PROCESS.—As part of the 
guidelines issued under this paragraph, the Sec-
retary shall establish a process for applicants 
receiving a notice of disapproval to appeal the 
Secretary’s decision. 
‘‘(H) CERTIFICATION BY ADMINISTRATOR 
REQUIRED.—The Secretary shall approve and 
certify a ballast water treatment system only if 
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the Administrator certifies the system as meet-
ing the criteria of paragraph (11). 
‘‘(I) CONDITIONS OF USE OF APPROVED 
SYSTEMS.—As determined by the Secretary in 
consultation with the Administrator and the 
Under Secretary, approved ballast water treat-
ment systems shall be used only for voyage pat-
terns, durations, or any other characteristic 
that may affect the effectiveness or environ-
mental soundness of the ballast water treatment 
system covered by the application. 
‘‘(J) DETERMINATION OF VESSELS TO USE 
APPROVED
SYSTEM.—Approved ballast water 
treatment systems may be applicable to a spe-
cific vessel or group of vessels as determined by 
the Secretary. 
‘‘(K) VARIETY
AND
TYPE
OF
PARTICI-
PATING VESSELS.—The Secretary shall seek to 
ensure that a wide variety of vessel types and 
voyages are included in the program, but may 
not grant a delay under this paragraph to more 
than 5 percent of the vessels to which this sub-
section applies. 
‘‘(L) EXEMPTIONS.—A vessel operating en 
route to the United States from outside the ex-
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clusive economic zone of the United States that 
declares to have no ballast on board or is 
claimed to be carrying only umpumpable quan-
tities of ballast are exempt from the require-
ments of subparagraph (K). 
‘‘(M) TERM OF CERTIFICATION.—The cer-
tification of an approved ballast water treat-
ment system shall be valid only for the lesser of 
the following: 
‘‘(i) The expected life of the ballast 
water treatment system. 
‘‘(ii) 10 years. 
‘‘(iii) Until such time as the Secretary 
or Administrator (as appropriate) deter-
mines that, based on available information, 
the ballast water treatment system fails to 
meet the requirements of this subsection. 
‘‘(N) TERMINATION OF CERTIFICATION.— 
The Secretary may terminate the certification 
of a vessel under this subsection if participation 
of the vessel in the program is terminated with-
out the consent of the Secretary. 
‘‘(O) SAMPLING
AND
REPORTING
INFOR-
MATION.—Upon receiving approval for a treat-
ment under this paragraph, the owner or oper-
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ator of a vessel shall collect and report such in-
formation requested by the Secretary regarding 
the operational and biological effectiveness of 
the treatment through sampling of the intake 
and discharge ballast. 
‘‘(P) ANNUAL
EVALUATION; REVOCATION 
OF
CERTIFICATION.—The Secretary, in con-
sultation with the Administrator and the Under 
Secretary, shall establish an annual evaluation 
process to determine if approved experimental 
technology is effective or causing harm to the 
environment. If the technology is not effective 
or causes harm to the environment, then the 
Secretary shall revoke the certification. 
‘‘(Q) FEES.—The Secretary, with concur-
rence of the Administrator, may establish fees 
for processing the application. 
‘‘(11) ENVIRONMENTAL SOUNDNESS CRITERIA 
FOR BALLAST WATER TREATMENT SYSTEMS.— 
‘‘(A) IN
GENERAL.—The Administrator 
shall include in criteria promulgated under sec-
tion 1202(k)(1) specific criteria— 
‘‘(i) to ensure environmental sound-
ness of ballast water treatment systems; 
and 
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‘‘(ii) to grant environmental sound-
ness exceptions under subparagraph (B). 
‘‘(B) EXCEPTIONS.—In reviewing applica-
tions under paragraph (10) in an emergency 
situation to achieve reductions in significant 
and acute risk of transfers of invasive species 
by vessels, the Secretary and the Administrator 
may jointly determine to make an exception to 
criteria described in subparagraph (A)(i). 
‘‘(12) INCENTIVES
FOR
USE
OF
BALLAST 
WATER TREATMENT SYSTEMS.—The Secretary, the 
Secretary of Transportation, and the Administrator 
shall assist owners or operators of vessels that seek 
to obtain experimental approval for installation of 
ballast water treatment systems, including through 
providing guidance on— 
‘‘(A) a sampling protocol and test program 
for cost effective treatment evaluation; 
‘‘(B) sources of sampling equipment and 
field biological expertise; and 
‘‘(C) examples of shipboard evaluation 
studies. 
‘‘(13) SELECTION
OF
TECHNOLOGIES
AND 
PRACTICES.—In selecting technologies and practices 
for shipboard demonstration under section 1104(b), 
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the Secretary of the Interior and the Secretary of 
Commerce shall give priority consideration to tech-
nologies and practices that have received or are in 
the process of receiving certification under para-
graph (10). 
‘‘(14) ANNUAL SUMMARIES ON PERFORMANCE 
OF BALLAST WATER TREATMENT TECHNOLOGIES.— 
‘‘(A) ANNUAL SUMMARIES.—The Secretary 
shall annually summarize, and make available 
to interested persons, all available information 
on the performance of technologies proposed for 
ballast water treatment to facilitate the applica-
tion process for experimental approval for bal-
last water treatment. 
‘‘(B) PUBLICATION OF OTHER INFORMA-
TION.—The Administrator, in consultation with 
the Invasive Species Council, shall publish not 
later than 1 year after the date of the enact-
ment of this paragraph and update annually— 
‘‘(i) a list of environmentally sound 
treatment methods that meet the require-
ments of this section; 
‘‘(ii) accompanying research that sup-
ports the environmental soundness of each 
approved treatment method; and 
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‘‘(iii) explicit guidelines under which 
each treatment method can be used in an 
environmentally sound manner. 
‘‘(C) REPORTS.—The Invasive Species 
Council and the Task Force shall include the 
published information in the reports submitted 
under section 1201(f)(2)(B). 
‘‘(15) CRITERIA FOR ADEQUACY AND EFFEC-
TIVENESS.—Not later than 1 year after the date of 
the enactment of this paragraph and every 3 years 
thereafter, the Task Force shall submit to the Sec-
retary criteria for determining the adequacy and ef-
fectiveness of all regulations promulgated under this 
section. 
‘‘(16) HIGH-RISK VESSELS.— 
‘‘(A) VESSEL LIST.—Within 1 year after 
the date of enactment of the Prevention of 
Aquatic Invasive Species Act of 2006, the Sec-
retary 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 dis-
charge unexchanged or improperly exchanged 
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ballast water pursuant to an exception under 
subsection (f), pose a relatively high risk of in-
troducing aquatic invasive species into the wa-
ters of those States. 
‘‘(B) INCENTIVE
PROGRAMS.—The Sec-
retary shall— 
‘‘(i) give priority to vessels on the list 
for participation in pilot programs de-
scribed in paragraph (10); and 
‘‘(ii) encourage Federal and State 
technology development programs or other 
incentives (whether positive or negative) to 
give priority to such vessels in order to en-
courage the adoption of ballast water 
treatment technology by those vessels con-
sistent with the requirements of this sec-
tion on an expedited basis. 
‘‘(17) QUALIFIED EXEMPTIONS.— 
‘‘(A) IN GENERAL.—A vessel operating en-
tirely on the Great Lakes or in enclosed aquatic 
ecosystems designated under subsection (f)(10) 
shall be granted an exemption from the require-
ments of this subsection if the vessel meets re-
quirements prescribed by the Secretary. 
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‘‘(B) GUIDELINES
ESTABLISHING
PROC-
ESS.—The Secretary, in consultation with the 
Administrator and the Task Force, shall issue 
guidelines establishing a process for certifying 
vessels as exempt under this paragraph. The 
guidelines shall ensure that ships receiving an 
exemption carry only ballast water and sedi-
ment from the enclosed aquatic ecosystem in 
which the vessel operates. 
‘‘(C) LIMITATION ON EXEMPTIONS.—The 
Secretary shall not issue an exemption under 
this paragraph if the exemption would increase 
the risk of the invasion and spread of aquatic 
invasive species relative to a situation where an 
applicable vessel complies with the requirements 
of this subsection. 
‘‘(D) REVIEW OF EXEMPTIONS.— 
‘‘(i) REQUIRED
REVIEW.—The Sec-
retary shall review any exemption granted 
under this paragraph at least as often as 
every 2 years, and shall approve or revoke 
the exemption based on the review and the 
requirements of this paragraph. 
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‘‘(ii) DISCRETIONARY
REVIEW.—The 
Secretary may review an exemption at any 
time. 
‘‘(iii) REVIEW UPON REQUEST.—The 
Administrator or the Task Force may re-
quest a review of an exemption at any 
time. Upon receipt of such a request, the 
Secretary shall complete a review within 14 
days. 
‘‘(h) WARNINGS CONCERNING BALLAST WATER UP-
TAKE.— 
‘‘(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. 
‘‘(i) 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— 
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‘‘(A) in accordance with this subsection 
and the aquatic invasive species plan required 
under subsection (c); and 
‘‘(B) more than 200 nautical miles from 
the nearest point of land in the United States 
or into a reception facility that meets the re-
quirements 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 ap-
plies unless that vessel is designed and con-
structed, in accordance with regulations pre-
scribed under subparagraph (C), in a manner 
that— 
‘‘(i) minimizes the uptake and entrap-
ment of sediment; 
‘‘(ii) facilitates removal of sediment; 
and 
‘‘(iii) provides for safe access for sedi-
ment removal and sampling. 
‘‘(B) EXISTING VESSELS.—Every vessel to 
which this section applies that was constructed 
before January 1, 2009, shall be modified be-
fore January 1, 2009, to the extent practicable, 
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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 stand-
ards and guidance in the regulations governing 
the aquatic invasive species 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 pre-
scribe 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 ves-
sel sediment that meet the requirements of the 
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regulations promulgated under subparagraph 
(A) at ports and terminals where ballast tanks 
are cleaned or repaired. 
‘‘(j) 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 an aquatic invasive spe-
cies plan for the vessel that meets the re-
quirements of this section; and 
‘‘(ii) the equipment used for ballast 
water and sediment management in ac-
cordance with the requirements of this sec-
tion and the regulations promulgated here-
under is installed and functioning properly. 
‘‘(B) NEW
VESSELS.—For vessels con-
structed on or after January 1, 2009, the Sec-
retary shall conduct the examination required 
by subparagraph (A) before the vessel is placed 
in service. 
‘‘(C) EXISTING VESSELS.—For vessels con-
structed before January 1, 2009, the Secretary 
shall— 
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‘‘(i) conduct the examination required 
by subparagraph (A) before the date on 
which subsection (g)(1) applies to the ves-
sel according to the schedule in subsection 
(g)(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 this 
paragraph the first time the vessel enters a 
United States port. 
‘‘(2) SUBSEQUENT
EXAMINATIONS.—The Sec-
retary 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 ves-
sel’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 re-
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quirements of this section and the regulations pro-
mulgated hereunder, the Secretary shall issue a cer-
tificate 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 Sec-
retary. The certificate or a true copy shall be main-
tained on board the vessel. 
‘‘(5) NOTIFICATION
OF
VIOLATIONS.—If the 
Secretary finds, on the basis of an examination 
under paragraph (1) or paragraph (2), sampling 
under paragraph (3), or any other information, that 
a vessel is being operated in violation of the require-
ments of this section and the regulations promul-
gated 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 ap-
propriate. 
‘‘(6) COMPLIANCE
MONITORING.—The Sec-
retary shall by regulation establish sampling proce-
dures to monitor compliance with the requirements 
of this section. 
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‘‘(7) EDUCATION AND TECHNICAL ASSISTANCE 
PROGRAMS.—The Secretary may carry out education 
and technical assistance programs and other meas-
ures to promote compliance with the requirements 
issued under this section. 
‘‘(k) 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 reason-
able 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 regula-
tions 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 
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(1) has received a clearance under section 4197 
of the Revised Statutes (46 U.S.C. App. 91) be-
fore it was detained under paragraph (1), the 
Secretary shall withdraw, withhold, or revoke 
the clearance. 
‘‘(l) SANCTIONS.— 
‘‘(1) CIVIL PENALTIES.—Any person who vio-
lates a regulation promulgated under this section 
shall be liable for a civil penalty in an amount not 
to exceed $50,000. Each day of a continuing viola-
tion constitutes a separate violation. A vessel oper-
ated 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 (k)(2), upon request of the 
Secretary, the Secretary of the Treasury shall with-
hold 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 sec-
tion. 
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‘‘(4) EXCEPTION
TO
SANCTIONS.—This sub-
section does not apply to a failure to exchange bal-
last water if— 
‘‘(A) the master of a vessel discharges bal-
last water in accordance with subsection (f)(4); 
and 
‘‘(B) the Secretary determines that the re-
quirements of subsection (f)(4) are met. 
‘‘(m) ENFORCEMENT.— 
‘‘(1) ADMINISTRATIVE
ACTIONS.—If the Sec-
retary finds, after notice and an opportunity for a 
hearing, that a person has violated any provision of 
this section or any regulation promulgated here-
under, 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 pro-
mulgated hereunder. Any court before which such an 
action is brought may award appropriate relief, in-
cluding temporary or permanent injunctions and 
civil penalties. 
‘‘(n) COORDINATION WITH OTHER AGENCIES.—The 
Secretary is encouraged to use, with consent of the head 
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of the Federal or State agency concerned, the expertise, 
facilities, and personnel of appropriate Federal and State 
agencies and organizations that have routine contact with 
vessels, as determined by the Secretary. 
‘‘(o) 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 Sec-
retary, after consultation with the Task Force, determines 
to be necessary to develop and implement an effective 
international program for preventing the unintentional in-
troduction and spread of aquatic invasive species. 
‘‘(p) INTERNATIONAL
COOPERATION.—The Sec-
retary, in cooperation with the Under Secretary, the Sec-
retary of State, the Administrator, the heads of other rel-
evant Federal agencies, the International Maritime Orga-
nization 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 inter-
national program for preventing the unintentional intro-
duction and spread of aquatic invasive species, particularly 
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by seeking bilateral and multilateral agreements with Can-
ada (through the International Joint Commission), Mex-
ico, 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). 
‘‘(q) NON-DISCRIMINATION.—The Secretary shall en-
sure that vessels registered outside of the United States 
do not receive more favorable treatment than vessels reg-
istered in the United States when the Secretary performs 
studies, reviews compliance, determines effectiveness, es-
tablishes requirements, or performs any other responsibil-
ities under this Act. 
‘‘(r) SUPPORT FOR FEDERAL BALLAST WATER DEM-
ONSTRATION PROJECT.—In addition to amounts other-
wise available to the Maritime Administration, the Na-
tional Oceanographic and Atmospheric Administration, 
and the United States Fish and Wildlife Service for the 
Federal Ballast Water Demonstration Project, the Sec-
retary shall provide support for the conduct and expansion 
of the project, including grants for research and develop-
ment 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 au-
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thorized to be appropriated to the Secretary such sums 
as may be necessary for each of fiscal years 2007 through 
2011 to carry out this subsection. 
‘‘(s) CONSULTATION WITH TASK FORCE.—The Sec-
retary shall consult with the Task Force in carrying out 
this section. 
‘‘(t) PREEMPTION.— 
‘‘(1) IN GENERAL.—Except as provided in para-
graph (2) but notwithstanding any other provision of 
law, the provisions of subsections (f) and (g) super-
sede any provision of State or local law that is in-
consistent with the requirements of those sub-
sections 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 (g)(2) do not supersede any more 
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stringent standard under any otherwise applicable 
Federal, State, or local law. 
‘‘(3) APPLICATION WITH OTHER STATUTES.— 
This section provides the Federal authority for ad-
dressing aquatic invasive species in ballast water or 
sediment. If there is a conflict between any other-
wise applicable provision of Federal law and the re-
quirements of this section, the provisions of this sec-
tion shall control to the extent that such require-
ments relate to vessels with respect to aquatic 
invasive species in ballast water or sediment. 
‘‘(u) REGULATIONS.— 
‘‘(1) IN GENERAL.—The Secretary, after con-
sultation with the Administrator, shall issue such 
regulations as may be necessary initially to carry out 
this section within 1 year after the date of enact-
ment of the Prevention of Aquatic Invasive Species 
Act of 2006. 
‘‘(2) JUDICIAL REVIEW.— 
‘‘(A) 120-DAY RULE.—An interested per-
son 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 Adminis-
trator, in the United States Circuit Court of 
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