200 
Water Treatment Act of 2008 and without re-
gard to chapter 5 of title 5, United States 
Code, issue interim protocols for verifying the 
performance of ballast water treatment tech-
nologies required by this Act, criteria for certi-
fying laboratories to evaluate such technologies, 
and procedures for approving treatment equip-
ment and systems for shipboard use. 
‘‘(B) PROTOCOLS AND PROCEDURES FOR 
TREATMENT
TECHNOLOGIES.—In 
developing 
protocols and procedures for verifying and ap-
proving treatment technologies, the Secretary 
and the Administrator, shall consider using ex-
isting protocols and procedures including meth-
ods used as part of the Ballast Water Manage-
ment Demonstration Program by the Environ-
mental Protection Agency as a part of its Envi-
ronmental Testing & Verification Program, or 
by the Secretary as part of the Coast Guard’s 
Shipboard Technology Evaluation Program. 
‘‘(C) LABORATORIES.—The Secretary and 
the Administrator shall utilize Federal or non- 
Federal laboratories that meet standards estab-
lished by the Secretary for the purpose of evalu-
ating and certifying ballast water treatment
201 
technologies and equipment under this sub-
section. 
‘‘(D) 
REQUIREMENTS; 
UPDATES.—The 
Secretary and the Administrator shall periodi-
cally review and, if necessary, revise the cri-
teria, protocols, and procedures developed under 
this paragraph. 
‘‘(12) PROGRAM TO SUPPORT THE PROMULGA-
TION AND IMPLEMENTATION OF STANDARDS.— 
‘‘(A) IN GENERAL.—The Secretary and the 
Administrator, in coordination with the Under 
Secretary, the Task Force and other appro-
priate Federal agencies, shall carry out a co-
ordinated program to support the promulgation 
and implementation of standards under this 
subsection to prevent the introduction and 
spread of aquatic invasive species by vessels. 
The program established under this section 
shall, at a minimum— 
‘‘(i) characterize physical, chemical, 
and biological harbor conditions relevant to 
ballast discharge into United States waters 
to inform the design and implementation 
of ship vector control technologies and 
practices;
202 
‘‘(ii) develop testing protocols for de-
termining the effectiveness of vessel vector 
monitoring and control technologies and 
practices; 
‘‘(iii) demonstrate methods for miti-
gating the spread of invasive species by 
coastal voyages, including exploring the ef-
fectiveness of alternative exchange zones in 
the near coastal areas and other methods 
proposed to reduce transfers of organisms; 
‘‘(iv) verify the practical effectiveness 
of any process for approving a type of al-
ternative ballast water management as 
meeting standards established under this 
subsection, to ensure that the process pro-
duces repeatable and accurate assessments 
of treatment effectiveness; and 
‘‘(v) evaluate the effectiveness and re-
sidual risk and environmental impacts as-
sociated with any standard set with respect 
to the vessel pathways. 
‘‘(B) 
AUTHORIZATION
OF
APPROPRIA-
TIONS.—In addition to other amounts author-
ized by this title, to carry out this paragraph 
there 
are 
authorized 
to 
be 
appropriated
203 
$1,500,000 to the Secretary and $1,500,000 to 
the Under Secretary for each of fiscal years 
2008 through 2012. 
‘‘(g) WARNINGS CONCERNING BALLAST WATER 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 may not uptake ballast water due to 
known conditions. 
‘‘(2) CONTENTS.—The notice shall include— 
‘‘(A) the coordinates of the area; and 
‘‘(B) if possible, the location of alternative 
areas for the uptake of ballast water. 
‘‘(h) SEDIMENT MANAGEMENT.— 
‘‘(1) IN GENERAL.—The operator of a vessel to 
which this section applies may not remove or dispose 
of sediment from spaces designed to carry ballast 
water, except— 
‘‘(A) in accordance with this subsection 
and the ballast water management plan ap-
proved under subsection (c); and 
‘‘(B)(i) more than 200 nautical miles from 
the nearest point of land; or
204 
‘‘(ii) into a reception facility that meets the 
requirements of paragraph (3). 
‘‘(2) DESIGN REQUIREMENTS.— 
‘‘(A) NEW VESSELS.—After December 31, 
2008, a vessel to which this section applies may 
not be operated on waters subject to the juris-
diction of the United States, unless that vessel 
is designed and constructed in accordance with 
regulations issued under subparagraph (C) and 
in a manner that— 
‘‘(i) minimizes the uptake and entrap-
ment of sediment; 
‘‘(ii) facilitates removal of sediment; 
and 
‘‘(iii) provides for safe access for sedi-
ment removal and sampling. 
‘‘(B) EXISTING
VESSELS.—A vessel to 
which this section applies that was constructed 
before January 1, 2009, shall be modified, to 
the extent practicable, at the first drydocking of 
the vessel after December 31 2008, but not 
later than December 31, 2013, to achieve the 
objectives described in subparagraph (A). 
‘‘(C) REGULATIONS.—The Secretary shall 
issue regulations establishing design and con-
205 
struction 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 ballast water management plan approved 
under subsection (c). 
‘‘(3) SEDIMENT RECEPTION FACILITIES.— 
‘‘(A) STANDARDS.—The Secretary, in con-
sultation with the heads of other appropriate 
Federal agencies as determined by the Sec-
retary, shall issue regulations governing facili-
ties for the reception of vessel sediment from 
spaces designed to carry ballast water that pro-
vide for the disposal of such sediment in a way 
that does not impair or damage the environ-
ment, human health, or property or resources of 
the disposal area. 
‘‘(B) DESIGNATION.—The Secretary, in 
consultation with the heads of other appropriate 
Federal agencies as determined by the Sec-
retary shall designate facilities for the reception 
of vessel sediment that meet the requirements 
of the regulations issued under subparagraph
206 
(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 manage-
ment plan for the vessel that is approved 
by the Secretary and a ballast water record 
book on the vessel that meets the require-
ments of subsection (d); 
‘‘(ii) the equipment used for ballast 
water and sediment management in ac-
cordance with the requirements of this sec-
tion and the regulations issued under this 
section is installed and functioning prop-
erly. 
‘‘(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.
207 
‘‘(C) EXISTING VESSELS.—For vessels con-
structed 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 ves-
sel according to the schedule in subsection 
(f)(3); and 
‘‘(ii) inspect the vessel’s ballast water 
record book required by subsection (d). 
‘‘(D) FOREIGN VESSEL.—In the case of a 
foreign vessel, the Secretary shall perform the 
examination required by this paragraph the 
first time the vessel enters a United States 
port. 
‘‘(2) SUBSEQUENT
EXAMINATIONS.—In addi-
tion to the examination required by paragraph (1), 
the Secretary shall annually examine vessels to 
which this section applies, to ensure compliance with 
the requirements of this section and the regulations 
issued under this section. 
‘‘(3) INSPECTION AUTHORITY.— 
‘‘(A) IN
GENERAL.—The Secretary may 
carry out inspections of any vessel to which this 
section applies at any time, including the taking
208 
of ballast water samples, to ensure compliance 
with this section. The Secretary shall use all 
appropriate and practical measures of detection 
and environmental monitoring such vessels and 
shall establish adequate procedures for report-
ing violations of this section and accumulating 
evidence regarding such violations. 
‘‘(B) INVESTIGATIONS.— 
‘‘(i) IN
GENERAL.—Upon receipt of 
evidence that a violation of this section or 
a regulation issued under this section has 
occurred, the Secretary shall cause the 
matter to be investigated. 
‘‘(ii) ISSUANCE
OF
SUBPOENAS.—In 
an investigation under this subparagraph, 
the Secretary may issue subpoenas to re-
quire the attendance of any witness and 
the production of documents and other evi-
dence. 
‘‘(iii) COMPELLING COMPLIANCE WITH 
SUBPOENAS.—In case of refusal to obey a 
subpoena issued under this subparagraph, 
the Secretary may request the Attorney 
General to invoke the aid of the appro-
209 
priate district court of the United States to 
compel compliance. 
‘‘(4) STATE PROGRAMS.— 
‘‘(A) SUBMISSION TO SECRETARY.—At any 
time after the date of issuance of ballast water 
treatment regulations issued under this section, 
the Governor of each State desiring to admin-
ister its own inspection and enforcement au-
thority for ballast water discharges within its 
jurisdiction may submit to the Secretary a com-
plete description of the program the Governor 
proposes to establish and administer under 
State law. In addition, the Governor shall sub-
mit a statement from the attorney general that 
the laws of such State provide adequate author-
ity to carry out the described program. 
‘‘(B) APPROVAL.—The Secretary shall ap-
prove a program submitted under subparagraph 
(A), unless the Secretary determines that ade-
quate resources do not exist or, in the case of 
ballast water testing, that adequate scientific 
expertise does not exist— 
‘‘(i) to inspect, monitor, and board 
any vessel to which this section applies at 
any time, including the taking and testing
210 
of ballast water samples, to ensure the ves-
sel’s compliance with this section; 
‘‘(ii) to ensure that any ballast water 
discharged within the waters subject to the 
jurisdiction of the State meet the ballast 
water requirements of this section and the 
regulations issued under this section, in-
cluding any revisions to such requirements 
and regulations; 
‘‘(iii) to establish adequate procedures 
for reporting violations of this section; 
‘‘(iv) to investigate and abate viola-
tions of this section, including civil and 
criminal penalties and other ways and 
means of enforcement; and 
‘‘(v) to ensure that the Secretary re-
ceives notice of each violation of the ballast 
water treatment requirements issued under 
this section in an expeditious manner. 
‘‘(C) COMPLIANCE.—Any State program 
approved under this paragraph shall at all 
times be conducted in accordance with this sec-
tion and regulations issued under this section. 
‘‘(D) 
WITHDRAWAL
OF
APPROVAL.— 
Whenever the Secretary determines, after public
211 
hearing, that a State is not administering a 
program approved under this paragraph in ac-
cordance with this section and regulations 
issued under this section, the Secretary shall 
notify the State and, if appropriate corrective 
action is not taken within a reasonable period 
of time not to exceed 90 days, the Secretary 
shall withdraw approval of the program. The 
Secretary shall not withdraw approval of any 
program unless the Secretary shall first have 
notified the State, and made public, in writing, 
the reasons for such withdrawal. 
‘‘(E) LIMITATION
ON
STATUTORY
CON-
STRUCTION.—Nothing in this paragraph shall 
limit the authority of the Secretary carry out 
inspections and investigations of any vessels 
under paragraph (3). 
‘‘(5) REQUIRED CERTIFICATE.—If, on the basis 
of an initial examination under paragraph (1), the 
Secretary finds that a vessel complies with the re-
quirements of this section and the regulations issued 
under this section, the Secretary shall issue a certifi-
cate under this paragraph as evidence of such com-
pliance. The certificate shall be valid for a period of 
not more than 5 years, as specified by the Secretary.
212 
The certificate or a true copy shall be maintained on 
board the vessel. 
‘‘(6) NOTIFICATION
OF
VIOLATIONS.—If the 
Secretary finds, on the basis of an examination 
under paragraph (1) or (2), investigation under 
paragraph (3), or any other information, that a ves-
sel is being operated in violation of any requirement 
of this section or regulation issued under this sec-
tion, the Secretary shall— 
‘‘(A) notify, in writing— 
‘‘(i) the master of the vessel; and 
‘‘(ii) the captain of the port at the 
vessel’s next port of call; 
‘‘(B) remove from the vessel the certificate 
issued under paragraph (5); 
‘‘(C) take such other action as may be ap-
propriate. 
‘‘(7) COMPLIANCE MONITORING.— 
‘‘(A) IN
GENERAL.—The Secretary shall 
establish, by regulation, sampling and other 
procedures to monitor compliance with the re-
quirements of this section and the regulations 
issued under this section. 
‘‘(B) USE
OF
MARKERS.—The Secretary 
may verify compliance with the discharge re-
213 
quirements of subsection (f) and the regulations 
issued under this section with respect to such 
requirements through identification of markers 
associated with a treatment technology’s effec-
tiveness, such as the presence of indicators as-
sociated with a certified treatment technology. 
‘‘(8) 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 of 
this section and the regulations issued under this 
section. 
‘‘(9) REPORT.—Beginning 1 year after final 
regulations have been adopted pursuant to this sec-
tion after the enactment of the Ballast Water Treat-
ment Act of 2008, and annually thereafter, the Sec-
retary shall prepare a report summarizing the re-
sults of ballast water inspection and enforcement ac-
tivities. The report shall, at a minimum, include in-
formation on the number of vessels inspected and 
the type of inspections, the status of implementation 
of treatment technologies, the number of exemptions 
claimed from ballast water exchange requirements, 
the number of violations, a summary of enforcement 
and regulatory actions, and overall compliance sta-
214 
tistics. The report shall be made available on the 
National Ballast Information Clearinghouse estab-
lished under section 1102(f). 
‘‘(j) DETENTION OF VESSELS.—The Secretary, by 
notice to the owner, charterer, managing operator, agent, 
master, or other individual in charge of a vessel, may de-
tain that vessel if the Secretary has reasonable cause to 
believe that— 
‘‘(1) the vessel is a vessel to which this section 
applies; and 
‘‘(2) the vessel does not comply with any re-
quirement of this section or regulation issued under 
this section or is being operated in violation of such 
a requirement or regulation. 
‘‘(k) SANCTIONS.— 
‘‘(1) CIVIL PENALTIES.—Any person who vio-
lates this section (including a regulation issued 
under this section) shall be liable for a civil penalty 
in an amount not to exceed $32,500. Each day of 
a continuing violation constitutes a separate viola-
tion. A vessel operated in violation of this section 
(including a regulation issued under this section) is 
liable in rem for any civil penalty assessed under 
this subsection for that violation.
215 
‘‘(2) CRIMINAL
PENALTIES.—Whoever know-
ingly violates this section (including a regulation 
issued under this section) shall be fined under title 
18, United States, or imprisoned not more than 12 
years, or both. 
‘‘(3) REVOCATION OF CLEARANCE.—Except as 
provided in subsection (j)(2), upon request of the 
Secretary, the Secretary of the Treasury shall with-
hold or revoke the clearance of a vessel required by 
section 60105 of title 46, United States Code, if the 
owner or operator of that vessel is in violation of 
this section or a regulation issued under this section. 
‘‘(l) ENFORCEMENT.— 
‘‘(1) ADMINISTRATIVE
ACTIONS.—If the Sec-
retary finds, after notice and an opportunity for a 
hearing, that a person has violated this section or a 
regulation issued under this section, the Secretary 
may assess a civil penalty for that violation. In de-
termining the amount of the civil penalty, the Sec-
retary shall take into account the nature, cir-
cumstances, extent, and gravity of the prohibited 
acts committed and, with respect to the violator, the 
degree of culpability, any history of prior violations, 
and such other matters as justice may require.
216 
‘‘(2) CIVIL
ACTIONS.—At the request of the 
Secretary, the Attorney General may bring a civil 
action in an appropriate district court of the United 
States to enforce this section or any regulation 
issued under this section. Any court before which 
such an action is brought may award appropriate re-
lief, including temporary or permanent injunctions 
and civil penalties. 
‘‘(m) CONSULTATION WITH CANADA, MEXICO, AND 
OTHER
FOREIGN
GOVERNMENTS.—In developing the 
guidelines and regulations to be issued under this section, 
the Secretary is encouraged to consult with the Govern-
ment 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 nec-
essary to develop and implement an effective international 
program for preventing the unintentional introduction and 
spread of aquatic nuisance species through ballast water. 
‘‘(n) 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