338 
modifications and practices under 
subparagraph 
(B). 
The 
Secretary 
shall incorporate the standards and 
guidance 
in 
the 
regulations 
gov-
erning the ballast water management 
plan approved under subsection (c). 
‘‘(3) SEDIMENT RECEPTION FACILITIES.— 
‘‘(A) STANDARDS.—The Secretary, 
in consultation with the heads of 
other appropriate Federal agencies as 
determined by the Secretary, shall 
issue regulations governing facilities 
for the reception of vessel sediment 
from spaces designed to carry ballast 
water that provide for the disposal of 
such sediment in a way that does not 
impair or damage the environment, 
human health, or property or re-
sources of the disposal area. 
‘‘(B) DESIGNATION.—The Secretary, 
in consultation with the heads of 
other appropriate Federal agencies as 
determined by the Secretary shall 
designate facilities for the reception 
of vessel sediment that meet the re-
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339 
quirements of the regulations issued 
under subparagraph (A) at ports and 
terminals where ballast tanks are 
cleaned or repaired. 
‘‘(i) EXAMINATIONS AND CERTIFICATIONS.— 
‘‘(1) INITIAL EXAMINATION.— 
‘‘(A) IN
GENERAL.—The Secretary 
shall examine vessels to which this 
section applies to determine wheth-
er— 
‘‘(i) there is a ballast water 
management plan for the vessel 
that is approved by the Secretary 
and a ballast water record book 
on the vessel that meets the re-
quirements of subsection (d); 
‘‘(ii) the equipment used for 
ballast water and sediment man-
agement in accordance with the 
requirements of this section and 
the regulations issued under this 
section is installed and func-
tioning properly. 
‘‘(B) NEW
VESSELS.—For vessels 
constructed on or after January 1, 
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340 
2009, the Secretary shall conduct the 
examination required by subpara-
graph (A) before the vessel is placed 
in service. 
‘‘(C) EXISTING
VESSELS.—For ves-
sels constructed before January 1, 
2009, the Secretary shall— 
‘‘(i) conduct the examination 
required by subparagraph (A) be-
fore the date on which subsection 
(f)(1) applies to the vessel accord-
ing to the schedule in subsection 
(f)(3); and 
‘‘(ii) inspect the vessel’s bal-
last 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 ves-
sel enters a United States port. 
‘‘(2) 
SUBSEQUENT
EXAMINATIONS.—In 
addition to the examination required by 
paragraph (1), the Secretary shall annu-
ally examine vessels to which this section 
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341 
applies, to ensure compliance with the re-
quirements of this section and the regula-
tions issued under this section. 
‘‘(3) INSPECTION AUTHORITY.— 
‘‘(A) IN
GENERAL.—The Secretary 
may carry out inspections of any ves-
sel to which this section applies at 
any time, including the taking of bal-
last water samples, to ensure compli-
ance with this section. The Secretary 
shall use all appropriate and prac-
tical measures of detection and envi-
ronmental monitoring such vessels 
and shall establish adequate proce-
dures for reporting violations of this 
section and accumulating evidence 
regarding such violations. 
‘‘(B) INVESTIGATIONS.— 
‘‘(i) IN GENERAL.—Upon receipt 
of evidence that a violation of this 
section or a regulation issued 
under this section has occurred, 
the Secretary shall cause the mat-
ter to be investigated. 
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342 
‘‘(ii) ISSUANCE OF SUBPOENAS.— 
In an investigation under this 
subparagraph, the Secretary may 
issue subpoenas to require the at-
tendance of any witness and the 
production 
of 
documents 
and 
other evidence. 
‘‘(iii) COMPELLING COMPLIANCE 
WITH
SUBPOENAS.—In case of re-
fusal to obey a subpoena issued 
under this subparagraph, the Sec-
retary may request the Attorney 
General to invoke the aid of the 
appropriate district court of the 
United States to compel compli-
ance. 
‘‘(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 Gov-
ernor of each State desiring to admin-
ister its own inspection and enforce-
ment authority for ballast water dis-
charges within its jurisdiction may 
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343 
submit to the Secretary a complete 
description of the program the Gov-
ernor proposes to establish and ad-
minister under State law. In addition, 
the Governor shall submit a state-
ment from the attorney general that 
the laws of such State provide ade-
quate authority to carry out the de-
scribed program. 
‘‘(B) 
APPROVAL.—The 
Secretary 
shall approve a program submitted 
under subparagraph (A), unless the 
Secretary determines that adequate 
resources do not exist or, in the case 
of ballast water testing, that adequate 
scientific expertise does not exist— 
‘‘(i) to inspect, monitor, and 
board any vessel to which this 
section applies at any time, in-
cluding the taking and testing of 
ballast water samples, to ensure 
the vessel’s compliance with this 
section; 
‘‘(ii) to ensure that any ballast 
water discharged within the wa-
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344 
ters subject to the jurisdiction of 
the State meet the ballast water 
requirements of this section and 
the regulations issued under this 
section, including any revisions to 
such requirements and regula-
tions; 
‘‘(iii) to establish adequate 
procedures for reporting viola-
tions of this section; 
‘‘(iv) to investigate and abate 
violations of this section, includ-
ing civil and criminal penalties 
and other ways and means of en-
forcement; and 
‘‘(v) to ensure that the Sec-
retary receives notice of each vio-
lation of the ballast water treat-
ment requirements issued under 
this section in an expeditious 
manner. 
‘‘(C) SUSPENSION
OF
FEDERAL
AU-
THORITIES.—Not later than 90 days 
after the date on which a State sub-
mits a program (or revision thereof) 
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345 
under this paragraph, the Secretary 
shall suspend its authorities under 
subsections (k) and (l) in such State, 
unless the Secretary determines that 
the State program does not meet the 
requirements of this paragraph. If the 
Secretary so determines, the Sec-
retary shall notify the State of any re-
visions or modifications necessary to 
conform to such requirements. 
‘‘(D) COMPLIANCE.—Any State pro-
gram approved under this paragraph 
shall at all times be conducted in ac-
cordance with this section and regu-
lations issued under this section. 
‘‘(E) WITHDRAWAL
OF
APPROVAL.— 
Whenever the Secretary determines, 
after public hearing, that a State is 
not administering a program ap-
proved under this paragraph in ac-
cordance with this section and regu-
lations issued under this section, the 
Secretary shall notify the State and, 
if appropriate corrective action is not 
taken within a reasonable period of 
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346 
time not to exceed 90 days, the Sec-
retary 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 with-
drawal. 
‘‘(F) 
LIMITATION
ON
STATUTORY 
CONSTRUCTION.—Nothing in this para-
graph shall limit the authority of the 
Secretary carry out inspections and 
investigations of any vessels under 
paragraph (3). 
‘‘(5) REQUIRED CERTIFICATE.—If, on the 
basis of an initial examination under 
paragraph (1), the Secretary finds that a 
vessel complies with the requirements of 
this section and the regulations issued 
under this section, the Secretary shall 
issue a certificate under this paragraph 
as evidence of such compliance. The cer-
tificate shall be valid for a period of not 
more than 5 years, as specified by the 
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347 
Secretary. The certificate or a true copy 
shall be maintained on board the vessel. 
‘‘(6) NOTIFICATION
OF
VIOLATIONS.—If 
the Secretary finds, on the basis of an ex-
amination under paragraph (1) or (2), in-
vestigation under paragraph (3), or any 
other information, that a vessel is being 
operated in violation of any requirement 
of this section or regulation issued under 
this section, the Secretary shall— 
‘‘(A) notify, in writing— 
‘‘(i) the master of the vessel; 
and 
‘‘(ii) the captain of the port at 
the vessel’s next port of call; 
‘‘(B) remove from the vessel the 
certificate issued under paragraph 
(5); 
‘‘(C) take such other action as 
may be appropriate. 
‘‘(7) COMPLIANCE MONITORING.— 
‘‘(A) IN
GENERAL.—The Secretary 
shall establish, by regulation, sam-
pling and other procedures to mon-
itor compliance with the require-
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348 
ments of this section and the regula-
tions issued under this section. 
‘‘(B) USE
OF
MARKERS.—The Sec-
retary may verify compliance with 
the discharge requirements of sub-
section (f) and the regulations issued 
under this section with respect to 
such requirements through identi-
fication of markers associated with a 
treatment technology’s effectiveness, 
such as the presence of indicators as-
sociated with a certified treatment 
technology. 
‘‘(8) EDUCATION AND TECHNICAL ASSIST-
ANCE
PROGRAMS.—The 
Secretary 
may 
carry out education and technical assist-
ance programs and other measures to 
promote compliance with the require-
ments of this section and the regulations 
issued under this section. 
‘‘(j) DETENTION
OF
VESSELS.—The Sec-
retary, by notice to the owner, charterer, 
managing operator, agent, master, or other in-
dividual in charge of a vessel, may detain that 
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349 
vessel if the Secretary has reasonable cause to 
believe that— 
‘‘(1) the vessel is a vessel to which 
this section applies; and 
‘‘(2) the vessel does not comply with 
any requirement of this section or regula-
tion issued under this section or is being 
operated in violation of such a require-
ment or regulation. 
‘‘(k) SANCTIONS.— 
‘‘(1) 
CIVIL
PENALTIES.—Any 
person 
who violates this section (including a reg-
ulation issued under this section) shall be 
liable for a civil penalty in an amount not 
to exceed $32,500. Each day of a con-
tinuing violation constitutes a separate 
violation. A vessel operated in violation 
of this section (including a regulation 
issued under this section) is liable in rem 
for any civil penalty assessed under this 
subsection for that violation. 
‘‘(2) 
CRIMINAL
PENALTIES.—Whoever 
knowingly violates this section (including 
a regulation issued under this section) 
shall be fined under title 18, United 
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350 
States, or imprisoned not more than 12 
years, or both. 
‘‘(3) REVOCATION
OF
CLEARANCE.—Ex-
cept as provided in subsection (j)(2), 
upon request of the Secretary, the Sec-
retary of the Treasury shall withhold or 
revoke the clearance of a vessel required 
by section 60105 of title 46, United States 
Code, if the owner or operator of that 
vessel is in violation of this section or a 
regulation issued under this section. 
‘‘(l) ENFORCEMENT.— 
‘‘(1) ADMINISTRATIVE
ACTIONS.—If the 
Secretary finds, after notice and an op-
portunity 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 viola-
tion. In determining the amount of the 
civil penalty, the Secretary shall take 
into account the nature, circumstances, 
extent, and gravity of the prohibited acts 
committed and, with respect to the viola-
tor, the degree of culpability, any history 
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