108 
of the vessel, its crew, or its passengers because 
of adverse weather, equipment failure, or any 
other relevant condition. 
‘‘(C) NOTIFICATION
REQUIRED.—When-
ever the master of a vessel is unable to comply 
with the requirements of paragraph (3) because 
of a determination made under subparagraph 
(B), the master of the vessel shall— 
‘‘(i) notify the Secretary as soon as 
practicable thereafter but no later than 24 
hours after making that determination and 
shall ensure that the determination, the 
reasons for the determination, and the no-
tice are recorded in the vessel’s ballast 
water record book; and 
‘‘(ii) undertake ballast water exchange 
in accordance with paragraph (6) if safety 
or stability concerns prevent undertaking 
ballast water exchange in the alternative 
area. 
‘‘(D) REVIEW OF CIRCUMSTANCES.—If the 
master of a vessel conducts a ballast water dis-
charge under the provisions of this paragraph, 
the Secretary shall review the circumstances to 
determine whether the discharge met the re-
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109 
quirements of this paragraph. The review under 
this clause shall be in addition to any other en-
forcement authority of the Secretary. 
‘‘(5) DISCHARGE UNDER WAIVER.— 
‘‘(A) SUBSTANTIAL
BUSINESS
HARDSHIP 
WAIVER.—If, because of the short length of a 
voyage, the operator of a vessel is unable to dis-
charge ballast water in accordance with the re-
quirements of paragraph (3)(B) without sub-
stantial business hardship, as determined under 
regulations issued by the Secretary, the oper-
ator may request a waiver from the Secretary 
and discharge the ballast water in accordance 
with paragraph (6). 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)(B) would require a suffi-
ciently great change in routing or sched-
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110 
uling of service as to compromise the eco-
nomic or commercial viability of the trade 
or business in which the vessel is operated; 
or 
‘‘(ii) it is reasonable to expect that the 
trade or business or service provided will 
be continued only if a waiver is granted 
under subparagraph (A). 
‘‘(6) PERMISSABLE 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 area designated for that 
purpose by the Secretary, after consulta-
tion with the Under Secretary, the heads 
of other appropriate Federal agencies as 
determined by the Secretary, and rep-
resentatives of any State that may be af-
fected by discharge of ballast water in that 
area; or 
‘‘(ii) into a reception facility described 
in subsection (f)(2). 
‘‘(B) LIMITATION ON VOLUME.—The vol-
ume of any ballast water discharged under this 
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111 
paragraph may not exceed the volume necessary 
to ensure the safe operation of the vessel. 
‘‘(7) 
CERTAIN
GEOGRAPHICALLY
LIMITED 
ROUTES.—Notwithstanding paragraph (1), the oper-
ator of a vessel is not required to comply with the 
requirements of this subsection— 
‘‘(A) if the vessel operates exclusively— 
‘‘(i) within the Great Lakes; or 
‘‘(ii) between or among the main 
group of the Hawaiian Islands; or 
‘‘(B) if the vessel operates exclusively with-
in any area with respect to which the Secretary 
has determined, after consultation with the 
Under Secretary, the Administrator, and rep-
resentatives of States the waters of which would 
be affected by the discharge of ballast water 
from the vessel, that the risk of introducing 
aquatic nuisance species through ballast water 
discharge in the areas in which the vessel oper-
ates is insignificant. 
‘‘(8) MARINE SANCTUARIES AND OTHER PRO-
HIBITED AREAS.—A vessel may not conduct ballast 
water exchange or discharge ballast water under this 
subsection— 
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112 
‘‘(A) within a national marine sanctuary 
designated under of the National Marine Sanc-
tuaries Act (16 U.S.C. 1431 et seq.); 
‘‘(B) in waters that are approved by the 
Administrator as a nondischarge zone under 
section 312(n)(7) of the Federal Water Pollu-
tion Control Act (33 U.S.C. 1322(n)(7)); or 
‘‘(C) in any other waters designated by the 
Secretary, in consultation with the Under Sec-
retary and the Administrator. 
‘‘(9) VESSELS
OPERATING
IN
THE
GREAT 
LAKES.— 
‘‘(A) VESSELS
WITH
NO
BALLAST
ON 
BOARD.—The Secretary shall issue regulations 
that are intended to minimize the introduction 
of nuisance species from vessels to which this 
section applies that— 
‘‘(i) have not undertaken ballast water 
exchange in accordance with this sub-
section; and 
‘‘(ii) enter a port in the Great Lakes 
without pumpable ballast water. 
‘‘(B) EFFECTIVE DATE FOR NEW REGULA-
TIONS.—The regulations issued by the Sec-
retary of Transportation under this section, as 
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113 
such regulations were in effect on the day be-
fore the date of enactment of the Ballast Water 
Treatment Act of 2007, shall remain in effect 
for, and shall continue to apply to, vessels en-
tering or operating in the Great Lakes until the 
earlier of— 
‘‘(i) the date on which such vessels 
are required to conduct ballast water treat-
ment in accordance with the requirements 
of subsection (f); or 
‘‘(ii) the effective date of final regula-
tions issued by the Secretary to implement 
this section that are at least as stringent 
as the regulations in effect on the day be-
fore such date of enactment, as determined 
by the Secretary in consultation with the 
Governors of the Great Lakes region. 
‘‘(f) 
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 in 
waters subject to the jurisdiction of the United 
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114 
States so that the ballast water discharged will con-
tain— 
‘‘(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 
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 issued by the Secretary, after consultation 
with other appropriate Federal agencies as de-
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115 
termined by the Secretary, 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 issued by the Administrator; or 
‘‘(ii) a water-based facility for the re-
ception of ballast water that meets stand-
ards issued by the Secretary. 
‘‘(B) 
ISSUANCE
OF
STANDARDS.—Not 
later than one year after the date of enactment 
of the Ballast Water Treatment Act of 2007, 
the Secretary, in consultation with the heads of 
other appropriate Federal agencies as deter-
mined by the Secretary, shall issue standards 
for— 
‘‘(i) the reception of ballast water in 
land-based and water-based reception fa-
cilities; and 
‘‘(ii) the disposal or treatment of such 
ballast water in a way that does not impair 
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116 
or damage the environment, human health, 
property, or resources. 
‘‘(3) TREATMENT SYSTEM IMPLEMENTATION.— 
Paragraph (1) applies to a vessel to which this sec-
tion applies beginning on the date of the first dry- 
docking of the vessel after December 31, 2008, but 
not later than December 31, 2013. 
‘‘(4) TREATMENT
SYSTEM
APPROVAL
RE-
QUIRED.—The operator of a vessel to which this sec-
tion applies may not use a ballast water treatment 
system to comply with the requirements of this sub-
section unless the system is approved by the Sec-
retary. The Secretary shall issue regulations estab-
lishing a process for such approval, after consulta-
tion with the heads of other appropriate Federal 
agencies as determined by the Secretary. 
‘‘(5) RELIANCE ON CERTAIN REPORTS, DOCU-
MENTS, AND
RECORDS.—In approving a ballast 
water treatment system under this subsection, the 
Secretary may rely on reports, documents, and 
records of persons that meet such requirements as 
the Secretary may prescribe. 
‘‘(6) FEASIBILITY REVIEW.— 
‘‘(A) IN
GENERAL.—Not later than De-
cember 31, 2007, the Secretary shall complete 
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117 
a review to determine whether appropriate tech-
nologies are available to achieve the standards 
set forth in paragraph (1). In reviewing the 
technologies the Secretary, after consultation 
with the heads of other appropriate Federal 
agencies as determined by the Secretary, shall 
consider— 
‘‘(i) the effectiveness of a technology 
in achieving the standards; 
‘‘(ii) feasibility in terms of compat-
ibility with ship design and operations; 
‘‘(iii) safety considerations; 
‘‘(iv) whether a technology has an ad-
verse impact on the environment; 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) is not feasible for 
any class of vessels, the Secretary— 
‘‘(i) may extend the date on which 
that subparagraph first applies to a vessel 
of such class for a period of not more than 
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118 
12 months, but not later than December 
31, 2013; and 
‘‘(ii) shall recommend action to ensure 
that compliance with the extended date is 
achieved. 
‘‘(C) HIGHER
STANDARDS.—If the Sec-
retary determines that ballast water treatment 
technology exists that exceeds the performance 
standards required under paragraph (1), the 
Secretary shall revise, for any class of vessels, 
the performance standards to incorporate the 
higher performance standards. 
‘‘(7) DELAY OF APPLICATION FOR VESSEL PAR-
TICIPATING
IN
PROMISING
TECHNOLOGY
EVALUA-
TIONS.— 
‘‘(A) IN GENERAL.—If a vessel participates 
in a program using a technology approved by 
the Secretary to test and evaluate promising 
ballast water treatment technologies that are 
likely to result in treatment technologies achiev-
ing a standard that is the same as or more 
stringent than the standard that applies under 
paragraph (1) before the first date on which 
paragraph (1) applies to that vessel, the Sec-
retary shall allow the vessel to use that tech-
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119 
nology for a 10-year period and such vessel 
shall be deemed to be in compliance with the re-
quirements of paragraph (1) during that 10- 
year period. 
‘‘(B) 
VESSEL
DIVERSITY.—The 
Sec-
retary— 
‘‘(i) shall seek to ensure that a wide 
variety of vessel types and voyages are in-
cluded in the program; but 
‘‘(ii) may not grant a delay under this 
paragraph to more than 5 percent of the 
vessels to which this section applies. 
‘‘(C) TERMINATION OF GRACE PERIOD.— 
The Secretary may terminate the 10-year grace 
period of a vessel under subparagraph (A) if— 
‘‘(i) the participation of the vessel in 
the program is terminated without the con-
sent of the Secretary; 
‘‘(ii) the vessel does not comply with 
manufacturer’s standards for operating the 
ballast water treatment technology used on 
such vessel; or 
‘‘(iii) the Secretary determines that 
the approved technology is insufficiently ef-
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120 
fective or is causing harm to the environ-
ment. 
‘‘(8) REVIEW OF STANDARDS.— 
‘‘(A) IN
GENERAL.—In December 2012 
and every third year thereafter, the Secretary 
shall complete review of ballast water treatment 
standards in effect under this subsection to de-
termine, after consultation with the Adminis-
trator and the heads of other appropriate Fed-
eral agencies determined by the Secretary, if 
the standards under this subsection should be 
revised to reduce the amount of organisms or 
microbes allowed to be discharged, taking into 
account improvements in the scientific under-
standing of biological processes leading to the 
spread of aquatic nuisance species and improve-
ments in ballast water treatment technology. 
The Secretary shall revise, by regulation, the 
requirements of this subsection as necessary. 
‘‘(B) APPLICATION OF ADJUSTED STAND-
ARDS.—In the regulations, the Secretary shall 
provide for the prospective application of the 
adjusted standards issued under this paragraph 
to vessels constructed after the date on which 
the adjusted standards apply and for an orderly 
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121 
phase-in of the adjusted standards to existing 
vessels. 
‘‘(9) HIGH-RISK VESSELS.— 
‘‘(A) VESSEL LIST.—Not later than one 
year after the date of enactment of the Ballast 
Water Treatment Act of 2007, the Secretary 
shall publish and regularly update a list of ves-
sels identified by the States that, due to factors 
such as the origin of their voyages, the fre-
quency of their voyages, the volume of ballast 
water they carry, the biological makeup of the 
ballast water, and the fact that they frequently 
discharge ballast water under an exception to 
subsection (e), pose a high risk of introducing 
aquatic nuisance species into the waters of 
those States. 
‘‘(B) INCENTIVE
PROGRAMS.—The Sec-
retary shall give priority to vessels on the list 
for participation in a program described in 
paragraph (7). Any Federal agency, and any 
State agency with respect to vessels identified 
by such State to the Secretary for inclusion on 
a list under subparagraph (A), may develop and 
implement technology development programs or 
other incentives (whether positive or negative) 
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122 
in order to encourage the adoption of ballast 
water treatment technology by those vessels 
consistent with the requirements of this section 
on an expedited basis. 
‘‘(10) NONAPPLICABILITY
OF
VESSELS
OPER-
ATING EXCLUSIVELY IN DETERMINED AREA.— 
‘‘(A) IN GENERAL.—Except as provided in 
subparagraph (D), paragraph (1) does not 
apply to a vessel that operates exclusively with-
in an area if the Secretary has determined 
through a rulemaking proceeding, after con-
sultation with the Administrator and the heads 
of other appropriate Federal agencies as deter-
mined by the Secretary, and representatives of 
States the waters of which could be affected by 
the discharge of ballast water from the vessel, 
that the risk of introducing aquatic nuisance 
species through ballast water discharge from 
the vessel is insignificant. 
‘‘(B) CERTAIN
VESSELS.—A vessel con-
structed before January 1, 2001, that operates 
exclusively within the Great Lakes shall be pre-
sumed not to pose a significant risk of intro-
ducing aquatic nuisance species unless the Sec-
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123 
retary finds otherwise in a rulemaking pro-
ceeding under subparagraph (A). 
‘‘(C) BEST
PRACTICES.—The Secretary 
shall develop, and require a vessel exempted 
from complying with the requirements of para-
graph (1) under this paragraph to follow, best 
practices to minimize the spreading of aquatic 
nuisance species in its operation area. The best 
practices shall be developed in consultation with 
the Governors of States that may be affected. 
‘‘(D) STOPPING THE SPREAD OF INFEC-
TIOUS DISEASE.—The Secretary, at the request 
of the Secretary of Agriculture, shall require a 
vessel to which paragraph (1) does not apply in 
accordance with subparagraph (A) to have a 
ballast water treatment system approved by the 
Secretary under this subsection to stop the 
spread of infectious diseases to plants and ani-
mals as otherwise authorized by law. 
‘‘(11) LABORATORIES.—The Secretary may use 
any Federal, non-Federal, or foreign laboratory that 
meets standards established by the Secretary for the 
purpose of evaluating and certifying ballast water 
treatment technologies that meet the requirements 
of this subsection. 
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124 
‘‘(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 
‘‘(ii) into a reception facility that meets the 
requirements of paragraph (3). 
‘‘(2) DESIGN REQUIREMENTS.— 
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125 
‘‘(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-
struction standards to achieve the objectives of 
subparagraph (A) and providing guidance for 
modifications and practices under subparagraph 
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126 
(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 
(A) at ports and terminals where ballast tanks 
are cleaned or repaired. 
‘‘(i) EXAMINATIONS AND CERTIFICATIONS.— 
‘‘(1) INITIAL EXAMINATION.— 
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127 
‘‘(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. 
‘‘(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-
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128 
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 
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-
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129 
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-
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, 
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130 
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 
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 
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131 
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) SUSPENSION OF FEDERAL AUTHORI-
TIES.—Not later than 90 days after the date on 
which a State submits a program (or revision 
thereof) 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 Secretary shall no-
tify the State of any revisions or modifications 
necessary to conform to such requirements. 
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132 
‘‘(D) 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. 
‘‘(E) WITHDRAWAL OF APPROVAL.—When-
ever the Secretary determines, after public 
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. 
‘‘(F) 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 
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133 
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. 
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.— 
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134 
‘‘(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-
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. 
‘‘(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— 
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135 
‘‘(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. 
‘‘(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 
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136 
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. 
‘‘(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 
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137 
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 
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. The Sec-
retary is particularly encouraged to seek bilateral or multi-
lateral agreements with Canada, Mexico, and other na-
tions in the Wider Caribbean Region (as defined in the 
Convention for the Protection and Development of the Ma-
rine Environment of the Wider Caribbean, signed at 
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138 
Cartagena on March 24, 1983 (TIAF 11085), to carry 
out the objectives of this section. 
‘‘(o) NONDISCRIMINATION.—The Secretary shall en-
sure that foreign vessels do not receive more favorable 
treatment than vessels of the United States when the Sec-
retary performs studies, reviews compliance, determines 
effectiveness, establishes requirements, or performs any 
other responsibilities under this Act. 
‘‘(p) CONSULTATION WITH TASK FORCE.—The Sec-
retary shall consult with the Task Force in carrying out 
this section. 
‘‘(q) PREEMPTION.— 
‘‘(1) IN GENERAL.—Except as provided in para-
graph (4) but notwithstanding any other provision of 
law, the provisions of subsections (e) and (f) 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. 
‘‘(2) GREATER PENALTIES OR FEES.—For pur-
pose of paragraph (1), 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 or the imposition by a State of 
incentives under subsection (f)(9)(B) shall not be 
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139 
considered to be inconsistent, or to conflict, with the 
requirements of subsections (e) and (f). 
‘‘(3) RECEPTION
FACILITIES.—The standards 
issued by the Secretary or the heads of other appro-
priate Federal agencies under subsection (f)(2) do 
not supersede any more stringent standard under 
any otherwise applicable Federal, State, or local law. 
‘‘(r) COAST GUARD REPORT ON OTHER SOURCES OF 
VESSEL-BOURNE NUISANCE SPECIES.— 
‘‘(1) IN GENERAL.— 
‘‘(A) HULL-FOULING AND OTHER VESSEL 
SOURCES.—Not later than 180 days after the 
date of enactment of the Ballast Water Treat-
ment Act of 2007, the Secretary shall transmit 
a report to the Committee on Commerce, 
Science, and Transportation of the Senate and 
the Committee on Transportation and Infra-
structure of the House of Representatives on 
vessel-related pathways of harmful aquatic or-
ganisms and pathogens other than ballast water 
and sediment, including vessel hulls and equip-
ment, and from vessels equipped with ballast 
tanks that carry no ballast water on board. 
‘‘(B) BEST PRACTICES.— 
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140 
‘‘(i) IN GENERAL.—As soon as prac-
ticable, the Secretary shall develop best 
practices standards and procedures de-
signed to reduce the introduction and 
spread of invasive species into and within 
the United States from vessels and estab-
lish a timeframe for implementation of 
those standards and procedures by vessels. 
Such standards and procedures shall in-
clude designation of geographical locations 
for uptake and discharge of untreated bal-
last water, as well as standards and proce-
dure for other vessel pathways of aquatic 
invasive species. 
‘‘(ii) REPORT.—The Secretary shall 
transmit a report to the committees re-
ferred to in subparagraph (A) describing 
the standards and procedures developed 
under this subparagraph and the imple-
mentation timeframe, together with such 
recommendations as the Secretary deter-
mines appropriate. 
‘‘(iii) REGULATIONS.—The Secretary 
may issue regulations to incorporate and 
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