Loading (50 kb)...'

National
United States
16 USC CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL

-CITE-
16 USC CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND
CONTROL 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL

-HEAD-
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL


-MISC1-
SUBCHAPTER I - GENERAL PROVISIONS
Sec.
4701. Findings and purposes.
(a) Findings.
(b) Purposes.
4702. Definitions.

SUBCHAPTER II - PREVENTION OF UNINTENTIONAL INTRODUCTIONS OF
NONINDIGENOUS AQUATIC SPECIES
4711. Aquatic nuisance species in waters of United States.
(a) Great Lakes guidelines.
(b) Regulations.
(c) Voluntary national guidelines.
(d) Report to Congress.
(e) Periodic review and revision.
(f) Authority of Secretary.
(g) Sanctions.
(h) Coordination with other agencies.
(i) Consultation with Canada, Mexico and other
foreign governments.
(j) International cooperation.
(k) Safety exemption.
(l) Non-discrimination.
4712. National ballast water management information.
(a) Studies on introduction of aquatic nuisance
species by vessels.
(b) Ecological and ballast water discharge surveys.
(c) Reports.
(d) Negotiations.
(e) Regional research grants.
(f) National ballast information clearinghouse.
4713. Armed services ballast water programs.
(a) Department of Defense vessels.
(b) Coast Guard vessels.
4714. Ballast water management demonstration program.
(a) "Technologies and practices" defined.
(b) Demonstration program.
(c) Authorities; consultation and cooperation with
International Maritime Organization and Task
Force.

SUBCHAPTER III - PREVENTION AND CONTROL OF AQUATIC NUISANCE SPECIES
DISPERSAL
4721. Establishment of Task Force.
(a) Task Force.
(b) Membership.
(c) Ex officio members.
(d) Chairpersons.
(e) Memorandum of understanding.
(f) Coordination.
4722. Aquatic nuisance species program.
(a) In general.
(b) Content.
(c) Prevention.
(d) Monitoring.
(e) Control.
(f) Research.
(g) Technical assistance.
(h) Education.
(i) Zebra mussel demonstration program.
(j) Implementation.
(k) Reports.
4723. Regional coordination.
(a) Great Lakes panel.
(b) Western regional panel.
(c) Additional regional panels.
4724. State aquatic nuisance species management plans.
(a) State or interstate invasive species management
plans.
(b) Grant program.
(c) Enforcement assistance.
4725. Relationship to other laws.
4726. International cooperation.
(a) Advice.
(b) Negotiations.
4727. Intentional introductions policy review.
4728. Brown tree snake control program.

SUBCHAPTER IV - AUTHORIZATION OF APPROPRIATIONS
4741. Authorization of appropriations.
(a) Prevention of unintentional introductions.
(b) Task Force and aquatic nuisance species
program.
(c) Grants for State management programs.
(d) Intentional introductions policy review.
(e) Ballast water management demonstration program.
(f) Research.

SUBCHAPTER V - COOPERATIVE ENVIRONMENTAL ANALYSES
4751. Environmental impact analyses.

-SECREF-
CHAPTER REFERRED TO IN OTHER SECTIONS
This chapter is referred to in section 941c of this title.

-End-


-CITE-
16 USC SUBCHAPTER I - GENERAL PROVISIONS 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL
SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-
SUBCHAPTER I - GENERAL PROVISIONS

-End-



-CITE-
16 USC Sec. 4701 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL
SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-
Sec. 4701. Findings and purposes

-STATUTE-
(a) Findings
The Congress finds that -
(1) the discharge of untreated water in the ballast tanks of
vessels and through other means results in unintentional
introductions of nonindigenous species to fresh, brackish, and
saltwater environments;
(2) when environmental conditions are favorable, nonindigenous
species become established, may compete with or prey upon native
species of plants, fish, and wildlife, may carry diseases or
parasites that affect native species, and may disrupt the aquatic
environment and economy of affected nearshore areas;
(3) the zebra mussel was unintentionally introduced into the
Great Lakes and has infested -
(A) waters south of the Great Lakes, into a good portion of
the Mississippi River drainage;
(B) waters west of the Great Lakes, into the Arkansas River
in Oklahoma; and
(C) waters east of the Great Lakes, into the Hudson River and
Lake Champlain;

(4) the potential economic disruption to communities affected
by the zebra mussel due to its colonization of water pipes, boat
hulls and other hard surfaces has been estimated at
$5,000,000,000 by the year 2000, and the potential disruption to
the diversity and abundance of native fish and other species by
the zebra mussel and ruffe, round goby, and other nonindigenous
species could be severe;
(5) the zebra mussel was discovered on Lake Champlain during
1993 and the opportunity exists to act quickly to establish zebra
mussel controls before Lake Champlain is further infested and
management costs escalate;
(6) in 1992, the zebra mussel was discovered at the
northernmost reaches of the Chesapeake Bay watershed;
(7) the zebra mussel poses an imminent risk of invasion in the
main waters of the Chesapeake Bay;
(8) since the Chesapeake Bay is the largest recipient of
foreign ballast water on the East Coast, there is a risk of
further invasions of other nonindigenous species;
(9) the zebra mussel is only one example of thousands of
nonindigenous species that have become established in waters of
the United States and may be causing economic and ecological
degradation with respect to the natural resources of waters of
the United States;
(10) since their introduction in the early 1980's in ballast
water discharges, ruffe -
(A) have caused severe declines in populations of other
species of fish in Duluth Harbor (in Minnesota and Wisconsin);
(B) have spread to Lake Huron; and
(C) are likely to spread quickly to most other waters in
North America if action is not taken promptly to control their
spread;

(11) examples of nonindigenous species that, as of October 26,
1996, infest coastal waters of the United States and that have
the potential for causing adverse economic and ecological effects
include -
(A) the mitten crab (Eriocher sinensis) that has become
established on the Pacific Coast;
(B) the green crab (Carcinus maenas) that has become
established in the coastal waters of the Atlantic Ocean;
(C) the brown mussel (Perna perna) that has become
established along the Gulf of Mexico; and
(D) certain shellfish pathogens;

(12) many aquatic nuisance vegetation species, such as Eurasian
watermilfoil, hydrilla, water hyacinth, and water chestnut, have
been introduced to waters of the United States from other parts
of the world causing or having a potential to cause adverse
environmental, ecological, and economic effects;
(13) if preventive management measures are not taken nationwide
to prevent and control unintentionally introduced nonindigenous
aquatic species in a timely manner, further introductions and
infestations of species that are as destructive as, or more
destructive than, the zebra mussel or the ruffe infestations may
occur;
(14) once introduced into waters of the United States, aquatic
nuisance species are unintentionally transported and introduced
into inland lakes and rivers by recreational boaters, commercial
barge traffic, and a variety of other pathways; and
(15) resolving the problems associated with aquatic nuisance
species will require the participation and cooperation of the
Federal Government and State governments, and investment in the
development of prevention technologies.
(b) Purposes
The purposes of this chapter are -
(1) to prevent unintentional introduction and dispersal of
nonindigenous species into waters of the United States through
ballast water management and other requirements;
(2) to coordinate federally conducted, funded or authorized
research, prevention (!1) control, information dissemination and
other activities regarding the zebra mussel and other aquatic
nuisance species;

(3) to develop and carry out environmentally sound control
methods to prevent, monitor and control unintentional
introductions of nonindigenous species from pathways other than
ballast water exchange;
(4) to understand and minimize economic and ecological impacts
of nonindigenous aquatic nuisance species that become
established, including the zebra mussel; and
(5) to establish a program of research and technology
development and assistance to States in the management and
removal of zebra mussels.

-SOURCE-
(Pub. L. 101-646, title I, Sec. 1002, Nov. 29, 1990, 104 Stat.
4761; Pub. L. 104-182, title III, Sec. 308(a), Aug. 6, 1996, 110
Stat. 1689; Pub. L. 104-332, Sec. 2(a)(1), (h)(1), Oct. 26, 1996,
110 Stat. 4073, 4091.)

-REFTEXT-
REFERENCES IN TEXT
This chapter, referred to in subsec. (b), was in the original
"this Act", which, to reflect the probable intent of Congress, was
translated as reading "this title" meaning title I of Pub. L.
101-646, Nov. 29, 1990, 104 Stat. 4761, known as the Nonindigenous
Aquatic Nuisance Prevention and Control Act of 1990, which is
classified principally to this chapter. For complete classification
of title I to the Code, see Short Title note set out below and
Tables.


-MISC1-
AMENDMENTS
1996 - Pub. L. 104-332, Sec. 2(h)(1), made technical amendment to
Pub. L. 101-646, Sec. 1002, which enacted this section.
Subsec. (a)(2), (3). Pub. L. 104-332, Sec. 2(a)(1)(A), added
pars. (2) and (3) and struck out former pars. (2) and (3) which
read as follows:
"(2) when environmental conditions are favorable, nonindigenous
species, such as the zebra mussel (Dreissena polymorpha), become
established and may disrupt the aquatic environment and economy of
affected coastal areas;
"(3) the zebra mussel was unintentionally introduced into the
Great Lakes and, if left uncontrolled, is expected to infest over
two-thirds of the continental United States through the
unintentional transportation of larvae and adults by vessels
operating in inland waters;".
Subsec. (a)(4). Pub. L. 104-332, Sec. 2(a)(1)(B)(i), inserted "by
the zebra mussel and ruffe, round goby, and other nonindigenous
species" after "other species".
Subsec. (a)(5). Pub. L. 104-182 added par. (5).
Subsec. (a)(6) to (15). Pub. L. 104-332, Sec. 2(a)(1)(B)(ii),
(C), (D), added pars. (6) to (15).

SHORT TITLE OF 1996 AMENDMENT
Section 1(a) of Pub. L. 104-332 provided that: "This Act
[enacting sections 4713 and 4714 of this title, amending sections
941 to 941g, 4701, 4702, 4711, 4712, 4721 to 4728, 4741 and 4751 of
this title, section 42 of Title 18, Crimes and Criminal Procedure,
and section 2761 of Title 33, Navigation and Navigable Waters,
enacting provisions set out as a note under this section, and
amending provisions set out as notes under this section, section
941 of this title, and section 2701 of Title 33] may be cited as
the 'National Invasive Species Act of 1996'."

SHORT TITLE
Section 1001 of title I of Pub. L. 101-646, as amended by Pub. L.
104-332, Sec. 2(h)(1), Oct. 26, 1996, 110 Stat. 4091, provided
that: "This title [enacting this chapter and amending section 42 of
Title 18, Crimes and Criminal Procedure] may be cited as the
'Nonindigenous Aquatic Nuisance Prevention and Control Act of
1990'."

CONSTRUCTION OF 1996 AMENDMENT
Section 3 of Pub. L. 104-332 provided that: "Nothing in this Act
[see Short Title of 1996 Amendment note above] or the amendments
made by this Act is intended to affect the authorities and
responsibilities of the Great Lakes Fishery Commission established
under article II of the Convention on Great Lakes Fisheries between
the United States of America and Canada, signed at Washington on
September 10, 1954 (hereafter in this section referred to as the
'Convention'), including the authorities and responsibilities of
the Great Lakes Fishery Commission -
"(1) for developing and implementing a comprehensive program
for eradicating or minimizing populations of sea lamprey in the
Great Lakes watershed; and
"(2) carrying out the duties of the Commission specified in the
Convention (including any amendment thereto) and the Great Lakes
Fishery Act of 1956 (16 U.S.C. 931 et seq.)."

REPORT ON ESTABLISHMENT OF PROGRAM
Pub. L. 102-567, title II, Sec. 203(b), Oct. 29, 1992, 106 Stat.
4281, provided that: "Not later than one year after the date of the
enactment of this Act [Oct. 29, 1992], the Secretary of Commerce
shall submit a report to the Congress on progress toward
establishing a nonindigenous aquatic nuisance prevention and
control program within the National Oceanic and Atmospheric
Administration and projected funding for such a program for the
following five fiscal years."

-FOOTNOTE-
(!1) So in original. Probably should be followed by a comma.


-End-



-CITE-
16 USC Sec. 4702 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL
SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-
Sec. 4702. Definitions

-STATUTE-
As used in this chapter, the term -
(1) "aquatic nuisance species" means a nonindigenous species
that threatens the diversity or abundance of native species or
the ecological stability of infested waters, or commercial,
agricultural, aquacultural or recreational activities dependent
on such waters;
(2) "Assistant Secretary" means the Assistant Secretary of the
Army (Civil Works);
(3) "ballast water" means any water and associated sediments
used to manipulate the trim and stability of a vessel;
(4) "Director" means the Director of the United States Fish and
Wildlife Service;
(5) "exclusive economic zone" means the Exclusive Economic Zone
of the United States established by Proclamation Number 5030,
dated March 10, 1983, and the equivalent zone of Canada;
(6) "environmentally sound" methods, efforts, actions or
programs means methods, efforts, actions or programs to prevent
introductions or control infestations of aquatic nuisance species
that minimize adverse impacts to the structure and function of an
ecosystem and adverse effects on non-target organisms and
ecosystems and emphasize integrated pest management techniques
and nonchemical measures;
(7) "Great Lakes" means Lake Ontario, Lake Erie, Lake Huron
(including Lake St. Clair), Lake Michigan, Lake Superior, and the
connecting channels (Saint Mary's River, Saint Clair River,
Detroit River, Niagara River, and Saint Lawrence River to the
Canandian (!1) Border), and includes all other bodies of water
within the drainage basin of such lakes and connecting channels.

(8) "Great Lakes region" means the 8 States that border on the
Great Lakes;
(9) "Indian tribe" means any Indian tribe, band, nation, or
other organized group or community, including any Alaska Native
village or regional corporation (as defined in or established
pursuant to the Alaska Native Claims Settlement Act (43 U.S.C.
1601 et seq.)) that is recognized as eligible for the special
programs and services provided by the United States to Indians
because of their status as Indians;
(10) "interstate organization" means an entity -
(A) established by -
(i) an interstate compact that is approved by Congress;
(ii) a Federal statute; or
(iii) a treaty or other international agreement with
respect to which the United States is a party; and

(B)(i) that represents 2 or more -
(I) States or political subdivisions thereof; or
(II) Indian tribes; or

(ii) that represents -
(I) 1 or more States or political subdivisions thereof; and
(II) 1 or more Indian tribes; or

(iii) that represents the Federal Government and 1 or more
foreign governments; and
(C) has jurisdiction over, serves as forum for coordinating,
or otherwise has a role or responsibility for the management
of, any land or other natural resource;

(11) "nonindigenous species" means any species or other viable
biological material that enters an ecosystem beyond its historic
range, including any such organism transferred from one country
into another;
(12) "Secretary" means the Secretary of the department in which
the Coast Guard is operating;
(13) "Task Force" means the Aquatic Nuisance Species Task Force
established under section 4721 of this title;
(14) "territorial sea" means the belt of the sea measured from
the baseline of the United States determined in accordance with
international law, as set forth in Presidential Proclamation
Number 5928, dated December 27, 1988;
(15) "Under Secretary" means the Under Secretary of Commerce
for Oceans and Atmosphere;
(16) "waters of the United States" means the navigable waters
and the territorial sea of the United States; and
(17) "unintentional introduction" means an introduction of
nonindigenous species that occurs as the result of activities
other than the purposeful or intentional introduction of the
species involved, such as the transport of nonindigenous species
in ballast or in water used to transport fish, mollusks or
crustaceans for aquaculture or other purposes.

-SOURCE-
(Pub. L. 101-646, title I, Sec. 1003, Nov. 29, 1990, 104 Stat.
4762; Pub. L. 102-580, title III, Sec. 302(b)(2), Oct. 31, 1992,
106 Stat. 4839; Pub. L. 104-332, Sec. 2(a)(2), (h)(1), (3), Oct.
26, 1996, 110 Stat. 4074, 4091.)

-REFTEXT-
REFERENCES IN TEXT
This chapter, referred to in text, was in the original "this
Act", which, to reflect the probable intent of Congress, was
translated as reading "this title" meaning title I of Pub. L.
101-646, Nov. 29, 1990, 104 Stat. 4761, known as the Nonindigenous
Aquatic Nuisance Prevention and Control Act of 1990, which is
classified principally to this chapter. For complete classification
of title I to the Code, see Short Title note set out under section
4701 of this title and Tables.
Proclamation Number 5030, referred to in par. (5), is set out
under section 1453 of this title.
The Alaska Native Claims Settlement Act, referred to in par. (9),
is Pub. L. 92-203, Dec. 18, 1971, 85 Stat. 688, as amended, which
is classified generally to chapter 33 (Sec. 1601 et seq.) of Title
43, Public Lands. For complete classification of this Act to the
Code, see Short Title note set out under section 1601 of Title 43
and Tables.
Presidential Proclamation Number 5928, referred to in par. (14),
is set out under section 1331 of Title 43.


-MISC1-
AMENDMENTS
1996 - Pub. L. 104-332, Sec. 2(h)(1), (3), made technical
amendment to Pub. L. 101-646, Sec. 1003, which enacted this
section.
Par. (1). Pub. L. 104-332, Sec. 2(a)(2)(A), redesignated par. (2)
as (1) and struck out former par. (1) which read as follows: "
'appropriate Committees' means the Committee on Public Works and
Transportation and the Committee on Merchant Marine and Fisheries
in the House of Representatives and the Committee on Environment
and Public Works and Committee on Commerce, Science, and
Transportation in the Senate; and".
Par. (2). Pub. L. 104-332, Sec. 2(a)(2)(B), substituted "
'Assistant Secretary' means" for " 'assistant Secretary' means".
Pub. L. 104-332, Sec. 2(a)(2)(A), redesignated par. (3) as (2).
Former par. (2) redesignated (1).
Pars. (3) to (7). Pub. L. 104-332, Sec. 2(a)(2)(A), redesignated
pars. (4) to (8) as (3) to (7), respectively. Former par. (3)
redesignated (2).
Par. (8). Pub. L. 104-332, Sec. 2(a)(2)(D), added par. (8).
Pub. L. 104-332, Sec. 2(a)(2)(A), redesignated par. (8) as (7).
Pars. (9), (10). Pub. L. 104-332, Sec. 2(a)(2)(D), added pars.
(9) and (10).
Pub. L. 104-332, Sec. 2(a)(2)(C), redesignated pars. (9) and (10)
as (11) and (12), respectively.
Pars. (11) to (17). Pub. L. 104-332, Sec. 2(a)(2)(C),
redesignated pars. (9) to (15) as (11) to (17), respectively.
1992 - Par. (1). Pub. L. 102-580 inserted "the Committee on
Public Works and Transportation and" after "means".


-TRANS-
TRANSFER OF FUNCTIONS
For transfer of authorities, functions, personnel, and assets of
the Coast Guard, including the authorities and functions of the
Secretary of Transportation relating thereto, to the Department of
Homeland Security, and for treatment of related references, see
sections 468(b), 551(d), 552(d), and 557 of Title 6, Domestic
Security, and the Department of Homeland Security Reorganization
Plan of November 25, 2002, as modified, set out as a note under
section 542 of Title 6.

-FOOTNOTE-
(!1) So in original. Probably should be "Canadian".


-End-


-CITE-
16 USC SUBCHAPTER II - PREVENTION OF UNINTENTIONAL
INTRODUCTIONS OF NONINDIGENOUS AQUATIC
SPECIES 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL
SUBCHAPTER II - PREVENTION OF UNINTENTIONAL INTRODUCTIONS OF
NONINDIGENOUS AQUATIC SPECIES

-HEAD-
SUBCHAPTER II - PREVENTION OF UNINTENTIONAL INTRODUCTIONS OF
NONINDIGENOUS AQUATIC SPECIES

-SECREF-
SUBCHAPTER REFERRED TO IN OTHER SECTIONS
This subchapter is referred to in section 4741 of this title.

-End-



-CITE-
16 USC Sec. 4711 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL
SUBCHAPTER II - PREVENTION OF UNINTENTIONAL INTRODUCTIONS OF
NONINDIGENOUS AQUATIC SPECIES

-HEAD-
Sec. 4711. Aquatic nuisance species in waters of United States

-STATUTE-
(a) Great Lakes guidelines
(1) In general
Not later than 6 months after November 29, 1990, the Secretary
shall issue voluntary guidelines to prevent the introduction and
spread of aquatic nuisance species into the Great Lakes through
the exchange of ballast water of vessels prior to entering those
waters.
(2) Content of guidelines
The guidelines issued under this subsection shall -
(A) ensure to the maximum extent practicable that ballast
water containing aquatic nuisance species is not discharged
into the Great Lakes;
(B) protect the safety of -
(i) each vessel; and
(ii) the crew and passengers of each vessel;

(C) take into consideration different vessel operating
conditions; and
(D) be based on the best scientific information available.
(b) Regulations
(1) In general
Not later than 2 years after November 29, 1990, the Secretary,
in consultation with the Task Force, shall issue regulations to
prevent the introduction and spread of aquatic nuisance species
into the Great Lakes through the ballast water of vessels.
(2) Content of regulations
The regulations issued under this subsection shall -
(A) apply to all vessels equipped with ballast water tanks
that enter a United States port on the Great Lakes after
operating on the waters beyond the exclusive economic zone;
(B) require a vessel to -
(i) carry out exchange of ballast water on the waters
beyond the exclusive economic zone prior to entry into any
port within the Great Lakes;
(ii) carry out an exchange of ballast water in other waters
where the exchange does not pose a threat of infestation or
spread of aquatic nuisance species in the Great Lakes and
other waters of the United States, as recommended by the Task
Force under section 4712(a)(1) of this title; or
(iii) use environmentally sound alternative ballast water
management methods if the Secretary determines that such
alternative methods are as effective as ballast water
exchange in preventing and controlling infestations of
aquatic nuisance species;

(C) not affect or supersede any requirements or prohibitions
pertaining to the discharge of ballast water into waters of the
United States under the Federal Water Pollution Control Act (33
U.S.C. 1251 et seq.);
(D) provide for sampling procedures to monitor compliance
with the requirements of the regulations;
(E) prohibit the operation of a vessel in the Great Lakes if
the master of the vessel has not certified to the Secretary or
the Secretary's designee by not later than the departure of
that vessel from the first lock in the St. Lawrence Seaway that
the vessel has complied with the requirements of the
regulations;
(F) protect the safety of -
(i) each vessel; and
(ii) the crew and passengers of each vessel;

(G) take into consideration different operating conditions;
and
(H) be based on the best scientific information available.
(3) Additional regulations
In addition to promulgating regulations under paragraph (1),
the Secretary, in consultation with the Task Force, shall, not
later than November 4, 1994, issue regulations to prevent the
introduction and spread of aquatic nuisance species into the
Great Lakes through ballast water carried on vessels that enter a
United States port on the Hudson River north of the George
Washington Bridge.
(4) Education and technical assistance programs
The Secretary may carry out education and technical assistance
programs and other measures to promote compliance with the
regulations issued under this subsection.
(c) Voluntary national guidelines
(1) In general
Not later than 1 year after October 26, 1996, and after
providing notice and an opportunity for public comment, the
Secretary shall issue voluntary guidelines to prevent the
introduction and spread of nonindigenous species in waters of the
United States by ballast water operations and other operations of
vessels equipped with ballast water tanks.
(2) Content of guidelines
The voluntary guidelines issued under this subsection shall -
(A) ensure to the maximum extent practicable that aquatic
nuisance species are not discharged into waters of the United
States from vessels;
(B) apply to all vessels equipped with ballast water tanks
that operate in waters of the United States;
(C) protect the safety of -
(i) each vessel; and
(ii) the crew and passengers of each vessel;

(D) direct a vessel that is carrying ballast water into
waters of the United States after operating beyond the
exclusive economic zone to -
(i) carry out the exchange of ballast water of the vessel
in waters beyond the exclusive economic zone;
(ii) exchange the ballast water of the vessel in other
waters where the exchange does not pose a threat of
infestation or spread of nonindigenous species in waters of
the United States, as recommended by the Task Force under
section 4712(a)(1) of this title; or
(iii) use environmentally sound alternative ballast water
management methods, including modification of the vessel
ballast water tanks and intake systems, if the Secretary
determines that such alternative methods are at least as
effective as ballast water exchange in preventing and
controlling infestations of aquatic nuisance species;

(E) direct vessels to carry out management practices that the
Secretary determines to be necessary to reduce the probability
of unintentional nonindigenous species transfer resulting from
-
(i) ship operations other than ballast water discharge; and
(ii) ballasting practices of vessels that enter waters of
the United States with no ballast water on board;

(F) provide for the keeping of records that shall be
submitted to the Secretary, as prescribed by the guidelines,
and that shall be maintained on board each vessel and made
available for inspection, upon request of the Secretary and in
a manner consistent with subsection (i) of this section, in
order to enable the Secretary to determine compliance with the
guidelines, including -
(i) with respect to each ballast water exchange referred to
in clause (ii), reporting on the precise location and
thoroughness of the exchange; and
(ii) any other information that the Secretary considers
necessary to assess the rate of effective compliance with the
guidelines;

(G) provide for sampling procedures to monitor compliance
with the guidelines;
(H) take into consideration -
(i) vessel types;
(ii) variations in the characteristics of point of origin
and receiving water bodies;
(iii) variations in the ecological conditions of waters and
coastal areas of the United States; and
(iv) different operating conditions;

(I) be based on the best scientific information available;
(J) not affect or supersede any requirements or prohibitions
pertaining to the discharge of ballast water into waters of the
United States under the Federal Water Pollution Control Act (33
U.S.C. 1251 et seq.); and
(K) provide an exemption from ballast water exchange
requirements to passenger vessels with operating ballast water
systems that are equipped with treatment systems designed to
kill aquatic organisms in ballast water, unless the Secretary
determines that such treatment systems are less effective than
ballast water exchange at reducing the risk of transfers of
invasive species in the ballast water of passenger vessels; and
(L) not apply to crude oil tankers engaged in the coastwise
trade.
(3) Education and technical assistance programs
Not later than 1 year after October 26, 1996, the Secretary
shall carry out education and technical assistance programs and
other measures to encourage compliance with the guidelines issued
under this subsection.
(d) Report to Congress
Not sooner than 24 months after the date of issuance of
guidelines pursuant to subsection (c) of this section and not later
than 30 months after such date, and after consultation with
interested and affected persons, the Secretary shall prepare and
submit to Congress a report containing the information required
pursuant to paragraphs (1) and (2) of subsection (e) of this
section.
(e) Periodic review and revision
(1) In general
Not later than 3 years after the date of issuance of guidelines
pursuant to subsection (c) of this section, and not less
frequently than every 3 years thereafter, the Secretary shall, in
accordance with criteria developed by the Task Force under
paragraph (3) -
(A) assess the compliance by vessels with the voluntary
guidelines issued under subsection (c) of this section and the
regulations promulgated under this chapter;
(B) establish the rate of compliance that is based on the
assessment under subparagraph (A);
(C) assess the effectiveness of the voluntary guidelines and
regulations referred to in subparagraph (A) in reducing the
introduction and spread of aquatic nuisance species by vessels;
and
(D) as necessary, on the basis of the best scientific
information available -
(i) revise the guidelines and regulations referred to in
subparagraph (A);
(ii) promulgate additional regulations pursuant to
subsection (f)(1) of this section; or
(iii) carry out each of clauses (i) and (ii).
(2) Special review and revision
Not later than 90 days after the Task Force makes a request to
the Secretary for a special review and revision for coastal and
inland waterways designated by the Task Force, the Secretary
shall -
(A) conduct a special review of guidelines and regulations
applicable to those waterways in accordance with the review
procedures under paragraph (1); and
(B) as necessary, in the same manner as provided under
paragraph (1)(D) -
(i) revise those guidelines;
(ii) promulgate additional regulations pursuant to
subsection (f)(1) of this section; or
(iii) carry out each of clauses (i) and (ii).
(3) Criteria for effectiveness
Not later than 18 months after October 26, 1996, the Task Force
shall submit to the Secretary criteria for determining the
adequacy and effectiveness of the voluntary guidelines issued
under subsection (c) of this section.
(f) Authority of Secretary
(1) General regulations
If, on the basis of a periodic review conducted under
subsection (e)(1) of this section or a special review conducted
under subsection (e)(2) of this section, the Secretary determines
that -
(A) the rate of effective compliance (as determined by the
Secretary) with the guidelines issued pursuant to subsection
(c) of this section is inadequate; or
(B) the reporting by vessels pursuant to those guidelines is
not adequate for the Secretary to assess the compliance with
those guidelines and provide a rate of compliance of vessels,
including the assessment of the rate of compliance of vessels
under subsection (e)(2) of this section,

the Secretary shall promptly promulgate regulations that meet the
requirements of paragraph (2).
(2) Requirements for regulations
The regulations promulgated by the Secretary under paragraph
(1) -
(A) shall -
(i) not be promulgated sooner than 180 days following the
issuance of the report to Congress submitted pursuant to
subsection (d) of this section;
(ii) make mandatory the requirements included in the
voluntary guidelines issued under subsection (c) of this
section; and
(iii) provide for the enforcement of the regulations; and

(B) may be regional in scope.
(3) International regulations
The Secretary shall revise regulations promulgated under this
subsection to the extent required to make such regulations
consistent with the treatment of a particular matter in any
international agreement, agreed to by the United States,
governing management of the transfer of nonindigenous aquatic
species by vessel.
(g) Sanctions
(1) Civil penalties
Any person who violates a regulation promulgated under
subsection (b) or (f) of this section shall be liable for a civil
penalty in an amount not to exceed $25,000. Each day of a
continuing violation constitutes a separate violation. A vessel
operated 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 subsection (b) or (f) of this section is guilty of a class
C felony.
(3) Revocation of clearance
Upon request of the Secretary, the Secretary of the Treasury
shall withhold or revoke the clearance of a vessel required by
section 91 of title 46, Appendix, if the owner or operator of
that vessel is in violation of the regulations issued under
subsection (b) or (f) of this section.
(4) Exception to sanctions
This subsection does not apply to a failure to exchange ballast
water if -
(A) the master of a vessel, acting in good faith, decides
that the exchange of ballast water will threaten the safety or
stability of the vessel, its crew, or its passengers; and
(B) the recordkeeping and reporting requirements of this
chapter are complied with.
(h) Coordination with other agencies
In carrying out the programs under this section, the Secretary is
encouraged to use, to the maximum extent practicable, the
expertise, facilities, members, or personnel of established
agencies and organizations that have routine contact with vessels,
including the Animal and Plant Health Inspection Service of the
Department of Agriculture, the National Cargo Bureau, port
administrations, and ship pilots' associations.
(i) 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 Secretary, in consultation
with the Task Force, determines to be necessary to develop and
implement an effective international program for preventing the
unintentional introduction and spread of nonindigenous species.
(j) International cooperation
The Secretary, in cooperation with the International Maritime
Organization 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 international program for preventing the
unintentional introduction and spread of nonindigenous species.
(k) Safety exemption
(1) Master discretion
The master of a vessel is not required to conduct a ballast
water exchange if the master decides that the exchange would
threaten the safety or stability of the vessel, its crew, or its
passengers because of adverse weather, vessel architectural
design, equipment failure, or any other extraordinary conditions.
(2) Other requirements
(A) In general
Except as provided in subparagraph (B), a vessel that does
not exchange ballast water on the high seas under paragraph (1)
shall not be restricted from discharging ballast water in any
harbor.
(B) Great Lakes
Subparagraph (A) shall not apply in a case in which a vessel
is subject to the regulations issued by the Secretary under
subsection (b) of this section.
(3) Crude oil tanker ballast facility study
(A) Within 60 days of October 26, 1996,(!1) the Secretary of
the department in which the Coast Guard is operating, in
consultation with the Under Secretary of Commerce for Oceans and
Atmosphere, affected shoreside ballast water facility operators,
affected crude oil tanker operators, and interested parties,
shall initiate a study of the effectiveness of existing shoreside
ballast water facilities used by crude oil tankers in the
coastwise trade off Alaska in preventing the introduction of
nonindigenous aquatic species into the waters off Alaska, as well
as the cost and feasibility of modifying such facilities to
improve such effectiveness.

(B) The study required under subparagraph (A) shall be
submitted to the Congress by no later than October 1, 1997.
(l) Non-discrimination
The Secretary shall ensure that vessels registered outside of the
United States do not receive more favorable treatment than vessels
registered in the United States when the Secretary performs
studies, reviews compliance, determines effectiveness, establishes
requirements, or performs any other responsibilities under this
chapter.

-SOURCE-
(Pub. L. 101-646, title I, Sec. 1101, Nov. 29, 1990, 104 Stat.
4763; Pub. L. 102-580, title III, Sec. 302(b)(1), Oct. 31, 1992,
106 Stat. 4839; Pub. L. 102-587, title IV, Sec. 4002, Nov. 4, 1992,
106 Stat. 5068; Pub. L. 104-332, Sec. 2(b)(2), Oct. 26, 1996, 110
Stat. 4075.)

-REFTEXT-
REFERENCES IN TEXT
The Federal Water Pollution Control Act, referred to in subsecs.
(b)(2)(C) and (c)(2)(J), is act June 30, 1948, ch. 758, as amended
generally by Pub. L. 92-500, Sec. 2, Oct. 18, 1972, 86 Stat. 816,
which is classified generally to chapter 26 (Sec. 1251 et seq.) of
Title 33, Navigation and Navigable Waters. For complete
classification of this Act to the Code, see Short Title note set
out under section 1251 of Title 33 and Tables.
This chapter, referred to in subsecs. (e)(1)(A), (g)(4)(B), and
(l), was in the original "this Act" or "the Act", which, to reflect
the probable intent of Congress, was translated as reading "this
title" meaning title I of Pub. L. 101-646, Nov. 29, 1990, 104 Stat.
4761, known as the Nonindigenous Aquatic Nuisance Prevention and
Control Act of 1990, which is classified principally to this
chapter. For complete classification of title I to the Code, see
Short Title note set out below and Tables.

-COD-
CODIFICATION
October 26, 1996, referred to in subsec. (k)(3), was in the
original "the date of enactment of this Act", which was translated
as meaning the date of enactment of Pub. L. 104-332, which amended
this section generally, to reflect the probable intent of Congress.


-MISC1-
AMENDMENTS
1996 - Pub. L. 104-332 amended section generally, substituting
subsecs. (a) to (l) relating to aquatic nuisance species in waters
of the United States for former subsecs. (a) to (e) relating to
aquatic nuisance species in the Great Lakes.
1992 - Subsec. (b)(3). Pub. L. 102-580 and Pub. L. 102-587 made
substantively identical amendments, adding par. (3). Par. (3) is
based on text of Pub. L. 102-587.


-TRANS-
TRANSFER OF FUNCTIONS
For transfer of authorities, functions, personnel, and assets of
the Coast Guard, including the authorities and functions of the
Secretary of Transportation relating thereto, to the Department of
Homeland Security, and for treatment of related references, see
sections 468(b), 551(d), 552(d), and 557 of Title 6, Domestic
Security, and the Department of Homeland Security Reorganization
Plan of November 25, 2002, as modified, set out as a note under
section 542 of Title 6.

-SECREF-
SECTION REFERRED TO IN OTHER SECTIONS
This section is referred to in sections 4712, 4741 of this title.

-FOOTNOTE-
(!1) See Codification note below.


-End-



-CITE-
16 USC Sec. 4712 01/19/04

-EXPCITE-
TITLE 16 - CONSERVATION
CHAPTER 67 - AQUATIC NUISANCE PREVENTION AND CONTROL
SUBCHAPTER II - PREVENTION OF UNINTENTIONAL INTRODUCTIONS OF
NONINDIGENOUS AQUATIC SPECIES

-HEAD-
Sec. 4712. National ballast water management information

-STATUTE-
(a) Studies on introduction of aquatic nuisance species by vessels
(1) Ballast exchange study
The Task Force, in cooperation with the Secretary, shall
conduct a study -
(A) to assess the environmental effects of ballast water
exchange on the diversity and abundance of native species in
receiving estuarine, marine, and fresh waters of the United
States; and
(B) to identify areas within the waters of the United States
and the exclusive economic zone, if any, where the exchange of
ballast water does not pose a threat of infestation or spread (continued)