33 Cfr 101, 103, 104, 105, 106

SUBCHAPTER H—MARITIME SECURITY
PART 101—MARITIME SECURITY:
GENERAL
Subpart A—General
Sec.
101.100
101.105
101.110
101.115
101.120
101.125
101.130

Purpose.
Definitions.
Applicability.
Incorporation by reference.
Alternatives.
[Reserved]
Equivalent security measures.

Subpart B—Maritime Security (MARSEC)
Levels
101.200
101.205

MARSEC Levels.
[Reserved]

Subpart C—Communication (Port-FacilityVessel)
101.300
101.305
101.310

Preparedness communications.
Reporting.
Additional communication devices.

Subpart D—Control Measures for Security
101.400 Enforcement.
101.405 Maritime Security (MARSEC) Directives.
101.410 Control and Compliance Measures.
101.415 Penalties.
101.420 Right to appeal.

Subpart E—Other Provisions
101.500 Procedures for authorizing a Recognized Security Organization (RSO). [Reserved]
101.505 Declaration of Security (DoS).
101.510 Assessment Tools.
101.514 TWIC Requirement.
101.515 TWIC/Personal Identification.
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C.
Chapter 701; 50 U.S.C. 191, 192; Executive
Order 12656, 3 CFR 1988 Comp., p. 585; 33 CFR
1.05–1, 6.04–11, 6.14, 6.16, and 6.19; Department
of Homeland Security Delegation No. 0170.1.
SOURCE: USCG–2003–14792, 68 FR 39278, July
1, 2003, unless otherwise noted.

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EDITORIAL NOTE: Nomenclature changes to
part 101 appear by USCG–2008–0179, 73 FR
35009, June 19, 2008.

Subpart A—General
§ 101.100 Purpose.
(a) The purpose of this subchapter is:

(1) To implement portions of the
maritime security regime required by
the Maritime Transportation Security
Act of 2002, as codified in 46 U.S.C.
Chapter 701;
(2) To align, where appropriate, the
requirements of domestic maritime security regulations with the international maritime security standards
in the International Convention for the
Safety of Life at Sea, 1974 (SOLAS
Chapter XI–2) and the International
Code for the Security of Ships and of
Port Facilities, parts A and B, adopted
on 12 December 2002; and
(3) To ensure security arrangements
are as compatible as possible for vessels trading internationally.
(b) For those maritime elements of
the national transportation system
where international standards do not
directly apply, the requirements in this
subchapter emphasize cooperation and
coordination with local port community stakeholders, and are based on existing domestic standards, as well as
established industry security practices.
(c) The assessments and plans required by this subchapter are intended
for use in implementing security measures at various MARSEC Levels. The
specific security measures and their
implementation are planning criteria
based on a set of assumptions made
during the development of the security
assessment and plan. These assumptions may not exist during an actual
transportation security incident.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60470, Oct. 22, 2003]

§ 101.105

Definitions.

Unless otherwise specified, as used in
this subchapter:
Alternative Security Program means a
third-party or industry organization
developed standard that the Commandant has determined provides an
equivalent level of security to that established by this subchapter.
Area Commander means the U.S.
Coast Guard officer designated by the
Commandant to command a Coast
Guard Area as described in 33 CFR part
3.

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§ 101.105

33 CFR Ch. I (7–1–15 Edition)

Area Maritime Security (AMS) Assessment means an analysis that examines
and evaluates the infrastructure and
operations of a port taking into account possible threats, vulnerabilities,
and existing protective measures, procedures and operations.
Area Maritime Security (AMS) Committee means the committee established
pursuant
to
46
U.S.C.
70112(a)(2)(A). This committee can be
the Port Security Committee established pursuant to Navigation and Vessel Inspection Circular (NVIC) 09–02
change 2, available from the cognizant
Captain of the Port (COTP) or at http://
www.uscg.mil/hq/cg5/nvic/.
Area Maritime Security (AMS) Plan
means the plan developed pursuant to
46 U.S.C. 70103(b). This plan may be the
Port Security plan developed pursuant
to NVIC 09–02 provided it meets the requirements of part 103 of this subchapter.
Area of Responsibility (AOR) means a
Coast Guard area, district, marine inspection zone or COTP zone described
in 33 CFR part 3.
Audit means an evaluation of a security assessment or security plan performed by an owner or operator, the
owner or operator’s designee, or an approved third-party, intended to identify deficiencies, non-conformities and/
or inadequacies that would render the
assessment or plan insufficient.
Barge means a non-self-propelled vessel (46 CFR 24.10–1).
Barge fleeting facility means a commercial area, subject to permitting by
the Army Corps of Engineers, as provided in 33 CFR part 322, part 330, or
pursuant to a regional general permit
the purpose of which is for the making
up, breaking down, or staging of barge
tows.
Breach of security means an incident
that has not resulted in a transportation security incident, in which security measures have been circumvented,
eluded, or violated.
Bulk or in bulk means a commodity
that is loaded or carried on board a
vessel without containers or labels, and
that is received and handled without
mark or count.
Bunkers means a vessel’s fuel supply.
Captain of the Port (COTP) means the
local officer exercising authority for

the COTP zones described in 33 CFR
part 3. The COTP is the Federal Maritime Security Coordinator described in
46 U.S.C. 70103(a)(2)(G) and also the
Port Facility Security Officer as described in the ISPS Code, part A.
Cargo means any goods, wares, or
merchandise carried, or to be carried,
for consideration, whether directly or
indirectly flowing to the owner,
charterer, operator, agent, or any
other person interested in the vessel,
facility, or OCS facility, except dredge
spoils.
Cargo vessel means a vessel that carries, or intends to carry, cargo as defined in this section.
Certain Dangerous Cargo (CDC) means
the same as defined in 33 CFR 160.202.
Commandant means the Commandant
of the U.S. Coast Guard.
Company means any person or entity
that owns any facility, vessel, or OCS
facility subject to the requirements of
this subchapter, or has assumed the responsibility for operation of any facility, vessel, or OCS facility subject to
the requirements of this subchapter,
including the duties and responsibilities imposed by this subchapter.
Company Security Officer (CSO) means
the person designated by the Company
as responsible for the security of the
vessel or OCS facility, including implementation and maintenance of the vessel or OCS facility security plan, and
for liaison with their respective vessel
or facility security officer and the
Coast Guard.
Contracting Government means any
government of a nation that is a signatory to SOLAS, other than the U.S.
Cruise ship means any vessel over 100
gross register tons, carrying more than
12 passengers for hire which makes
voyages lasting more than 24 hours, of
which any part is on the high seas. Passengers from cruise ships are embarked
or disembarked in the U.S. or its territories. Cruise ships do not include ferries that hold Coast Guard Certificates
of Inspection endorsed for ‘‘Lakes,
Bays, and Sounds’’, that transit international waters for only short periods
of time on frequent schedules.
Dangerous goods and/or hazardous substances, for the purposes of this subchapter, means cargoes regulated by
parts 126, 127, or 154 of this chapter.

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Coast Guard, DHS

§ 101.105

Dangerous substances or devices means
any material, substance, or item that
reasonably has the potential to cause a
transportation security incident.
Declaration of Security (DoS) means an
agreement executed between the responsible Vessel and Facility Security
Officer, or between Vessel Security Officers in the case of a vessel-to-vessel
activity, that provides a means for ensuring that all shared security concerns are properly addressed and security will remain in place throughout
the time a vessel is moored to the facility or for the duration of the vesselto-vessel activity, respectively.
District Commander means the U.S.
Coast Guard officer designated by the
Commandant to command a Coast
Guard District described in 33 CFR part
3.
Drill means a training event that
tests at least one component of the
AMS, vessel, or facility security plan
and is used to maintain a high level of
security readiness.
Escorting means ensuring that the escorted individual is continuously accompanied while within a secure area
in a manner sufficient to observe
whether the escorted individual is engaged in activities other than those for
which escorted access was granted.
This may be accomplished via having a
side-by-side companion or monitoring,
depending upon where the escorted individual will be granted access. Individuals without TWICs may not enter
restricted areas without having an individual who holds a TWIC as a side-byside companion, except as provided in
§§ 104.267, 105.257, and 106.262 of this subchapter.
Exercise means a comprehensive
training event that involves several of
the functional elements of the AMS,
vessel, or facility security plan and
tests communications, coordination,
resource availability, and response.
Facility means any structure or facility of any kind located in, on, under, or
adjacent to any waters subject to the
jurisdiction of the U.S. and used, operated, or maintained by a public or private entity, including any contiguous
or adjoining property under common
ownership or operation.
Facility Security Assessment (FSA)
means an analysis that examines and

evaluates the infrastructure and operations of the facility taking into account possible threats, vulnerabilities,
consequences, and existing protective
measures, procedures and operations.
Facility Security Officer (FSO) means
the person designated as responsible
for the development, implementation,
revision and maintenance of the facility security plan and for liaison with
the COTP and Company and Vessel Security Officers.
Facility Security Plan (FSP) means the
plan developed to ensure the application of security measures designed to
protect the facility and its servicing
vessels or those vessels interfacing
with the facility, their cargoes, and
persons on board at the respective
MARSEC Levels.
Ferry means a vessel which is limited
in its use to the carriage of deck passengers or vehicles or both, operates on
a short run on a frequent schedule between two or more points over the
most direct water route, other than in
ocean or coastwise service.
Foreign vessel means a vessel of foreign registry or a vessel operated under
the authority of a country, except the
U.S., that is engaged in commerce.
General shipyard facility means—
(1) For operations on land, any structure or appurtenance thereto designed
for the construction, repair, rehabilitation, refurbishment, or rebuilding of
any vessel, including graving docks,
building ways, ship lifts, wharves, and
pier cranes; the land necessary for any
structures or appurtenances; and the
equipment necessary for the performance of any function referred to in this
definition; and
(2) For operations other than on land,
any vessel, floating drydock, or barge
used for, or a type that is usually used
for, activities referred to in paragraph
(1) of this definition.
Gross register tons (GRT) means the
gross ton measurement of the vessel
under 46 U.S.C. chapter 145, Regulatory
Measurement. For a vessel measured
under only 46 U.S.C. chapter 143, Convention Measurement, the vessel’s
gross tonnage, ITC is used to apply all
thresholds expressed in terms of gross
register tons.
Gross tonnage, ITC (GT ITC) means
the gross tonnage measurement of the

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§ 101.105

33 CFR Ch. I (7–1–15 Edition)

vessel under 46 U.S.C. chapter 143, Convention Measurement. Under international conventions, this parameter
may be referred to as ‘‘gross tonnage
(GT).’’
Hazardous materials means hazardous
materials subject to regulation under
46 CFR parts 148, 150, 151, 153, or 154, or
49 CFR parts 171 through 180.
Infrastructure means facilities, structures, systems, assets, or services so
vital to the port and its economy that
their disruption, incapacity, or destruction would have a debilitating impact on defense, security, the environment, long-term economic prosperity,
public health or safety of the port.
International voyage means a voyage
between a country to which SOLAS applies and a port outside that country. A
country, as used in this definition, includes every territory for the internal
relations of which a contracting government to the convention is responsible or for which the United Nations is
the administering authority. For the
U.S., the term ‘‘territory’’ includes the
Commonwealth of Puerto Rico, all possessions of the United States, and all
lands held by the U.S. under a protectorate or mandate. For the purposes of
this subchapter, vessels solely navigating the Great Lakes and the St.
Lawrence River as far east as a
straight line drawn from Cap des
Rosiers to West Point, Anticosti Island
and, on the north side of Anticosti Island, the 63rd meridian, are considered
on an ‘‘international voyage’’ when on
a voyage between a U.S. port and a Canadian port.
ISPS Code means the International
Ship and Port Facility Security Code,
as incorporated into SOLAS.
Maritime Security (MARSEC) Directive
means an instruction issued by the
Commandant, or his/her delegee, mandating specific security measures for
vessels and facilities that may be involved in a transportation security incident.
Maritime Security (MARSEC) Level
means the level set to reflect the prevailing threat environment to the marine elements of the national transportation system, including ports, vessels,
facilities, and critical assets and infrastructure located on or adjacent to wa-

ters subject to the jurisdiction of the
U.S.
MARSEC Level 1 means the level for
which minimum appropriate protective
security measures shall be maintained
at all times.
MARSEC Level 2 means the level for
which appropriate additional protective security measures shall be maintained for a period of time as a result
of heightened risk of a transportation
security incident.
MARSEC Level 3 means the level for
which further specific protective security measures shall be maintained for a
limited period of time when a transportation security incident is probable or
imminent, although it may not be possible to identify the specific target.
Master means the holder of a valid
merchant mariner credential or license
that authorizes the individual to serve
as a Master, operator, or person in
charge of the rated vessel. For the purposes of this subchapter, Master also
includes the Person in Charge of a
MODU, and the operator of an
uninspected towing vessel.
Merchant mariner credential or MMC
means the credential issued by the
Coast Guard under 46 CFR part 10. It
combines the individual merchant
mariner’s document, license, and certificate of registry enumerated in 46
U.S.C. subtitle II part E as well as the
STCW endorsement into a single credential that serves as the mariner’s
qualification document, certificate of
identification, and certificate of service.
OCS Facility means any artificial island, installation, or other complex of
one or more structures permanently or
temporarily attached to the subsoil or
seabed of the OCS, erected for the purpose of exploring for, developing or
producing oil, natural gas or mineral
resources. This definition includes all
mobile offshore drilling units (MODUs)
not covered under part 104 of this subchapter, when attached to the subsoil
or seabed of offshore locations, but
does not include deepwater ports, as
defined by 33 U.S.C. 1502, or pipelines.
Operator, Uninspected Towing Vessel
means an individual who holds a merchant mariner credential or license described in 46 CFR 15.805(a)(5) or 46 CFR
15.810(d).

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Coast Guard, DHS

§ 101.105

Owner or operator means any person
or entity that owns, or maintains operational control over, any facility, vessel, or OCS facility subject to this subchapter. This includes a towing vessel
that has operational control of an unmanned vessel when the unmanned vessel is attached to the towing vessel and
a facility that has operational control
of an unmanned vessel when the unmanned vessel is not attached to a towing vessel and is moored to the facility;
attachment begins with the securing of
the first mooring line and ends with
the casting-off of the last mooring line.
Passenger vessel means—
(1) On an international voyage, a vessel carrying more than 12 passengers,
including at least one passenger-forhire; and
(2) On other than an international
voyage:
(i) A vessel of at least 100 gross register tons carrying more than 12 passengers, including at least one passenger-for-hire;
(ii) A vessel of less than 100 gross register tons carrying more than 6 passengers, including at least one passenger-for-hire;
(iii) A vessel that is chartered and
carrying more than 12 passengers;
(iv) A submersible vessel that is carrying at least one passenger-for-hire;
or
(v) A wing-in-ground craft, regardless
of tonnage, that is carrying at least
one passenger-for-hire.
Passenger-for-hire means a passenger
for whom consideration is contributed
as a condition of carriage on the vessel,
whether directly or indirectly flowing
to the owner, charterer, operator,
agent, or any other person having an
interest in the vessel.
Personal Identification Number (PIN)
means a personally selected number
stored electronically on the individual’s TWIC.
Public access facility means a facility—
(1) That is used by the public primarily for purposes such as recreation,
entertainment, retail, or tourism, and
not for receiving vessels subject to part
104;
(2) That has minimal infrastructure
for servicing vessels subject to part 104
of this chapter; and

(3) That receives only:
(i) Vessels not subject to part 104 of
this chapter, or
(ii) Passenger vessels, except:
(A) Ferries certificated to carry vehicles;
(B) Cruise ships; or
(C) Passenger vessels subject to
SOLAS Chapter XI–1 or SOLAS Chapter XI–2.
Recurring unescorted access means authorization to enter a vessel on a continual basis after an initial personal
identity and credential verification.
Registered length means the registered
length as defined in 46 CFR part 69.
Restricted areas mean the infrastructures or locations identified in an area,
vessel, or facility security assessment
or by the operator that require limited
access and a higher degree of security
protection. The entire facility may be
designated the restricted area, as long
as the entire facility is provided the
appropriate level of security.
Review and approval means the process whereby Coast Guard officials
evaluate a plan or proposal to determine if it complies with this subchapter and/or provides an equivalent
level of security.
Screening means a reasonable examination of persons, cargo, vehicles, or
baggage for the protection of the vessel, its passengers and crew. The purpose of the screening is to secure the
vital government interest of protecting
vessels, harbors, and waterfront facilities from destruction, loss, or injury
from sabotage or other causes of similar nature. Such screening is intended
to ensure that dangerous substances
and devices, or other items that pose a
real danger of violence or a threat to
security are not present.
Secure area means the area on board a
vessel or at a facility or outer continental shelf facility over which the
owner/operator has implemented security measures for access control in accordance with a Coast Guard approved
security plan. It does not include passenger access areas, employee access
areas, or public access areas, as those
terms are defined in §§ 104.106, 104.107,
and 105.106, respectively, of this subchapter. Vessels operating under the
waivers provided for at 46 U.S.C.
8103(b)(3)(A) or (B) have no secure

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§ 101.105

33 CFR Ch. I (7–1–15 Edition)

areas. Facilities subject to part 105 of
this subchapter located in the Commonwealth of the Northern Mariana Islands and American Samoa have no secure areas. Facilities subject to part
105 of this subchapter may, with approval of the Coast Guard, designate
only those portions of their facility
that are directly connected to maritime transportation or are at risk of
being involved in a transportation security incident as their secure areas.
Security sweep means a walkthrough
to visually inspect unrestricted areas
to identify unattended packages, briefcases, or luggage and determine that
all restricted areas are secure.
Security system means a device or
multiple devices designed, installed
and operated to monitor, detect, observe or communicate about activity
that may pose a security threat in a location or locations on a vessel or facility.
Sensitive security information (SSI)
means information within the scope of
49 CFR part 1520.
SOLAS means the International Convention for the Safety of Life at Sea
Convention, 1974, as amended.
Survey means an on-scene examination and evaluation of the physical
characteristics of a vessel or facility,
and its security systems, processes,
procedures, and personnel.
Transportation security incident (TSI)
means a security incident resulting in
a significant loss of life, environmental
damage, transportation system disruption, or economic disruption in a particular area.
TWIC means a valid, non-revoked
transportation worker identification
credential, as defined and explained in
49 CFR part 1572.
TWIC Program means those procedures and systems that a vessel, facility, or outer continental shelf facility
(OCS) must implement in order to assess and validate TWICs when maintaining access control.
Unaccompanied baggage means any
baggage, including personal effects,
that is not being brought on board on
behalf of a person who is boarding the
vessel.
Unescorted access means having the
authority to enter and move about a
secure area without escort.

Vessel-to-facility interface means the
interaction that occurs when a vessel
is directly and immediately affected by
actions involving the movement of persons, cargo, vessel stores, or the provisions of facility services to or from the
vessel.
Vessel-to-port interface means the
interaction that occurs when a vessel
is directly and immediately affected by
actions involving the movement of persons, cargo, vessel stores, or the provisions of port services to or from the
vessel.
Vessel Security Assessment (VSA)
means an analysis that examines and
evaluates the vessel and its operations
taking into account possible threats,
vulnerabilities, consequences, and existing protective measures, procedures
and operations.
Vessel Security Plan (VSP) means the
plan developed to ensure the application of security measures designed to
protect the vessel and the facility that
the vessel is servicing or interacting
with, the vessel’s cargoes, and persons
on board at the respective MARSEC
Levels.
Vessel Security Officer (VSO) means
the person onboard the vessel, accountable to the Master, designated by the
Company as responsible for security of
the vessel, including implementation
and maintenance of the Vessel Security Plan, and for liaison with the Facility Security Officer and the vessel’s
Company Security Officer.
Vessel stores means—
(1) Materials that are on board a vessel for the upkeep, maintenance, safety, operation or navigation of the vessel; and
(2) Materials for the safety or comfort of the vessel’s passengers or crew,
including any provisions for the vessel’s passengers or crew.
Vessel-to-vessel activity means any activity not related to a facility or port
that involves the transfer of cargo, vessel stores, or persons from one vessel to
another.
Waters subject to the jurisdiction of the
U.S., for purposes of this subchapter,
includes all waters described in section
2.36(a) of this chapter; the Exclusive
Economic Zone, in respect to the living
and non-living resources therein; and,
in respect to facilities located on the

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Coast Guard, DHS

§ 101.120

Outer Continental Shelf of the U.S.,
the waters superjacent thereto.
[USCG–2003–14792, 68 FR 39278, July 1, 2003]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 101.105, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 101.110

Applicability.

Unless otherwise specified, this subchapter applies to vessels, structures,
and facilities of any kind, located
under, in, on, or adjacent to waters
subject to the jurisdiction of the U.S.
§ 101.115

Incorporation by reference.

(a) Certain material is incorporated
by reference into this subchapter with
the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and
1 CFR part 51. To enforce any edition
other than that specified in paragraph
(b) of this section, the Coast Guard
must publish notice of change in the
FEDERAL REGISTER and the material
must be available to the public. All approved material is on file at the Office
of the Coast Guard Port Security Directorate (CG-5P), Coast Guard Headquarters, 2100 2nd St., SW., Stop 7581,
Washington, DC 20593–7581, or at the
National Archives and Records Administration (NARA). For information on
the availability of this material at
NARA, call 202–741–6030, or go to: http://
www.archives.gov/federallregister/
codeloflfederallregulations/
ibrllocations.html. All material is
available from the sources indicated in
paragraph (b) of this section.
(b) The materials approved for incorporation by reference in this subchapter are as follows:
INTERNATIONAL MARITIME ORGANIZATION
(IMO)

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Publication Section, 4 Albert Embankment, London SE1 7SR, United Kingdom.
Conference resolution 1, Adoption of amendments to the
Annex to the International
Convention for the Safety of
Life at Sea, 1974, and
amendments to Chapter XI
of SOLAS 1974, adopted December 12, 2002, (SOLAS
Chapter XI–1 or SOLAS
Chapter XI–2).

101.120; 101.310;
101.410; 101.505;
104.105; 104.115;
104.120; 104.297;
104.400.

Conference resolution 2, Adoption of the International
Code for the Security of
Ships and of Port Facilities,
parts A and B, adopted on
December 12, 2002 (ISPS
Code).

[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 69 FR 18803, Apr. 9, 2004; USCG–
2010–0351, 75 FR 36282, June 25, 2010; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

§ 101.120

Alternatives.

(a) Alternative Security Agreements. (1)
The U.S. may conclude in writing, as
provided in SOLAS Chapter XI–2, Regulation 11 (Incorporated by reference,
see § 101.115), a bilateral or multilateral
agreements with other Contracting
Governments to SOLAS on Alternative
Security Arrangements covering short
international voyages on fixed routes
between facilities subject to the jurisdiction of the U.S. and facilities in the
territories of those Contracting Governments.
(2) As further provided in SOLAS
Chapter XI–2, Regulation 11, a vessel
covered by such an agreement shall not
conduct any vessel-to-vessel activity
with any vessel not covered by the
agreement.
(b) Alternative Security Programs. (1)
Owners and operators of vessels and facilities required to have security plans
under part 104, 105, or 106 of this subchapter, other than vessels that are
subject to SOLAS Chapter XI, may
meet the requirements of an Alternative Security Program that has been
reviewed and approved by the Commandant (CG-5P) as meeting the requirements of part 104, 105, or 106, as
applicable.
(2) Owners or operators must implement an approved Alternative Security
Program in its entirety to be deemed
in compliance with either part 104, 105,
or 106.
(3) Owners or operators who have implemented an Alternative Security
Program must send a letter to the appropriate plan approval authority
under part 104, 105, or 106 of this subchapter identifying which Alternative
Security Program they have implemented, identifying those vessels or facilities that will implement the Alternative Security Program, and attesting

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101.410; 101.505;
104.105; 104.115;
104.120; 104.297;
104.400.

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§ 101.125

33 CFR Ch. I (7–1–15 Edition)

that they are in full compliance therewith. A copy of this letter shall be retained on board the vessel or kept at
the facility to which it pertains along
with a copy of the Alternative Security
Program and a vessel, facility, or Outer
Continental Shelf facility specific security assessment report generated under
the Alternative Security Program.
(4) Owners or operators shall make
available to the Coast Guard, upon request, any information related to implementation of an approved Alternative Security Program.
(c) Approval of Alternative Security
Programs. You must submit to the
Commandant (CG-5P) for review and
approval the Alternative Security Program and the following information to
assess the adequacy of the proposed Alternative Security Program:
(1) A list of the vessel and facility
type that the Alternative Security
Program is intended to apply;
(2) A security assessment for the vessel or facility type;
(3) Explanation of how the Alternative Security Program addresses the
requirements of parts 104, 105, or 106, as
applicable; and
(4) Explanation of how owners and
operators must implement the Alternative Security Program in its entirety, including performing an operational and vessel or facility specific
assessment and verification of implementation.
(d) Amendment of Approved Alternative
Security Programs. (1) Amendments to
an Alternative Security Program approved under this section may be initiated by—
(i) The submitter of an Alternative
Security Program under paragraph (c)
of this section; or
(ii) The Coast Guard upon a determination that an amendment is needed
to maintain the security of a vessel or
facility. The Coast Guard will give the
submitter of an Alternative Security
Program written notice and request
that the submitter propose amendments addressing any matters specified
in the notice. The submitter will have
at least 60 days to submit its proposed
amendments.
(2) Proposed amendments must be
sent to the Commandant (CG-5P). If
initiated by the submitter, the pro-

posed amendment must be submitted
at least 30 days before the amendment
is to take effect unless the Commandant (CG-5P) allows a shorter period. The Commandant (CG-5P) will approve or disapprove the proposed
amendment in accordance with paragraph (f) of this section.
(e) Validity of Alternative Security Program. An Alternative Security Program
approved under this section is valid for
5 years from the date of its approval.
(f) The Commandant (CG-5P) will examine each submission for compliance
with this part, and either:
(1) Approve it and specify any conditions of approval, returning to the submitter a letter stating its acceptance
and any conditions;
(2) Return it for revision, returning a
copy to the submitter with brief descriptions of the required revisions; or
(3) Disapprove it, returning a copy to
the submitter with a brief statement of
the reasons for disapproval.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60471, Oct. 22, 2003; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

§ 101.125

[Reserved]

§ 101.130 Equivalent
ures.

security

(a) For any measure required by part
104, 105, or 106 of this subchapter, the
owner or operator may substitute an
equivalent security measure that has
been approved by the Commandant
(CG-5P) as meeting or exceeding the effectiveness of the required measure.
The Commandant (CG-5P) may require
that the owner or operator provide
data for use in assessing the effectiveness of the proposed equivalent security measure.
(b) Requests for approval of equivalent security measures should be made
to the appropriate plan approval authority under parts 104, 105 or 106 of
this subchapter.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended by USCG–2013–0397, 78 FR 39173,
July 1, 2013]

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Coast Guard, DHS

§ 101.305

Subpart B—Maritime Security
(MARSEC) Levels
§ 101.200

MARSEC Levels.

(a) MARSEC Levels advise the maritime community and the public of the
level of risk to the maritime elements
of the national transportation system.
Ports, under direction of the local
COTP, will respond to changes in the
MARSEC Level by implementing the
measures specified in the AMS Plan.
Similarly, vessels and facilities required to have security plans under
part 104, 105, or 106 of this subchapter
shall implement the measures specified
in their security plans for the applicable MARSEC Level.
(b) Unless otherwise directed, each
port, vessel, and facility shall operate
at MARSEC Level 1.
(c) The Commandant will set (raise
or lower) the MARSEC Level commensurate with risk, and in consideration
of any maritime nexus to any active
National Terrorism Advisory System
(NTAS) alerts. Notwithstanding the
NTAS, the Commandant retains discretion to adjust the MARSEC Level when
necessary to address any particular security concerns or circumstances related to the maritime elements of the
national transportation system.
(d) The COTP may raise the MARSEC
Level for the port, a specific marine
operation within the port, or a specific
industry within the port, when necessary to address an exigent circumstance immediately affecting the
security of the maritime elements of
the transportation in his/her area of responsibility. Application of this delegated authority will be pursuant to
policies and procedures specified by the
Commandant.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended by USCG–2013–0397, 78 FR 39173,
July 1, 2013]

§ 101.205

[Reserved]

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Subpart C—Communication
(Port—Facility—Vessel)
§ 101.300 Preparedness
tions.

communica-

(a) Notification of MARSEC Level
change. The COTP will communicate

any changes in the MARSEC Levels
through a local Broadcast Notice to
Mariners, an electronic means, if available, or as detailed in the AMS Plan.
(b) Communication of threats. When
the COTP is made aware of a threat
that may cause a transportation security incident, the COTP will, when appropriate, communicate to the port
stakeholders, vessels, and facilities in
his or her AOR the following details:
(1) Geographic area potentially impacted by the probable threat;
(2) Any appropriate information identifying potential targets;
(3) Onset and expected duration of
probable threat;
(4) Type of probable threat; and
(5) Required actions to minimize
risk.
(c) Attainment. (1) Each owner or operator of a vessel or facility required to
have a security plan under parts 104 or
105 of this subchapter affected by a
change in the MARSEC Level must ensure confirmation to their local COTP
the attainment of measures or actions
described in their security plan and
any other requirements imposed by the
COTP that correspond with the
MARSEC Level being imposed by the
change.
(2) Each owner or operator of a facility required to have a security plan
under part 106 of this subchapter affected by a change in the MARSEC
Level must ensure confirmation to
their cognizant District Commander
the attainment of measures or actions
described in their security plan and
any other requirements imposed by the
District Commander or COTP that correspond with the MARSEC Level being
imposed by the change.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003]

§ 101.305

Reporting.

(a) Notification of suspicious activities.
An owner or operator required to have
a security plan under part 104, 105, or
106 of this subchapter shall, without
delay, report activities that may result
in a transportation security incident to
the National Response Center at the
following toll free telephone: 1–800–424–
8802, direct telephone 202–267–2675, or
TDD 202–267–4477. Any other person or

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§ 101.310

33 CFR Ch. I (7–1–15 Edition)

entity is also encouraged to report activities that may result in a transportation security incident to the National Response Center.
(b) Notification of breaches of security.
An owner or operator required to have
a security plan under parts 104, 105, or
106 of this subchapter shall, without
delay, report breaches of security to
the National Response Center via one
of the means listed in paragraph (a) of
this section.
(c) Notification of transportation security incident (TSI). (1) Any owner or operator required to have a security plan
under part 104 or 105 of this subchapter
shall, without delay, report a TSI to
their local COTP and immediately
thereafter begin following the procedures set out in their security plan,
which may include contacting the National Response Center via one of the
means listed in paragraph (a) of this
section.
(2) Any owner or operator required to
have a security plan under part 106 of
this subchapter shall, without delay,
report a TSI to their cognizant District
Commander and immediately thereafter begin following the procedures set
out in their security plan, which may
include contacting the National Response Center via one of the means
listed in paragraph (a) of this section.
(d) Callers to the National Response
Center should be prepared to provide as
much of the following information as
possible:
(1) Their own name and contact information;
(2) The name and contact information of the suspicious or responsible
party;
(3) The location of the incident, as
specifically as possible; and
(4) The description of the incident or
activity involved.

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[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended by USCG–2004–18057, 69 FR 34925,
June 23, 2004; USCG–2005–21531, 70 FR 36349,
June 23, 2005; USCG–2006–25150, 71 FR 39208,
July 12, 2006; USCG–2008–0179, 73 FR 35009,
June 19, 2008]

§ 101.310 Additional
communication
devices.
(a) Alert Systems. Alert systems, such
as the ship security alert system required in SOLAS Chapter XI–2, Regula-

tion 6 (Incorporated by reference, see
§ 101.115), may be used to augment communication and may be one of the communication methods listed in a vessel
or facility security plan under part 104,
105, or 106 of this subchapter.
(b) Automated Identification Systems
(AIS). AIS may be used to augment
communication, and may be one of the
communication methods listed in a
vessel security plan under part 104 of
this subchapter. See 33 CFR part 164 for
additional information on AIS device
requirements.

Subpart D—Control Measures for
Security
§ 101.400 Enforcement.
(a) The rules and regulations in this
subchapter are enforced by the COTP
under the supervision and general direction of the District Commander,
Area Commander, and the Commandant. All authority and power
vested in the COTP by the rules and
regulations in this subchapter is also
vested in, and may be exercised by, the
District Commander, Area Commander,
and the Commandant.
(b) The COTP, District Commander,
Area Commander, or Commandant may
assign the enforcement authority described in paragraph (a) of this section
to any other officer or petty officer of
the Coast Guard or other designees authorized by the Commandant.
(c) The provisions in this subchapter
do not limit the powers conferred upon
Coast Guard commissioned, warrant, or
petty officers by any other law or regulation, including but not limited to 33
CFR parts 6, 160, and 165.
§ 101.405 Maritime Security (MARSEC)
Directives.
(a)(1) When the Coast Guard determines that additional security measures are necessary to respond to a
threat assessment or to a specific
threat against the maritime elements
of the national transportation system,
the Coast Guard may issue a MARSEC
Directive setting forth mandatory
measures. Only the Commandant or
his/her delegee may issue MARSEC Directives under this section. Prior to
issuing a MARSEC Directive, the Commandant or his/her delegee will consult

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Coast Guard, DHS

§ 101.410

with those Federal agencies having an
interest in the subject matter of that
MARSEC Directive. All MARSEC Directives issued under this section shall
be marked as sensitive security information (SSI) in accordance with 49
CFR part 1520.
(2) When a MARSEC Directive is
issued, the Coast Guard will immediately publish a notice in the FEDERAL
REGISTER, and affected owners and operators will need to go to their local
COTP or cognizant District Commander to acquire a copy of the
MARSEC Directive. COTPs and District Commanders will require owners
or operators to prove that they are a
person required by 49 CFR 1520.5(a) to
restrict disclosure of and access to sensitive security information, and that
under 49 CFR 1520.5(b), they have a
need to know sensitive security information.
(b) Each owner or operator of a vessel
or facility to whom a MARSEC Directive applies is required to comply with
the relevant instructions contained in
a MARSEC Directive issued under this
section within the time prescribed by
that MARSEC Directive.
(c) Each owner or operator of a vessel
or facility required to have a security
plan under parts 104, 105 or 106 of this
subchapter that receives a MARSEC
Directive must:
(1) Within the time prescribed in the
MARSEC Directive, acknowledge receipt of the MARSEC Directive to their
local COTP or, if a facility regulated
under part 106 of this subchapter, to
their cognizant District Commander;
and
(2) Within the time prescribed in the
MARSEC Directive, specify the method
by which the measures in the MARSEC
Directive have been implemented (or
will be implemented, if the MARSEC
Directive is not yet effective).
(d) In the event that the owner or operator of a vessel or facility required to
have a security plan under part 104, 105,
or 106 of this subchapter is unable to
implement the measures in the
MARSEC Directive, the owner or operator must submit proposed equivalent
security measures and the basis for
submitting the equivalent security
measures to the COTP or, if a facility
regulated under part 106 of this sub-

chapter, to their cognizant District
Commander, for approval.
(e) The owner or operator must submit the proposed equivalent security
measures within the time prescribed in
the MARSEC Directive. The owner or
operator must implement any equivalent security measures approved by the
COTP, or, if a facility regulated under
part 106 of this subchapter, by their
cognizant District Commander.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003]

§ 101.410 Control
and
Compliance
Measures.
(a) The COTP may exercise authority
pursuant to 33 CFR parts 6, 160 and 165,
as appropriate, to rectify non-compliance with this subchapter. COTPs or
their designees are the officers duly authorized to exercise control and compliance measures under SOLAS Chapter XI–2, Regulation 9, and the ISPS
Code (Incorporated by reference, see
§ 101.115).
(b) Control and compliance measures
for vessels not in compliance with this
subchapter may include, but are not
limited to, one or more of the following:
(1) Inspection of the vessel;
(2) Delay of the vessel;
(3) Detention of the vessel;
(4) Restriction of vessel operations;
(5) Denial of port entry;
(6) Expulsion from port;
(7) Lesser administrative and corrective measures; or
(8) Suspension or revocation of a security plan approved by the U.S.,
thereby making that vessel ineligible
to operate in, on, or under waters subject to the jurisdiction of the U.S. in
accordance with 46 U.S.C. 70103(c)(5).
(c) Control and compliance measures
for facilities not in compliance with
this subchapter may include, but are
not limited to, one or more of the following:
(1) Restrictions on facility access;
(2) Conditions on facility operations;
(3) Suspension of facility operations;
(4) Lesser administrative and corrective measures; or
(5) Suspension or revocation of security plan approval, thereby making
that facility ineligible to operate in,
on, under or adjacent to waters subject

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§ 101.415

33 CFR Ch. I (7–1–15 Edition)

to the jurisdiction of the U.S. in accordance with 46 U.S.C. 70103(c)(5).
(d) Control and compliance measures
under this section may be imposed on a
vessel when it has called on a facility
or at a port that does not maintain
adequate security measures to ensure
that the level of security to be
achieved by this subchapter has not
been compromised.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003]

§ 101.415

Penalties.

(a) Civil and criminal penalty. Violation of any order or other requirement
imposed under section 101.405 of this
part is punishable by the civil and
criminal penalties prescribed in 33
U.S.C. 1232 or 50 U.S.C. 192, as appropriate.
(b) Civil penalty. As provided in 46
U.S.C. 70119, any person who does not
comply with any other applicable requirement under this subchapter, including a Maritime Security Directive,
shall be liable to the U.S. for a civil
penalty of not more than $ 25,000 for
each violation. Enforcement and administration of this provision will be in
accordance with 33 CFR 1.07.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended by USCG–2008–0179, 73 FR 35009,
June 19, 2008]

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§ 101.420

Right to appeal.

(a) Any person directly affected by a
decision or action taken by a COTP
under this subchapter, may appeal that
action or decision to the cognizant District Commander according to the procedures in 46 CFR 1.03–15.
(b) Any person directly affected by a
decision or action taken by a District
Commander, whether made under this
subchapter generally or pursuant to
paragraph (a) of this section, with the
exception of those decisions made
under § 101.410 of this subpart, may appeal that decision or action to the
Commandant (CG-5P), according to the
procedures in 46 CFR 1.03–15. Appeals of
District Commander decisions or actions made under § 101.410 of this subpart should be made to the Commandant (CG-CVC), according to the
procedures in 46 CFR 1.03–15.

(c) Any person directly affected by a
decision or action taken by the Commanding Officer, Marine Safety Center,
under this subchapter, may appeal that
action or decision to the Commandant
(CG-5P) according to the procedures in
46 CFR 1.03–15.
(d) Decisions made by Commandant
(CG-5P), whether made under this subchapter generally or pursuant to the
appeal provisions of this section, are
considered final agency action.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003; 68 FR
62502, Nov. 4, 2003; USCG–2008–0179, 73 FR
35009, June 19, 2008; USCG–2013–0397, 78 FR
39173, July 1, 2013]

Subpart E—Other Provisions
§ 101.500 Procedures for authorizing a
Recognized Security Organization
(RSO). [Reserved]
§ 101.505 Declaration
(DoS).

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Security

(a) The purpose of a DoS, as described
in SOLAS Chapter XI–2, Regulation 10,
and the ISPS Code (Incorporated by
reference, see § 101.115), is to state the
agreement reached between a vessel
and a facility, or between vessels in the
case of a vessel-to-vessel activity, as to
the respective security measures each
must undertake during a specific vessel-to-facility interface, during a series
of interfaces between the vessel and
the facility, or during a vessel-to-vessel activity.
(b) Details as to who must complete
a DoS, when a DoS must be completed,
and how long a DoS must be retained
are included in parts 104 through 106 of
this subchapter. A DoS must, at a minimum, include the information found
in the ISPS Code, part B, appendix 1
(Incorporated
by
reference,
see
§ 101.115).
(c) All vessels and facilities required
to comply with parts 104, 105, and 106 of
this subchapter must, at a minimum,
comply with the DoS requirements of
the MARSEC Level set for the port.
(d) The COTP may also require a DoS
be completed for vessels and facilities
during periods of critical port operations, special marine events, or when
vessels give notification of a higher

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Coast Guard, DHS

§ 101.515

MARSEC Level than that set in the
COTP’s Area of Responsibility (AOR).
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003]

§ 101.510

Assessment tools.

Ports, vessels, and facilities required
to conduct security assessments by
part 103, 104, 105, or 106 of this subchapter may use any assessment tool
that meets the standards set out in
part 103, 104, 105, or 106, as applicable.
These tools may include USCG assessment tools, which are available from
the cognizant COTP or at http://
www.uscg.mil/hq/g-m/nvic, as set out in
the following:
(a) Navigation and Vessel Inspection
Circular titled, ‘‘Guidelines for Port
Security Committees, and Port Security Plans Required for U.S. Ports’’
(NVIC 9–02 change 3);
(b) Navigation and Vessel Inspection
Circular titled, ‘‘Security Guidelines
for Vessels’’, (NVIC 10–02 change 1); and
(c) Navigation and Vessel Inspection
Circular titled, ‘‘Security Guidelines
for Facilities’’, (NVIC 11–02 change 1).
[USCG–2012–0306, 77 FR 37313, June 21, 2012, as
amended by USCG–2013–0397, 78 FR 39173,
July 1, 2013]

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§ 101.514

TWIC Requirement.

(a) All persons requiring unescorted
access to secure areas of vessels, facilities, and OCS facilities regulated by
parts 104, 105 or 106 of this subchapter
must possess a TWIC before such access
is granted, except as otherwise noted in
this section. A TWIC must be obtained
via the procedures established by TSA
in 49 CFR part 1572.
(b) Federal officials are not required
to obtain or possess a TWIC. Except in
cases of emergencies or other exigent
circumstances, in order to gain
unescorted access to a secure area of a
vessel, facility, or OCS facility regulated by parts 104, 105 or 106 of this subchapter, a federal official must present
his/her agency issued, HSPD 12 compliant credential. Until each agency
issues its HSPD 12 compliant cards,
Federal officials may gain unescorted
access by using their agency’s official
credential. The COTP will advise facilities and vessels within his or her area

of responsibility as agencies come into
compliance with HSPD 12.
(c) Law enforcement officials at the
State or local level are not required to
obtain or possess a TWIC to gain
unescorted access to secure areas. They
may, however, voluntarily obtain a
TWIC where their offices fall within or
where they require frequent unescorted
access to a secure area of a vessel, facility or OCS facility.
(d) Emergency responders at the
State, or local level are not required to
obtain or possess a TWIC to gain
unescorted access to secure areas during an emergency situation. They may,
however, voluntarily obtain a TWIC
where their offices fall within or where
they desire frequent unescorted access
to a secure area of a vessel, facility or
OCS facility in non-emergency situations.
(e) Before April 15, 2009, mariners do
not need to obtain or possess a TWIC
but may be provided unescorted access
to secure areas of vessels, facilities,
and OCS facilities regulated by parts
104, 105 or 106 of this subchapter if they
are able to show one of the following:
(1) A valid Merchant Mariner Document (MMD);
(2) A valid Merchant Mariner License
and a valid photo identification; or
(3) A valid Certificate of Registry and
a valid photo identification.
[USCG–2006–24196, 72 FR 3578, Jan. 25, 2007, as
amended at 73 FR 25565, May 7, 2008]

§ 101.515

TWIC/Personal Identification.

(a) Persons not described in § 101.514
of this part shall be required to present
personal identification in order to gain
entry to a vessel, facility, and OCS facility regulated by parts 104, 105 or 106
of this subchapter. These individuals
must be under escort, as that term is
defined in § 101.105 of this part, while
inside a secure area. This personal
identification must, at a minimum,
meet the following requirements:
(1) Be laminated or otherwise secure
against tampering;
(2) Contain the individual’s full name
(full first and last names, middle initial is acceptable);
(3) Contain a photo that accurately
depicts that individual’s current facial
appearance; and

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Pt. 103

33 CFR Ch. I (7–1–15 Edition)

(4) Bear the name of the issuing authority.
(b) The issuing authority in paragraph (a)(4) of this section must be:
(1) A government authority, or an organization authorized to act of behalf
of a government authority; or
(2) The individual’s employer, union,
or trade association.
(c) Vessel, facility, and OCS facility
owners and operators must permit law
enforcement officials, in the performance of their official duties, who
present proper identification in accordance with this section and § 101.514 of
this part to enter or board that vessel,
facility, or OCS facility at any time,
without delay or obstruction. Law enforcement officials, upon entering or
boarding a vessel, facility, or OCS facility, will, as soon as practicable, explain their mission to the Master,
owner, or operator, or their designated
agent.
(d) Inspection of credential. (1) Each
person who has been issued or possesses
a TWIC must present the TWIC for inspection upon a request from TSA, the
Coast Guard, or other authorized DHS
representative; an authorized representative of the National Transportation Safety Board; or a Federal,
State, or local law enforcement officer.
(2) Each person who has been issued
or who possesses a TWIC must allow
his or her TWIC to be read by a reader
and must submit his or her reference
biometric, such as a fingerprint, and
any other required information, such
as a PIN, to the reader, upon a request
from TSA, the Coast Guard, other authorized DHS representative; or a Federal, State, or local law enforcement
officer.

103.105

Definitions.

Subpart B—Federal Maritime Security Coordinator (FMSC) Designation and Authorities
103.200 Designation of the Federal Maritime
Security Coordinator (FMSC).
103.205 Authority of the COTP as the Federal Maritime Security Coordinator
(FMSC).

Subpart C—Area Maritime Security (AMS)
Committee
103.300 Area Maritime Security (AMS) Committee.
103.305 Composition of an Area Maritime
Security (AMS) Committee.
103.310 Responsibilities of the Area Maritime Security (AMS) Committee.

Subpart D—Area Maritime Security (AMS)
Assessment
103.400 General.
103.405 Elements of the Area Maritime Security (AMS) Assessment.
103.410 Persons involved in the Area Maritime Security (AMS) Assessment.

Subpart E—Area Maritime Security (AMS)
Plan
103.500 General.
103.505 Elements of the Area Maritime Security (AMS) Plan.
103.510 Area Maritime Security (AMS) Plan
review and approval.
103.515 Exercises.
103.520 Recordkeeping.
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C.
70102, 70103, 70104, 70112; 50 U.S.C. 191; 33 CFR
1.05–1, 6.04–11, 6.14, 6.16, and 6.19; Department
of Homeland Security Delegation No. 0170.1.
SOURCE: USCG–2003–14733, 68 FR 39290, July
1, 2003, unless otherwise noted.

[USCG–2006–24196, 72 FR 3578, Jan. 25, 2007]

Subpart A—General

PART 102—MARITIME SECURITY:
NATIONAL MARITIME TRANSPORTATION SECURITY [RESERVED]
PART 103—MARITIME SECURITY:
AREA MARITIME SECURITY

§ 103.100

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§ 103.105
Subpart A—General
Sec.
103.100

Applicability.

This part applies to all vessels and
facilities located in, on, under, or adjacent to waters subject to the jurisdiction of the U.S.
Definitions.

Except as specifically stated in this
subpart, the definitions in part 101 of
this subchapter apply to this part.

Applicability.

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Coast Guard, DHS

§ 103.305

Subpart B—Federal Maritime Security Coordinator (FMSC)
Designation and Authorities
§ 103.200 Designation of the Federal
Maritime
Security
Coordinator
(FMSC).
The COTPs are the Federal Maritime
Security Coordinators for their respective COTP zones described in 33 CFR
part 3, including all ports and areas located therein.
§ 103.205 Authority of the COTP as the
Federal Maritime Security Coordinator (FMSC).
(a) Without limitation to the authority vested in the COTP by statute or
regulation, and in addition to authority prescribed elsewhere in this part,
the COTP as the FMSC is authorized
to:
(1) Establish, convene, and direct the
Area Maritime Security (AMS) Committee;
(2) Appoint members to the AMS
Committee;
(3) Develop and maintain, in coordination with the AMS Committee, the
AMS Plan;
(4) Implement and exercise the AMS
Plan; and
(5) Maintain the records required by
§ 103.520 of this part.
(b) The authorizations in paragraph
(a) of this section do not limit any
other existing authority of the COTP.

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Subpart C—Area Maritime
Security (AMS) Committee
§ 103.300 Area
Maritime
Security
(AMS) Committee.
(a) The AMS Committee is established under the direction of the COTP
and shall assist in the development, review, and update of the AMS Plan for
their area of responsibility. For the
purposes of this subchapter, Port Security Committees that were established
prior to July 1, 2003, according to guidance issued by the Coast Guard, may be
considered AMS Committees, provided
they conform to the procedures established by this part and satisfy the
membership requirements of § 103.305 of
this part.
(b) The AMS Committee will operate
under terms specified in a written

charter. At a minimum, the charter
must address:
(1) The AMS Committee’s purpose
and geographic area of responsibility;
(2) Rules for membership;
(3) The AMS Committee’s organizational structure and procedural rules of
order;
(4) Frequency of meetings, to include
not less than once in a calendar year or
when requested by a majority of the
AMS Committee members;
(5) Guidelines for public access to
AMS Committee meetings and records;
and
(6) Rules for handling and protecting
classified, sensitive security, commercially sensitive, and proprietary information.
§ 103.305 Composition of an Area Maritime Security (AMS) Committee.
(a) An AMS Committee will be composed of not less than seven members
having an interest in the security of
the area and who may be selected
from—
(1) The Federal, Territorial, or Tribal
government;
(2) The State government and political subdivisions thereof;
(3) Local public safety, crisis management and emergency response agencies;
(4) Law enforcement and security organizations;
(5) Maritime industry, including
labor;
(6) Other port stakeholders having a
special competence in maritime security; and
(7) Port stakeholders affected by security practices and policies.
(b) At least seven of the members
must each have 5 or more years of experience related to maritime or port
security operations.
(c) Members appointed under this
section serve for a term of not more
than five years. In appointing members, the FMSC should consider the
skills required by § 103.410 of this part.
With the exception of credentialed Federal, state and local officials, all AMS
Committee members shall have a
name-based terrorist check from TSA,
hold a TWIC, or have passed a comparable security threat assessment, if

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§ 103.310

33 CFR Ch. I (7–1–15 Edition)

they need access to SSI as determined
by the FMSC.
[USCG–2003–14733, 68 FR 39290, July 1, 2003, as
amended at 68 FR 60482, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3579, Jan. 25, 2007]

§ 103.310 Responsibilities of the Area
Maritime Security (AMS) Committee.
(a) The AMS Committee shall:
(1) Identify critical port infrastructure and operations;
(2)
Identify
risks
(threats,
vulnerabilities, and consequences);
(3) Determine mitigation strategies
and implementation methods;
(4) Develop and describe the process
to continually evaluate overall port security by considering consequences and
vulnerabilities, how they may change
over time, and what additional mitigation strategies can be applied; and
(5) Provide advice to, and assist the
COTP in, developing the AMS Plan.
(b) The AMS Committee shall also
serve as a link for communicating
threats and changes in MARSEC Levels, and disseminating appropriate security information to port stakeholders.

Subpart D—Area Maritime
Security (AMS) Assessment

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§ 103.400

General.

(a) The Area Maritime Security
(AMS) Committee will ensure that a
risk based AMS Assessment, is completed and meets the requirements
specified in § 103.310 of this part and
§ 101.510 of this subchapter, incorporating the elements specified in
§ 103.405 of this part.
(b) AMS Assessments can be completed by the COTP, the AMS Committee, a Coast Guard Port Security
Assessment team, or by another third
party approved by the AMS Committee.
(c) Upon completion of each AMS Assessment, a written report, which is
designated sensitive security information, must be prepared consisting of:
(1) A summary of how the AMS Assessment was conducted;
(2) A description of each vulnerability and consequences found during
the AMS Assessment; and

(3) A description of risk reduction
strategies that could be used to ensure
continued operation at an acceptable
risk level.
§ 103.405 Elements of the Area Maritime Security (AMS) Assessment.
(a) The AMS Assessment must include the following elements:
(1) Identification of the critical Marine Transportation System infrastructure and operations in the port;
(2) Threat assessment that identifies
and evaluates each potential threat on
the basis of various factors, including
capability and intention;
(3) Consequence and vulnerability assessment for each target/scenario combination; and
(4) A determination of the required
security measures for the three
MARSEC Levels.
(b) In order to meet the elements
listed in paragraph (a) of this section,
an AMS Assessment should consider
each of the following:
(1) Physical security of infrastructure and operations at the port;
(2) Structures considered critical for
the continued operation of the port;
(3) Existing security systems and
equipment available to protect maritime personnel;
(4) Procedural policies;
(5) Radio and telecommunication systems, including computer systems and
networks;
(6) Relevant transportation infrastructure;
(7) Utilities;
(8) Security resources and capabilities; and
(9) Other areas that may, if damaged,
pose a risk to people, infrastructure, or
operations within the port.
(c) AMS Assessments are sensitive
security information and must be protected in accordance with 49 CFR part
1520.
§ 103.410 Persons involved in the Area
Maritime Security (AMS) Assessment.
The persons carrying out the AMS
Assessment must have the appropriate
skills to evaluate the security of the
port in accordance with this part. This
includes being able to draw upon expert
assistance in relation to:

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Coast Guard, DHS

§ 103.505

(a) Knowledge of current security
threats and patterns;
(b) Recognition and detection of dangerous substances, and devices;
(c) Recognition, on a non-discriminatory basis, of characteristics and behavioral patterns of persons who are
likely to threaten security;
(d) Techniques used to circumvent security measures;
(e) Methods used to cause a transportation security incident;
(f) Effects of dangerous substances
and devices on structures and port
services;
(g) Port security requirements;
(h) Port business practices;
(i) Contingency planning, emergency
preparedness, and response;
(j) Physical security measures;
(k) Radio and telecommunications
systems, including computer systems
and networks;
(l) Transportation and civil engineering;
(m) Vessel and port operations; and
(n) Knowledge of the impact, including cost impacts of implementing security measures on port operations.

Subpart E—Area Maritime Security
(AMS) Plan
§ 103.500 General.
(a) The Area Maritime Security
(AMS) Plan is developed by the COTP,
in consultation with the AMS Committee, and is based on an AMS Assessment that meets the provisions of subpart D of this part. The AMS Plan
must be consistent with the National
Maritime
Transportation
Security
Plan and the National Transportation
Security Plan.
(b) Portions of the AMS Plan may
contain sensitive security information,
and those portions must be marked as
such and protected in accordance with
49 CFR part 1520.

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[USCG–2003–14733, 68 FR 39290, July 1, 2003, as
amended at 68 FR 60482, Oct. 22, 2003]

§ 103.505 Elements of the Area Maritime Security (AMS) Plan.
The AMS Plan should address the following elements, as applicable:
(a) Details of both operational and
physical measures that are in place in
the port at MARSEC Level 1;

(b) Details of the additional security
measures that enable the port to
progress, without delay, to MARSEC
Level 2 and, when necessary, to
MARSEC Level 3;
(c) Details of the security incident
command-and-response structure;
(d) Details for regular audit of the
AMS Plan, and for its amendment in
response to experience or changing circumstances;
(e) Measures to prevent the introduction of dangerous substances and devices into designated restricted areas
within the port;
(f) Measures to prevent unauthorized
access to designated restricted areas
within the port (e.g., TWIC);
(g) Procedures and expected timeframes for responding to security
threats or breaches of security, including provisions for maintaining infrastructure and operations in the port;
(h) Procedures for responding to any
security instructions the Coast Guard
announces at MARSEC Level 3;
(i) Procedures for evacuation within
the port in case of security threats or
breaches of security;
(j) Procedures for periodic plan review, exercise, and updating;
(k) Procedures for reporting transportation security incidents (TSI);
(l) Identification of, and methods to
communicate with, Facility Security
Officers (FSO), Company Security Officers (CSO), Vessel Security Officers
(VSO), public safety officers, emergency response personnel, and crisis
management organization representatives within the port, including 24-hour
contact details;
(m) Measures to ensure the security
of the information contained in the
AMS Plan;
(n) Security measures designed to ensure effective security of infrastructure, special events, vessels, passengers, cargo, and cargo handling
equipment at facilities within the port
not otherwise covered by a Vessel or
Facility Security Plan, approved under
part 104, 105, or 106 of this subchapter;
(o) Procedures to be taken when a
vessel is at a higher security level than
the facility or port it is visiting;
(p) Procedures for responding if a vessel security alert system on board a

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lpowell on DSK54DXVN1OFR with $$_JOB

§ 103.510

33 CFR Ch. I (7–1–15 Edition)

vessel within or near the port has been
activated;
(q) Procedures for communicating
appropriate security and threat information to the public;
(r) Procedures for handling reports
from the public and maritime industry
regarding suspicious activity;
(s) The jurisdiction of Federal, State,
Indian Tribal, and local government
agencies and law enforcement entities
over area security related matters;
(t) Security resources available for
incident response and their capabilities;
(u) Procedures for responding to a
TSI;
(v) Procedures to facilitate the recovery of the Marine Transportation System after a TSI; and
(w) Identification of any facility otherwise subject to part 105 of this subchapter that the COTP has designated
as a public access facility within the
area, the security measures that must
be
implemented
at
the
various
MARSEC Levels, and who is responsible for implementing those measures.

cognizant Area Commander, the requirements of this section may be satisfied by—
(1) Participation of the COTP and appropriate AMS Committee members or
other appropriate port stakeholders in
an emergency response or crisis management exercise conducted by another
governmental agency or private sector
entity, provided that the exercise addresses components of the AMS Plan;
(2) An actual increase in MARSEC
Level; or
(3) Implementation of enhanced security measures enumerated in the AMS
Plan during periods of critical port operations or special marine events.

[USCG–2003–14733, 68 FR 39290, July 1, 2003, as
amended at 68 FR 60482, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3579, Jan. 25, 2007]

PART 104—MARITIME SECURITY:
VESSELS

§ 103.510 Area
Maritime
Security
(AMS) Plan review and approval.
Each AMS Plan will be submitted to
the cognizant District Commander for
review and then forwarded to the Area
Commander for approval.

Subpart A—General

§ 103.515 Exercises.
(a) The COTP shall coordinate with
the Area Maritime Security (AMS)
Committee to conduct or participate in
an exercise at least once each calendar
year, with no more than 18 months between exercises, to test the effectiveness of the AMS Plan.
(b) An exercise may consist of any of
the following:
(1) A tabletop exercise to validate the
AMS Plan. No equipment or personnel
deployment is required;
(2) A field training exercise consisting of personnel deployment and
use of security equipment; or
(3) A combination of § 103.515(b)(1) and
(b)(2).
(c) Upon review by the cognizant District Commander, and approval by the

[USCG–2003–14733, 68 FR 39290, July 1, 2003, as
amended at 68 FR 60483, Oct. 22, 2003]

§ 103.520 Recordkeeping.
(a) All records pertaining to the Area
Maritime Security (AMS) Assessment
and AMS Plan will be retained by the
COTP for 5 years.
(b) Exercise documentation will be
kept by the COTP for 2 years.

Sec.
104.100 Definitions.
104.105 Applicability.
104.106 Passenger access area.
104.107 Employee access area.
104.110 Exemptions.
104.115 Compliance.
104.120 Compliance documentation.
104.125 Noncompliance.
104.130 Waivers.
104.135 Equivalents.
104.140 Alternative Security Programs.
104.145 Maritime Security (MARSEC) Directive.
104.150 Right to appeal.

Subpart B—Vessel Security Requirements
104.200 Owner or operator.
104.205 Master.
104.210 Company Security Officer (CSO).
104.215 Vessel Security Officer (VSO).
104.220 Company or vessel personnel with
security duties.
104.225 Security training for all other vessel
personnel.
104.230 Drill and exercise requirements.
104.235 Vessel recordkeeping requirements.
104.240 Maritime Security (MARSEC) Level
coordination and implementation.

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Coast Guard, DHS

§ 104.105

104.245 Communications.
104.250 Procedures for interfacing with facilities and other vessels.
104.255 Declaration of Security (DoS).
104.260 Security systems and equipment
maintenance.
104.265 Security measures for access control.
104.267 Security measures for newly hired
employees.
104.270 Security measures for restricted
areas.
104.275 Security measures for handling
cargo.
104.280 Security measures for delivery of
vessel stores and bunkers.
104.285 Security measures for monitoring.
104.290 Security incident procedures.
104.292 Additional requirements—passenger
vessels and ferries.
104.295 Additional
requirements—cruise
ships.
104.297 Additional requirements—vessels on
international voyages.

Subpart C—Vessel Security Assessment
(VSA)
104.300 General.
104.305 Vessel Security Assessment (VSA)
requirements.
104.310 Submission requirements.

Subpart D—Vessel Security Plan (VSP)
104.400 General.
104.405 Format of the Vessel Security Plan
(VSP).
104.410 Submission and approval.
104.415 Amendment and audit.
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C.
Chapter 701; 50 U.S.C. 191; 33 CFR 1.05–1, 6.04–
11, 6.14, 6.16, and 6.19; Department of Homeland Security Delegation No. 0170.1.
SOURCE: USCG–2003–14749, 68 FR 39302, July
1, 2003, unless otherwise noted.

Subpart A—General

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§ 104.100 Definitions.
Except as specifically stated in this
subpart, the definitions in part 101 of
this subchapter apply to this part.
§ 104.105 Applicability.
(a) This part applies to the owner or
operator of any:
(1) Mobile Offshore Drilling Unit
(MODU), cargo, or passenger vessel
subject to the International Convention for Safety of Life at Sea, 1974,
(SOLAS), Chapter XI–1 or Chapter XI–
2;

(2) Foreign cargo vessel greater than
100 gross register tons;
(3) Self-propelled U.S. cargo vessel
greater than 100 gross register tons
subject to 46 CFR subchapter I, except
commercial fishing vessels inspected
under 46 CFR part 105;
(4) Vessel subject to 46 CFR chapter
I, subchapter L;
(5) Passenger vessel subject to 46 CFR
chapter I, subchapter H;
(6) Passenger vessel certificated to
carry more than 150 passengers;
(7) Other passenger vessel carrying
more than 12 passengers, including at
least one passenger-for-hire, that is engaged on an international voyage;
(8) Barge subject to 46 CFR chapter I,
subchapters D or O;
(9) Barge carrying certain dangerous
cargo in bulk or barge that is subject
to 46 CFR Chapter I, subchapter I, that
is engaged on an international voyage.
(10) Tankship subject to 46 CFR chapter I, subchapters D or O; and
(11) Towing vessel greater than eight
meters in registered length that is engaged in towing a barge or barges subject to this part, except a towing vessel
that—
(i) Temporarily assists another vessel
engaged in towing a barge or barges
subject to this part;
(ii) Shifts a barge or barges subject
to this part at a facility or within a
fleeting facility;
(iii) Assists sections of a tow through
a lock; or
(iv) Provides emergency assistance.
(b) An owner or operator of any vessel not covered in paragraph (a) of this
section is subject to parts 101 through
103 of this subchapter.
(c) Foreign Vessels that have on
board a valid International Ship Security Certificate that certifies that the
verifications required by part A, Section 19.1, of the International Ship and
Port Facility Security (ISPS) Code (Incorporated by reference, see § 101.115 of
this subchapter) have been completed
will be deemed in compliance with this
part, except for §§ 104.240, 104.255,
104.292, and 104.295, as appropriate. This
includes ensuring that the vessel meets
the applicable requirements of SOLAS
Chapter XI–2 (Incorporated by reference, see § 101.115 of this subchapter)
and the ISPS Code, part A, having

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§ 104.106

33 CFR Ch. I (7–1–15 Edition)

taken into account the relevant provisions of the ISPS Code, part B, and
that the vessel is provided with an approved security plan.
(d) The TWIC requirements found in
this part do not apply to foreign vessels.
(e) The TWIC requirements found in
this part do not apply to mariners employed aboard vessels moored at U.S.
facilities only when they are working
immediately adjacent to their vessels
in the conduct of vessel activities.
(f) Except pursuant to international
treaty, convention, or agreement to
which the U.S. is a party, this part
does not apply to any foreign vessel
that is not destined for, or departing
from, a port or place subject to the jurisdiction of the U.S. and that is in:
(1) Innocent passage through the territorial sea of the U.S.; or
(2) Transit through the navigable waters of the U.S. that form a part of an
international strait.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003; USCG–
2004–18057, 69 FR 34925, June 23, 2004; USCG–
2004–19963, 70 FR 74669, Dec. 16, 2005; USCG–
2006–24196, 72 FR 3579, Jan. 25, 2007]

§ 104.106 Passenger access area.
(a) A ferry, passenger vessel, or
cruise ship may designate areas within
the vessel as passenger access areas.
(b) A passenger access area is a defined space, within the area over which
the owner or operator has implemented
security measures for access control, of
a ferry, passenger vessel, or cruise ship
that is open to passengers. It is not a
secure area and does not require a
TWIC for unescorted access.
(c) Passenger access areas may not
include any areas defined as restricted
areas in the VSP.

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[USCG–2006–24196, 72 FR 3579, Jan. 25, 2007, as
amended by USCG–2008–0179, 73 FR 35009,
June 19, 2008]

§ 104.107 Employee access area.
(a) A ferry or passenger vessel, excluding cruise ships, may designate
areas within the vessel as employee access areas.
(b) An employee access area is a defined space, within the area over which
the owner or operator has implemented
security measures for access control, of

a ferry or passenger vessel that is open
only to employees and not to passengers. It is not a secure area and does
not require a TWIC for unescorted access.
(c) Employee access areas may not
include any areas defined as restricted
areas in the VSP.
[USCG–2006–24196, 72 FR 3579, Jan. 25, 2007]

§ 104.110 Exemptions.
(a) This part does not apply to warships, naval auxiliaries, or other vessels owned or operated by a government and used only on government
non-commercial service.
(b) A vessel is not subject to this part
while the vessel is laid up, dismantled,
or otherwise out of commission.
[USCG–2003–14749, 68 FR 60513, Oct. 22, 2003]

§ 104.115 Compliance.
(a) Vessel owners or operators must
ensure their vessels are operating in
compliance with this part.
(b) Owners or operators of foreign
vessels must comply with the following—
(1) Vessels subject to the International Convention for Safety of Life
at Sea, 1974, (SOLAS), Chapter XI–1 or
Chapter XI–2, must carry on board a
valid International Ship Security Certificate
that
certifies
that
the
verifications required by part A, Section 19.1, of the International Ship and
Port Facility Security (ISPS) Code (Incorporated by reference, see § 101.115 of
this subchapter) have been completed.
This includes ensuring that the vessel
meets the applicable requirements of
SOLAS Chapter XI–2 (Incorporated by
reference, see § 101.115 of this chapter)
and the ISPS Code, part A, having
taken into account the relevant provisions of the ISPS Code, part B, and
that the vessel is provided with an approved security plan.
(2) Vessels not subject to SOLAS
Chapter XI–1 or Chapter XI–2, may
comply with this part through an Alternative Security Program or a bilateral arrangement approved by the
Coast Guard. If not complying with an
approved Alternative Security Program or bilateral arrangement, these
vessels must meet the requirements of
paragraph (b) of this section.

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Coast Guard, DHS

§ 104.125

(c) Persons required to obtain a TWIC
under this part may enroll beginning
after the date set by the Coast Guard
in a Notice to be published in the FEDERAL REGISTER. This notice will be directed to all facilities and vessels within a specific COTP zone.
(d) By April 15, 2009, vessel owners or
operators subject to paragraph (b) of
this section and not excluded by
§ 104.105(d) of this part must be operating in accordance with the TWIC provisions found within this part.

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[USCG–2003–14749, 68 FR 60513, Oct. 22, 2003,
as amended by USCG–2004–18057, 69 FR 34925,
June 23, 2004; USCG–2004–19963, 70 FR 74669,
Dec. 16, 2005; USCG–2006–25150, 71 FR 39208,
July 12, 2006; USCG–2006–24196, 72 FR 3579,
Jan. 25, 2007; 73 FR 25565, May 7, 2008]

§ 104.120 Compliance documentation.
(a) Each vessel owner or operator
subject to this part must ensure, on or
before July 1, 2004, that copies of the
following documents are carried on
board the vessel and are made available to the Coast Guard upon request:
(1) The approved Vessel Security
Plan (VSP) and any approved revisions
or amendments thereto, and a letter of
approval from the Commanding Officer, Marine Safety Center (MSC);
(2) The VSP submitted for approval
and a current acknowledgement letter
from the Commanding Officer, MSC,
stating that the Coast Guard is currently reviewing the VSP submitted
for approval, and that the vessel may
continue to operate so long as the vessel remains in compliance with the
submitted plan;
(3) For vessels operating under a
Coast Guard-approved Alternative Security Program as provided in § 104.140,
a copy of the Alternative Security Program the vessel is using, including a
vessel specific security assessment report generated under the Alternative
Security Program, as specified in
§ 101.120(b)(3) of this subchapter, and a
letter signed by the vessel owner or operator, stating which Alternative Security Program the vessel is using and
certifying that the vessel is in full
compliance with that program; or
(4) For foreign vessels, subject to the
International Convention for Safety of
Life at Sea, 1974, (SOLAS), Chapter XI–
1 or Chapter XI–2, a valid International

Ship Security Certificate (ISSC) that
attests to the vessel’s compliance with
SOLAS Chapter XI–2 and the ISPS
Code, part A (Incorporated by reference, see § 101.115 of this subchapter)
and is issued in accordance with the
ISPS Code, part A, section 19. As stated in Section 9.4 of the ISPS Code, part
A requires that, in order for the ISSC
to be issued, the provisions of part B of
the ISPS Code need to be taken into
account.
(b) Each owner or operator of an unmanned vessel subject to this part
must maintain the documentation described in paragraphs (a)(1), (2), or (3)
of this section. The letter required by
each of those paragraphs must be carried on board the vessel. The plan or
program required by each of those
paragraphs must not be carried on
board the vessel, but must be maintained in a secure location. During
scheduled inspections, the plan or program must be made available to the
Coast Guard upon request.
(c) Each vessel owner or operator
who designates a passenger or employee access area (as those terms are
defined in §§ 104.106 and 104.107 of this
part) on their vessel must keep on
board the vessel with their approved
VSP a clear, visual representation
(such as a vessel schematic) of where
those designated areas fall. This need
not be submitted to the Coast Guard
for approval until incorporated into
the VSP at the next VSP submittal (either renewal or amendment), but must
be made available to the Coast Guard
upon request.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003; USCG–
2004–18057, 69 FR 34925, June 23, 2004; USCG–
2006–24196, 72 FR 3579, Jan. 25, 2007]

§ 104.125

Noncompliance.

When a vessel must temporarily deviate from the requirements of this part,
the vessel owner or operator must notify the cognizant COTP, and either
suspend operations or request and receive permission from the COTP to
continue operating.
[USCG–2003–14749, 68 FR 60513, Oct. 22, 2003]

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§ 104.130
§ 104.130

33 CFR Ch. I (7–1–15 Edition)
Waivers.

Any vessel owner or operator may
apply for a waiver of any requirement
of this part that the owner or operator
considers unnecessary in light of the
nature or operating conditions of the
vessel. A request for a waiver must be
submitted in writing with justification
to the Commandant (CG–5P), Attn: Assistant Commandant for Prevention
Policy, U.S. Coast Guard Stop 7501, 2703
Martin Luther King Jr. Avenue SE.,
Washington, DC 20593–7501. The Commandant (CG-5P) may require the vessel owner or operator to provide additional data for determining the validity of the requested waiver. The Commandant (CG-5P) may grant, in writing, a waiver with or without conditions only if the waiver will not reduce
the overall security of the vessel, its
passengers, its crew, or its cargo, or facilities or ports that the vessel may
visit.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended by USCG–2008–0179, 73 FR 35009,
June 19, 2008; USCG–2010–0351, 75 FR 36282,
June 25, 2010; USCG–2013–0397, 78 FR 39173,
July 1, 2013; USCG–2014–0410, 79 FR 38432,
July 7, 2014]

§ 104.135

Equivalents.

For any measure required by this
part, the vessel owner or operator may
propose an equivalent as provided in
§ 101.130 of this subchapter.
§ 104.140 Alternative
grams.

Security

Pro-

A vessel owner or operator may use
an Alternative Security Program as
approved under § 101.120 of this subchapter if:
(a) The Alternative Security Program is appropriate to that class of
vessel;
(b) The vessel is not subject to the
International Convention for Safety of
Life at Sea, 1974; and
(c) The Alternative Security Program is implemented in its entirety.

lpowell on DSK54DXVN1OFR with $$_JOB

[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003]

§ 104.145 Maritime Security (MARSEC)
Directive.
Each vessel owner or operator subject to this part must comply with any

instructions contained in a MARSEC
Directive issued under § 101.405 of this
subchapter.
§ 104.150 Right to appeal.
Any person directly affected by a decision or action taken under this part,
by or on behalf of the Coast Guard,
may appeal as described in § 101.420 of
this subchapter.

Subpart B—Vessel Security
Requirements
§ 104.200 Owner or operator.
(a) Each vessel owner or operator
must ensure that the vessel operates in
compliance with the requirements of
this part.
(b) For each vessel, the vessel owner
or operator must:
(1) Define the security organizational
structure for each vessel and provide
all personnel exercising security duties
or responsibilities within that structure with the support needed to fulfill
security obligations;
(2) Designate, in writing, by name or
title, a Company Security Officer
(CSO), a Vessel Security Officer (VSO)
for each vessel, and identify how those
officers can be contacted at any time;
(3) Ensure personnel receive training,
drills, and exercises enabling them to
perform their assigned security duties;
(4) Inform vessel personnel of their
responsibility to apply for and maintain a TWIC, including the deadlines
and methods for such applications, and
of their obligation to inform TSA of
any event that would render them ineligible for a TWIC, or which would invalidate their existing TWIC;
(5) Ensure vessel security records are
kept;
(6) Ensure that adequate coordination of security issues takes place between vessels and facilities; this includes the execution of a Declaration
of Security (DoS);
(7) Ensure coordination of shore
leave, transit, or crew change-out for
vessel personnel, as well as access
through the facility of visitors to the
vessel (including representatives of
seafarers’ welfare and labor organizations), with facility operators in advance of a vessel’s arrival. Vessel owners or operators may refer to treaties

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lpowell on DSK54DXVN1OFR with $$_JOB

Coast Guard, DHS

§ 104.205

of friendship, commerce, and navigation between the U.S. and other nations in coordinating such leave;
(8) Ensure security communication is
readily available;
(9) Ensure coordination with and implementation of changes in Maritime
Security (MARSEC) Level;
(10) Ensure that security systems and
equipment are installed and maintained;
(11) Ensure that vessel access, including the embarkation of persons and
their effects, is controlled;
(12) Ensure that TWIC procedures are
implemented as set forth in this part,
including;
(i) Ensuring that only individuals
who hold a TWIC and are authorized to
be in secure areas are permitted to escort;
(ii) Identifying what action is to be
taken by an escort, or other authorized
individual, should individuals under escort engage in activities other than
those for which escorted access was
granted; and
(iii) Notifying vessel employees, and
passengers if applicable, of what parts
of the vessel are secure areas, employee access areas, and passenger access areas, as applicable, and ensuring
such areas are clearly marked.
(13) Ensure that restricted areas are
controlled and TWIC provisions are coordinated, if applied to such restricted
areas;
(14) Ensure that protocols consistent
with § 104.265(c) of this part, for dealing
with individuals requiring access who
report a lost, damaged, or stolen TWIC,
or who have applied for and not yet received a TWIC, are in place;
(15) Ensure that cargo and vessel
stores and bunkers are handled in compliance with this part;
(16) Ensure restricted areas, deck
areas, and areas surrounding the vessel
are monitored;
(17) Provide the Master, or for vessels
on domestic routes only, the CSO, with
the following information:
(i) Parties responsible for appointing
vessel personnel, such as vessel management companies, manning agents,
contractors, concessionaires (for example, retail sales outlets, casinos, etc.);
(ii) Parties responsible for deciding
the employment of the vessel, includ-

ing time or bareboat charters or any
other entity acting in such capacity;
and
(iii) In cases when the vessel is employed under the terms of a charter
party, the contract details of those
documents, including time or voyage
charters; and
(18) Give particular consideration to
the convenience, comfort, and personal
privacy of vessel personnel and their
ability to maintain their effectiveness
over long periods; and
(19) If applicable, ensure that protocols consistent with § 104.267 of this
part, for dealing with newly hired employees who have applied for and not
yet received a TWIC, are in place.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended by USCG–2003–14749, 68 FR 60513,
Oct. 22, 2003; USCG–2006–24196, 72 FR 3579,
Jan. 25, 2007; USCG–2013–0397, 78 FR 39173,
July 1, 2013]

§ 104.205 Master.
(a) Nothing in this part is intended to
permit the Master to be constrained by
the Company, the vessel owner or operator, or any other person, from taking
or executing any decision which, in the
professional judgment of the Master, is
necessary to maintain the safety and
security of the vessel. This includes denial of access to persons—except those
identified as duly authorized by the
cognizant government authority—or
their effects, and refusal to load cargo,
including containers or other closed
cargo transport units.
(b) If, in the professional judgment of
the Master, a conflict between any
safety and security requirements applicable to the vessel arises during its operations, the Master may give precedence to measures intended to maintain the safety of the vessel, and take
such temporary security measures as
seem best under all circumstances. In
such cases:
(1) The Master must, as soon as practicable, inform the nearest COTP. If
the vessel is on a foreign voyage, the
Master must promptly inform the
Coast Guard via the NRC at 1–800–424–
8802, direct telephone at 202–267–2675;
Fax: 202–267–1322, TDD at 202–267–4477,
or
E-mail
at
[email protected] and if subject to the
jurisdiction of a foreign government,

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§ 104.210

33 CFR Ch. I (7–1–15 Edition)

the relevant maritime authority of
that foreign government;
(2) The temporary security measures
must, to the highest possible degree, be
commensurate with the prevailing
Maritime Security (MARSEC) Level;
and
(3) The owner or operator must ensure that such conflicts are resolved to
the satisfaction of the cognizant COTP,
or for vessels on international voyages,
the Commandant (CG-5P), and that the
possibility of recurrence is minimized.

lpowell on DSK54DXVN1OFR with $$_JOB

[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003; USCG–
2006–25150, 71 FR 39208, July 12, 2006; USCG–
2008–0179, 73 FR 35009, June 19, 2008; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

§ 104.210 Company Security Officer
(CSO).
(a) General. (1) Each vessel owner or
operator must designate in writing a
CSO.
(2) A vessel owner or operator may
designate a single CSO for all its vessels to which this part applies, or may
designate more than one CSO, in which
case the owner or operator must clearly identify the vessels for which each
CSO is responsible.
(3) A CSO may perform other duties
within the owner or operator’s organization, including the duties of a Vessel
Security Officer, provided he or she is
able to perform the duties and responsibilities required of a CSO.
(4) The CSO may delegate duties required by this part, but remains responsible for the performance of those
duties.
(5) The CSO must maintain a TWIC.
(b) Qualifications. (1) The CSO must
have general knowledge, through training or equivalent job experience, in the
following:
(i) Security administration and organization of the company’s vessel(s);
(ii) Vessel, facility, and port operations relevant to that industry;
(iii) Vessel and facility security
measures, including the meaning and
the consequential requirements of the
different Maritime Security (MARSEC)
Levels;
(iv) Emergency preparedness and response and contingency planning;
(v) Security equipment and systems
and their operational limitations;

(vi) Methods of conducting audits, inspection and control and monitoring
techniques; and
(vii) Techniques for security training
and education, including security
measures and procedures.
(2) In addition to knowledge and
training in paragraph (b)(1) of this section, the CSO must have general
knowledge through training or equivalent job experience in the following, as
appropriate:
(i) Relevant international conventions, codes, and recommendations;
(ii) Relevant government legislation
and regulations;
(iii) Responsibilities and functions of
other security organizations;
(iv) Methodology of Vessel Security
Assessment;
(v) Methods of vessel security surveys and inspections;
(vi) Instruction techniques for security training and education, including
security measures and procedures;
(vii) Handling sensitive security information and security related communications;
(viii) Knowledge of current security
threats and patterns;
(ix) Recognition and detection of
dangerous substances and devices;
(x) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(xi) Techniques used to circumvent
security measures;
(xii) Methods of physical screening
and non-intrusive inspections;
(xiii) Security drills and exercises,
including drills and exercises with facilities; and
(xiv) Assessment of security drills
and exercises.
(xv) Knowledge of TWIC requirements
(c) Responsibilities. In addition to
those responsibilities and duties specified elsewhere in this part, the CSO
must, for each vessel for which he or
she has been designated:
(1) Keep the vessel apprised of potential threats or other information relevant to its security;
(2) Ensure a Vessel Security Assessment (VSA) is carried out;
(3) Ensure a Vessel Security Plan
(VSP) is developed, approved, and
maintained;

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Coast Guard, DHS

§ 104.215

(4) Ensure the VSP is modified when
necessary;
(5) Ensure vessel security activities
are audited;
(6) Arrange for Coast Guard inspections under 46 CFR part 2;
(7) Ensure the timely or prompt correction of problems identified by audits
or inspections;
(8) Enhance security awareness and
vigilance within the owner’s or operator’s organization;
(9) Ensure relevant personnel receive
adequate security training;
(10) Ensure communication and cooperation between the vessel and the
port and facilities with which the vessel interfaces;
(11) Ensure consistency between security requirements and safety requirements;
(12) Ensure that when sister-vessel or
fleet security plans are used, the plan
for each vessel reflects the vessel-specific information accurately;
(13) Ensure compliance with an Alternative Security Program or equivalents approved under this subchapter,
if appropriate; and
(14) Ensure security measures give
particular consideration to the convenience, comfort, and personal privacy of
vessel personnel and their ability to
maintain their effectiveness over long
periods.
(15) Ensure the TWIC program is
being properly implemented.

lpowell on DSK54DXVN1OFR with $$_JOB

[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3580, Jan. 25, 2007]

§ 104.215 Vessel Security Officer (VSO).
(a) General. (1) A VSO may perform
other duties within the owner’s or operator’s organization, provided he or
she is able to perform the duties and
responsibilities required of the VSO for
each such vessel.
(2) For manned vessels, the VSO
must be the Master or a member of the
crew.
(3) For unmanned vessels, the VSO
must be an employee of the company,
and the same person may serve as the
VSO for more than one unmanned vessel. If a person serves as the VSO for
more than one unmanned vessel, the
name of each unmanned vessel for
which he or she is the VSO must be

listed in the Vessel Security Plan
(VSP).
(4) The VSO of any unmanned barge
and the VSO of any towing vessel
interfacing with the barge must coordinate and ensure the implementation of
security measures applicable to both
vessels during the period of their interface.
(5) The VSO may assign security duties to other vessel personnel; however,
the VSO remains responsible for these
duties.
(6) The VSO must maintain a TWIC.
(b) Qualifications. The VSO must have
general knowledge, through training or
equivalent job experience, in the following:
(1) Those items listed in § 104.210
(b)(1) and (b)(2) of this part;
(2) Vessel layout;
(3) The VSP and related procedures,
including
scenario-based
response
training;
(4) Crowd management and control
techniques;
(5) Operations of security equipment
and systems; and
(6) Testing and calibration of security equipment and systems, and their
maintenance while at sea.
(7) TWIC
(c) Certification required. After July 1,
2009, persons performing duties as VSO
on-board a seagoing vessel subject to
the
International
Convention
on
Standards of Training, Certification
and Watchkeeping for Seafarers, 1978,
as amended, must hold a valid Coast
Guard-issued credential with a Vessel
Security Officer endorsement. The
Coast Guard will issue this endorsement only if the person meets the requirements in paragraph (d) of this section. This endorsement serves as proof
that the person meets the ship security
officer requirements of Regulation VI/5
of the STCW.
(d) Requirements for Coast Guard Endorsement: (1) To qualify for a VSO endorsement, a person must:
(i) Be at least 18 years of age;
(ii) Be able to speak and understand
the English language as would be relevant to the duties of a VSO;
(iii) Hold any valid Coast Guardissued credential under the regulations
specified in 46 CFR Subchapter B;

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lpowell on DSK54DXVN1OFR with $$_JOB

§ 104.215

33 CFR Ch. I (7–1–15 Edition)

(iv) Successfully complete a Coast
Guard-accepted VSO course;
(v) Sea Service. Fulfill one of the following:
(A) Have approved sea service of not
less than 12 months on any vessel subject to § 104.105 of this part, credited in
accordance with 46 CFR 10.205(e), 10.211,
and/or 10.213; or
(B) Have approved sea service of not
less than 6 months on any vessel subject to § 104.105 of this part, credited in
accordance with 46 CFR 10.205(b), 10.211,
and/or 10.213, and have knowledge of
vessel operations.
(2) To qualify as a Coast Guard-accepted course a VSO course under paragraph (d)(1)(iv) of this section must require
candidates
to
demonstrate
knowledge, understanding, and proficiency in the following competencies:
(i) Maintaining and supervising the
implementation of a vessel security
plan;
(ii) Assessing security risk, threat
and vulnerability;
(iii) Undertaking regular inspections
of the vessel to ensure that appropriate
security measures are implemented
and maintained;
(iv) Ensuring that security equipment and systems, if any, are properly
operated, tested and calibrated;
(v) Encouraging security awareness
and vigilance; and
(vi) Ensuring compliance with the
TWIC program requirements.
(3) Candidates meeting the knowledge of vessel operations requirement
under paragraph (d)(1)(v)(B) of this section must provide evidence through
training or equivalent job experience,
in the following areas:
(i) Basic vessel layout and construction:
(A) Understanding layout, including
decks, rooms and space numbering; and
(B) Understanding of various vessel
types; and working knowledge of nautical terms and definitions, especially
those used to describe areas and parts
of a vessel.
(ii) Shipboard organization: familiarity with the various departments and
related functions, the titles used for
personnel, the roles and responsibilities of these persons, and the chain of
command.
(iii) Shipboard safety:

(A) Understanding of the importance
of creating and maintaining safe working and living conditions for passengers
and crew alike;
(B) General shipboard safety rules,
emergency alarms and signals, and responses to and reporting of accidents;
(C) Proper usage of protective equipment and general knowledge of procedures for entering enclosed spaces;
(D) Proper usage of lifesaving equipment and where such equipment is normally stowed aboard various vessel
types;
(E) Understanding of the operating
principles of and proper use of watertight and fire screen doors; and
(F) Understanding where it is safe to
smoke and not safe to smoke on board
and in port.
(iv) Protection of the marine environment:
(A) Understanding of vessel personnel’s responsibility to preserve the marine environment; and
(B) Basic working knowledge of pollution prevention regulations and techniques.
(v) Familiarity with key definitions,
terminology, and operational practices
employed in the maritime industry.
(4)(i) Persons meeting the criteria in
paragraphs (d)(4)(i)(A) and (B) of this
section prior to the effective date of
this regulation may successfully complete a refresher Coast Guard-accepted
VSO course no later than July 1, 2009,
to fulfill (d)(1)(iv) of this section. Persons must have:
(A) At least six months of VSO experience during the preceding three
years; or
(B) Successfully completed a VSO
course that was not approved by the
Maritime Administration (MARAD) on
behalf of the Coast Guard. Maritime
Administration approves VSO courses
under section 109 of the Maritime
Transportation Security Act of 2002,
Public Law 107–295.
(ii) To be eligible to take a refresher
Coast Guard-accepted VSO course, a
person must present to the course provider documentary evidence that he or
she meets the criteria in (d)(4)(i) of this
section.
(5) Vessel Security Officer courses
meeting the training requirements in

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lpowell on DSK54DXVN1OFR with $$_JOB

Coast Guard, DHS

§ 104.225

paragraphs (d)(2) and (d)(4) of this section are subject to Coast Guard acceptance under 46 CFR 10.309(a)(10)(ii).
(6) Vessel Security Officer courses
approved by MARAD on behalf of the
Coast Guard under section 109 of the
Maritime Transportation Security Act
of 2002, Public Law 107–295 will be accepted by the Coast Guard under 46
CFR 10.309 as meeting the requirements of paragraphs (d)(1)(iv) and (d)(2)
of this section.
(7) Persons who hold a valid ‘‘Vessel
Security Officer’’ endorsement may
serve as vessel or company personnel
with security duties (33 CFR 104.220),
and as all other vessel personnel (33
CFR 104.225), without meeting any additional requirements.
(e) Responsibilities. In addition to
those responsibilities and duties specified elsewhere in this part, the VSO
must, for each vessel for which he or
she has been designated:
(1) Regularly inspect the vessel to ensure that security measures are maintained;
(2) Ensure maintenance and supervision of the implementation of the
VSP, and any amendments to the VSP;
(3) Ensure the coordination and handling of cargo and vessel stores and
bunkers in compliance with this part;
(4) Propose modifications to the VSP
to the Company Security Officer (CSO);
(5) Ensure that any problems identified during audits or inspections are reported to the CSO, and promptly implement any corrective actions;
(6) Ensure security awareness and
vigilance on board the vessel;
(7) Ensure adequate security training
for vessel personnel;
(8) Ensure the reporting and recording of all security incidents;
(9) Ensure the coordinated implementation of the VSP with the CSO and
the relevant Facility Security Officer,
when applicable;
(10) Ensure security equipment is
properly operated, tested, calibrated
and maintained; and
(11) Ensure consistency between security requirements and the proper treatment of vessel personnel affected by
those requirements.

(12) Ensure TWIC programs are in
place and implemented appropriately.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3580, Jan. 25, 2007; USCG–
2008–0028, 73 FR 29070, May 20, 2008; 73 FR
34191, June 17, 2008]

§ 104.220 Company or vessel personnel
with security duties.
Company and vessel personnel responsible for security duties must
maintain a TWIC, and must have
knowledge, through training or equivalent job experience, in the following, as
appropriate:
(a) Knowledge of current security
threats and patterns;
(b) Recognition and detection of dangerous substances and devices;
(c) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(d) Techniques used to circumvent security measures;
(e) Crowd management and control
techniques;
(f) Security related communications;
(g) Knowledge of emergency procedures and contingency plans;
(h) Operation of security equipment
and systems;
(i) Testing and calibration of security
equipment and systems, and their
maintenance while at sea;
(j) Inspection, control, and monitoring techniques;
(k) Relevant provisions of the Vessel
Security Plan (VSP);
(l) Methods of physical screening of
persons, personal effects, baggage,
cargo, and vessel stores; and
(m) The meaning and the consequential requirements of the different Maritime Security (MARSEC) Levels.
(n) Relevant aspects of the TWIC program and how to carry them out.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended by USCG–2006–24196, 72 FR 3580,
Jan. 25, 2007]

§ 104.225 Security training for all
other vessel personnel.
All other vessel personnel, including
contractors, whether part-time, fulltime, temporary, or permanent, must
have knowledge of, through training or
equivalent job experience in the following, as appropriate:

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§ 104.230

33 CFR Ch. I (7–1–15 Edition)

(a) Relevant provisions of the Vessel
Security Plan (VSP);
(b) The meaning and the consequential requirements of the different Maritime Security (MARSEC) Levels, including emergency procedures and contingency plans;
(c) Recognition and detection of dangerous substances and devices;
(d) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security; and
(e) Techniques used to circumvent security measures.
(f) Relevant aspects of the TWIC program and how to carry them out.

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[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3580, Jan. 25, 2007]

§ 104.230 Drill and exercise requirements.
(a) General. (1) Drills and exercises
must test the proficiency of vessel personnel in assigned security duties at
all Maritime Security (MARSEC) Levels and the effective implementation of
the Vessel Security Plan (VSP). They
must enable the Vessel Security Officer (VSO) to identify any related security deficiencies that need to be addressed.
(2) A drill or exercise required by this
section may be satisfied with the implementation of security measures required by the Vessel Security Plan as
the result of an increase in the
MARSEC Level, provided the vessel reports attainment to the cognizant
COTP.
(b) Drills. (1) The VSO must ensure
that at least one security drill is conducted at least every 3 months, except
when a vessel is out of service due to
repairs or seasonal suspension of operation provided that in such cases a
drill must be conducted within one
week of the vessel’s reactivation. Security drills may be held in conjunction
with non-security drills where appropriate.
(2) Drills must test individual elements of the VSP, including response
to security threats and incidents.
Drills should take into account the
types of operations of the vessel, vessel
personnel changes, and other relevant
circumstances. Examples of drills include unauthorized entry to a re-

stricted area, response to alarms, and
notification of law enforcement authorities.
(3) If the vessel is moored at a facility on the date the facility has planned
to conduct any drills, the vessel may,
but is not required to, participate in
the facility’s scheduled drill.
(4) Drills must be conducted within
one week from whenever the percentage of vessel personnel with no prior
participation in a vessel security drill
on that vessel exceeds 25 percent.
(5) Not withstanding paragraph (b)(4)
of this section, vessels not subject to
SOLAS may conduct drills within 1
week from whenever the percentage of
vessel personnel with no prior participation in a vessel security drill on a
vessel of similar design and owned or
operated by the same company exceeds
25 percent.
(c) Exercises. (1) Exercises must be
conducted at least once each calendar
year, with no more than 18 months between exercises.
(2) Exercises may be:
(i) Full scale or live;
(ii) Tabletop simulation or seminar;
(iii) Combined with other appropriate
exercises; or
(iv) A combination of the elements in
paragraphs (c)(2)(i) through (iii) of this
section.
(3) Exercises may be vessel-specific
or part of a cooperative exercise program to exercise applicable facility and
vessel security plans or comprehensive
port exercises.
(4) Each exercise must test communication and notification procedures,
and elements of coordination, resource
availability, and response.
(5) Exercises are a full test of the security program and must include the
substantial and active participation of
relevant company and vessel security
personnel, and may include facility security personnel and government authorities depending on the scope and
the nature of the exercises.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60513, Oct. 22, 2003]

§ 104.235 Vessel
recordkeeping
requirements.
(a) Unless otherwise specified in this
section, the Vessel Security Officer
must keep records of the activities as

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lpowell on DSK54DXVN1OFR with $$_JOB

Coast Guard, DHS

§ 104.240

set out in paragraph (b) of this section
for at least 2 years and make them
available to the Coast Guard upon request.
(b) Records required by this section
may be kept in electronic format. If
kept in an electronic format, they
must be protected against unauthorized deletion, destruction, or amendment. The following records must be
kept:
(1) Training. For training under
§ 104.225, the date of each session, duration of session, a description of the
training, and a list of attendees;
(2) Drills and exercises. For each drill
or exercise, the date held, description
of drill or exercise, list of participants;
and any best practices or lessons
learned which may improve the Vessel
Security Plan (VSP);
(3) Incidents and breaches of security.
Date and time of occurrence, location
within the port, location within the
vessel, description of incident or
breaches, to whom it was reported, and
description of the response;
(4) Changes in Maritime Security
(MARSEC) Levels. Date and time of notification received, and time of compliance with additional requirements;
(5) Maintenance, calibration, and testing of security equipment. For each occurrence of maintenance, calibration,
and testing, the date and time, and the
specific security equipment involved;
(6) Security threats. Date and time of
occurrence, how the threat was communicated, who received or identified
the threat, description of threat, to
whom it was reported, and description
of the response;
(7) Declaration of Security (DoS).
Manned vessels must keep on board a
copy of the last 10 DoSs and a copy of
each continuing DoS for at least 90
days after the end of its effective period; and
(8) Annual audit of the VSP. For each
annual audit, a letter certified by the
Company Security Officer or the VSO
stating the date the audit was completed.
(c) Any records required by this part
must be protected from unauthorized
access or disclosure.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60514, Oct. 22, 2003]

§ 104.240 Maritime Security (MARSEC)
Level coordination and implementation.
(a) The vessel owner or operator
must ensure that, prior to entering a
port or visiting an Outer Continental
Shelf (OCS) facility, all measures are
taken that are specified in the Vessel
Security Plan (VSP) for compliance
with the MARSEC Level in effect for
the port or the OCS facility.
(b) When notified of an increase in
the MARSEC Level, the vessel owner
or operator must ensure:
(1) If a higher MARSEC Level is set
for the port in which the vessel is located or is about to enter, the vessel
complies, without undue delay, with all
measures specified in the VSP for compliance with that higher MARSEC
Level;
(2) The COTP is notified as required
by § 101.300(c) when compliance with
the higher MARSEC Level has been implemented;
(3) For vessels in port, that compliance with the higher MARSEC Level
has taken place within 12 hours of the
notification; and
(4) If a higher MARSEC Level is set
for the OCS facility with which the
vessel is interfacing or is about to
visit, the vessel complies, without
undue delay, with all measures specified in the VSP for compliance with
that higher MARSEC Level.
(c) For MARSEC Levels 2 and 3, the
Vessel Security Officer must brief all
vessel personnel of identified threats,
emphasize reporting procedures, and
stress the need for increased vigilance.
(d) An owner or operator whose vessel is not in compliance with the requirements of this section must inform
the COTP and obtain approval prior to
entering any port, prior to interfacing
with another vessel or with a facility
or to continuing operations.
(e) For MARSEC Level 3, in addition
to the requirements in this part, a vessel owner or operator may be required
to implement additional measures,
pursuant to 33 CFR part 6, 160 or 165, as
appropriate, which may include but are
not limited to:
(1) Arrangements to ensure that the
vessel can be towed or moved if deemed
necessary by the Coast Guard;
(2) Use of waterborne security patrol;

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§ 104.245

33 CFR Ch. I (7–1–15 Edition)

(3) Use of armed security personnel
to control access to the vessel and to
deter, to the maximum extent practical, a TSI; or
(4) Screening the vessel for the presence of dangerous substances and devices underwater or other threats.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60514, Oct. 22, 2003]

§ 104.245

Communications.

(a) The Vessel Security Officer must
have a means to effectively notify vessel personnel of changes in security
conditions on board the vessel.
(b) Communications systems and procedures must allow effective and continuous communication between the
vessel security personnel, facilities
interfacing with the vessel, vessels
interfacing with the vessel, and national or local authorities with security responsibilities.
(c) Communication systems and procedures must enable vessel personnel
to notify, in a timely manner, shore
side authorities or other vessels of a security threat or incident on board.
§ 104.250 Procedures for interfacing
with facilities and other vessels.
(a) The vessel owner or operator
must ensure that there are measures
for interfacing with facilities and other
vessels at all MARSEC Levels.
(b) For each U.S. flag vessel that
calls on foreign ports or facilities, the
vessel owner or operator must ensure
procedures for interfacing with those
ports and facilities are established.

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§ 104.255 Declaration
(DoS).

of

Security

(a) Each vessel owner or operator
must ensure procedures are established
for requesting a DoS and for handling
DoS requests from a facility or other
vessel.
(b) At MARSEC Level 1, the Master
or Vessel Security Officer (VSO), or
their designated representative, of any
cruise ship or manned vessel carrying
Certain Dangerous Cargoes, in bulk,
must complete and sign a DoS with the
VSO or Facility Security Officer
(FSO), or their designated representative, of any vessel or facility with
which it interfaces.

(1) For a vessel-to-facility interface,
prior to arrival of a vessel to a facility,
the FSO and Master, VSO, or their designated representatives must coordinate security needs and procedures,
and agree upon the contents of the DoS
for the period of time the vessel is at
the facility. Upon a vessel’s arrival to
a facility and prior to any passenger
embarkation or disembarkation or
cargo transfer operation, the FSO or
Master, VSO, or designated representatives must sign the written DoS.
(2) For a vessel engaging in a vesselto-vessel activity, prior to the activity,
the respective Masters, VSOs, or their
designated representatives must coordinate security needs and procedures,
and agree upon the contents of the DoS
for the period of the vessel-to-vessel
activity. Upon the vessel-to-vessel activity and prior to any passenger embarkation or disembarkation or cargo
transfer operation, the respective Masters, VSOs, or designated representatives must sign the written DoS.
(c) At MARSEC Levels 2 and 3, the
Master, VSO, or designated representative of any manned vessel required to
comply with this part must coordinate
security needs and procedures, and
agree upon the contents of the DoS for
the period of the vessel-to-vessel activity. Upon the vessel-to-vessel activity
and prior to any passenger embarkation or disembarkation or cargo
transfer operation, the respective Masters, VSOs, or designated representatives must sign the written DoS.
(d) At MARSEC Levels 2 and 3, the
Master, VSO, or designated representative of any manned vessel required to
comply with this part must coordinate
security needs and procedures, and
agree upon the contents of the DoS for
the period the vessel is at the facility.
Upon the vessel’s arrival to a facility
and prior to any passenger embarkation or disembarkation or cargo
transfer operation, the respective FSO
and Master, VSO, or designated representatives must sign the written
DoS.
(e) At MARSEC Levels 1 and 2, VSOs
of vessels that frequently interface
with the same facility may implement
a continuing DoS for multiple visits,
provided that:

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Coast Guard, DHS

§ 104.265

(1) The DoS is valid for the specific
MARSEC Level;
(2) The effective period at MARSEC
Level 1 does not exceed 90 days; and
(3) The effective period at MARSEC
Level 2 does not exceed 30 days.
(f) When the MARSEC Level increases beyond the level contained in
the DoS, the continuing DoS becomes
void and a new DoS must be signed and
implemented in accordance with this
section.
(g) The COTP may require at any
time, at any MARSEC Level, any
manned vessel subject to this part to
implement a DoS with the VSO or FSO
prior to any vessel-to-vessel activity or
vessel-to-facility interface when he or
she deems it necessary.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60514, Oct. 22, 2003]

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§ 104.260 Security systems and equipment maintenance.
(a) Security systems and equipment
must be in good working order and inspected, tested, calibrated and maintained according to the manufacturer’s
recommendation.
(b) The results of testing completed
under paragraph (a) of this section
shall be recorded in accordance with
§ 104.235. Any deficiencies shall be
promptly corrected.
(c) The Vessel Security Plan (VSP)
must include procedures for identifying
and responding to security system and
equipment failures or malfunctions.
§ 104.265 Security measures for access
control.
(a) General. The vessel owner or operator must ensure the implementation
of security measures to:
(1) Deter the unauthorized introduction of dangerous substances and devices, including any device intended to
damage or destroy persons, vessels, facilities, or ports;
(2) Secure dangerous substances and
devices that are authorized by the
owner or operator to be on board;
(3) Control access to the vessel; and
(4) Prevent an unescorted individual
from entering an area of the vessel
that is designated as a secure area unless the individual holds a duly issued
TWIC and is authorized to be in the
area.

(b) The vessel owner or operator
must ensure that the following are
specified:
(1) The locations providing means of
access to the vessel where access restrictions or prohibitions are applied
for each Maritime Security (MARSEC)
Level, including those points where
TWIC access control provisions will be
applied. ‘‘Means of access’’ include, but
are not limited, to all:
(i) Access ladders;
(ii) Access gangways;
(iii) Access ramps;
(iv) Access doors, side scuttles, windows, and ports;
(v) Mooring lines and anchor chains;
and
(vi) Cranes and hoisting gear;
(2) The identification of the types of
restriction or prohibition to be applied
and the means of enforcing them;
(3) The means used to establish the
identity of individuals not in possession of a TWIC and procedures for escorting, in accordance with § 101.515 of
this subchapter; and
(4) Procedures for identifying authorized and unauthorized persons at any
MARSEC level.
(c) The vessel owner or operator must
ensure that a TWIC program is implemented as follows:
(1) All persons seeking unescorted access to secure areas must present their
TWIC for inspection before being allowed unescorted access, in accordance
with § 101.514 of this subchapter. Inspection must include:
(i) A match of the photo on the TWIC
to the individual presenting the TWIC;
(ii) Verification that the TWIC has
not expired; and
(iii) A visual check of the various security features present on the card to
determine whether the TWIC has been
tampered with or forged.
(2) If an individual cannot present a
TWIC because it has been lost, damaged or stolen, and he or she has previously been granted unescorted access
to the vessel and is known to have had
a valid TWIC, the individual may be
given unescorted access to secure areas
for a period of no longer than seven
consecutive calendar days provided
that:

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lpowell on DSK54DXVN1OFR with $$_JOB

§ 104.265

33 CFR Ch. I (7–1–15 Edition)

(i) The individual has reported the
TWIC as lost, damaged, or stolen to
TSA as required in 49 CFR 1572.19(f);
(ii) The individual can present another identification credential that
meets the requirements of § 101.515 of
this subchapter; and
(iii) There are no other suspicious
circumstances associated with the individual’s claim of loss or theft.
(3) If an individual cannot present his
or her TWIC for any other reason than
outlined in paragraph (2) of this section, he or she may not be granted
unescorted access to the secure area.
The individual must be under escort, as
that term is defined in part 101 of this
subchapter, at all times when inside a
secure area.
(4) With the exception of persons
granted access according to paragraph
(2) of this section, all persons granted
unescorted access to secure areas of
the vessel must be able to produce his
or her TWIC upon request.
(5) There must be disciplinary measures in place to prevent fraud and
abuse.
(6) The vessel’s TWIC program should
be coordinated, when practicable, with
identification and TWIC access control
measures of facilities or other transportation conveyances that interface
with the vessel.
(d) If the vessel owner or operator
uses a separate identification system,
ensure that it complies and is coordinated with TWIC provisions in this
part.
(e) The vessel owner or operator must
establish in the approved VSP the frequency of application of any security
measures for access control, particularly if these security measures are applied on a random or occasional basis.
(f) MARSEC Level 1. The vessel owner
or operator must ensure security measures in this paragraph are implemented
to:
(1) Employ TWIC as set out in paragraph (c) of this section.
(2) Screen persons, baggage (including carry-on items), personal effects,
and vehicles for dangerous substances
and devices at the rate specified in the
approved VSP, except for governmentowned vehicles on official business
when government personnel present
identification credentials for entry;

(3) Conspicuously post signs that describe security measures currently in
effect and clearly state that:
(i) Boarding the vessel is deemed
valid consent to screening or inspection; and
(ii) Failure to consent or submit to
screening or inspection will result in
denial or revocation of authorization
to board;
(4) Check the identification of any
person not holding a TWIC and seeking
to board the vessel, including vessel
passengers, vendors, personnel duly authorized by the cognizant government
authorities, and visitors. This check
includes confirming the reason for
boarding by examining at least one of
the following:
(i) Joining instructions;
(ii) Passenger tickets;
(iii) Boarding passes;
(iv) Work orders, pilot orders, or surveyor orders;
(v) Government identification; or
(vi) Visitor badges issued in accordance with an identification system implemented under paragraph (d) of this
section.
(5) Deny or revoke a person’s authorization to be on board if the person is
unable or unwilling, upon the request
of vessel personnel or a law enforcement officer, to establish his or her
identity in accordance with this part
or to account for his or her presence on
board. Any such incident must be reported in compliance with this part;
(6) Deter unauthorized access to the
vessel;
(7) Identify access points that must
be secured or attended to deter unauthorized access;
(8) Lock or otherwise prevent access
to unattended spaces that adjoin areas
to which passengers and visitors have
access;
(9) Provide a designated area on
board, within the secure area, or in liaison with a facility, for conducting inspections and screening of people, baggage (including carry-on items), personal effects, vehicles and the vehicle’s
contents;
(10) Ensure vessel personnel are not
subjected to screening, of the person or
of personal effects, by other vessel personnel, unless security clearly requires
it;

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lpowell on DSK54DXVN1OFR with $$_JOB

Coast Guard, DHS

§ 104.267

(11) Conduct screening in a way that
takes into full account individual
human rights and preserves the individual’s basic human dignity;
(12) Ensure the screening of all unaccompanied baggage;
(13) Ensure checked persons and their
personal effects are segregated from
unchecked persons and their personal
effects;
(14) Ensure embarking passengers are
segregated from disembarking passengers;
(15) Ensure, in liaison with the facility, a defined percentage of vehicles to
be loaded aboard passenger vessels are
screened prior to loading at the rate
specified in the approved VSP;
(16) Ensure, in liaison with the facility, all unaccompanied vehicles to be
loaded on passenger vessels are
screened prior to loading; and
(17) Respond to the presence of unauthorized persons on board, including repelling unauthorized boarders.
(g) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the vessel owner or
operator must ensure the implementation of additional security measures, as
specified for MARSEC Level 2 in the
approved VSP. These additional security measures may include:
(1) Increasing the frequency and detail of screening of people, personal effects, and vehicles being embarked or
loaded onto the vessel as specified for
MARSEC Level 2 in the approved VSP,
except for government-owned vehicles
on official business when government
personnel present identification credentials for entry;
(2) X-ray screening of all unaccompanied baggage;
(3) Assigning additional personnel to
patrol deck areas during periods of reduced vessel operations to deter unauthorized access;
(4) Limiting the number of access
points to the vessel by closing and securing some access points;
(5) Denying access to visitors who do
not have a verified destination;
(6) Deterring waterside access to the
vessel, which may include, in liaison
with the facility, providing boat patrols; and

(7) Establishing a restricted area on
the shore side of the vessel, in close cooperation with the facility.
(h) MARSEC Level 3. In addition to
the security measures required for
MARSEC Level 1 and MARSEC Level 2,
the vessel owner or operator must ensure the implementation of additional
security measures, as specified for
MARSEC Level 3 in the approved VSP.
The additional security measures may
include:
(1) Screening all persons, baggage,
and personal effects for dangerous substances and devices;
(2) Performing one or more of the following on unaccompanied baggage:
(i) Screen unaccompanied baggage
more extensively, for example, xraying from two or more angles;
(ii) Prepare to restrict or suspend
handling unaccompanied baggage; or
(iii) Refuse to accept unaccompanied
baggage on board;
(3) Being prepared to cooperate with
responders and facilities;
(4) Limiting access to the vessel to a
single, controlled access point;
(5) Granting access to only those responding to the security incident or
threat thereof;
(6) Suspending embarkation and/or
disembarkation of personnel;
(7) Suspending cargo operations;
(8) Evacuating the vessel;
(9) Moving the vessel; or
(10) Preparing for a full or partial
search of the vessel.
[USCG–2006–24196, 72 FR 3580, Jan. 25, 2007]

§ 104.267 Security measures for newly
hired employees.
(a) Newly-hired vessel employees
may be granted entry to secure areas
of the vessel for up to 30 consecutive
calendar days prior to receiving their
TWIC provided all of the requirements
in paragraph (b) of this section are
met, and provided that the new hire is
accompanied by an individual with a
TWIC while within the secure areas of
the vessel. If TSA does not act upon a
TWIC application within 30 days, the
cognizant Coast Guard COTP may further extend access to secure areas for
another 30 days. The Coast Guard will
determine whether, in particular circumstances, certain practices meet the

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lpowell on DSK54DXVN1OFR with $$_JOB

§ 104.270

33 CFR Ch. I (7–1–15 Edition)

condition of a new hire being accompanied by another individual with a
TWIC. The Coast Guard will issue guidance for use in making these determinations.
(b) Newly-hired vessel employees
may be granted the access provided for
in paragraph (a) of this section only if:
(1) The new hire has applied for a
TWIC in accordance with 49 CFR part
1572 by completing the full enrollment
process, paying the user fee, and is not
currently engaged in a waiver or appeal
process. The vessel owner or operator
or Vessel Security Officer (VSO) must
have the new hire sign a statement affirming this, and must retain the
signed statement until the new hire receives a TWIC;
(2) The vessel owner or operator or
the VSO enters the following information on the new hire into the Coast
Guard’s Homeport website (http://homeport.uscg.mil):
(i) Full legal name, including middle
name if one exists;
(ii) Date of birth;
(iii) Social security number (optional);
(iv) Employer name and 24 hour contact information; and
(v) Date of TWIC enrollment;
(3) The new hire presents an identification credential that meets the requirements of § 101.515 of this subchapter;
(4) There are no other circumstances
that would cause reasonable suspicion
regarding the new hire’s ability to obtain a TWIC, and the vessel owner or
operator or VSO have not been informed by the cognizant COTP that the
new hire poses a security threat; and
(5) There would be an adverse impact
to vessel operations if the new hire is
not allowed access.
(c) This section does not apply to any
individual being hired as a Company
Security Officer (CSO) or VSO, or any
individual being hired to perform vessel security duties.
(d) The new hire may not begin working on board the vessel under the provisions of this section until the owner,
operator, or VSO receives notification,
via Homeport or some other means, the

new hire has passed an initial name
check.
[USCG–2006–24196, 72 FR 3581, Jan. 25, 2007, as
amended by USCG–2013–0397, 78 FR 39173,
July 1, 2013]

§ 104.270 Security measures for restricted areas.
(a) General. The vessel owner or operator must ensure the designation of restricted areas in order to:
(1) Prevent or deter unauthorized access;
(2) Protect persons authorized to be
on board;
(3) Protect the vessel;
(4) Protect sensitive security areas
within the vessel;
(5) Protect security and surveillance
equipment and systems; and
(6) Protect cargo and vessel stores
from tampering.
(b) Designation of Restricted Areas. The
vessel owner or operator must ensure
restricted areas are designated on
board the vessel, as specified in the approved plan. Restricted areas must include, as appropriate:
(1) Navigation bridge, machinery
spaces and other control stations;
(2) Spaces containing security and
surveillance equipment and systems
and their controls and lighting system
controls;
(3) Ventilation and air-conditioning
systems and other similar spaces;
(4) Spaces with access to potable
water tanks, pumps, or manifolds;
(5) Spaces containing dangerous
goods or hazardous substances;
(6) Spaces containing cargo pumps
and their controls;
(7) Cargo spaces and spaces containing vessel stores;
(8) Crew accommodations; and
(9) Any other spaces or areas vital to
the security of the vessel.
(c) The vessel owner or operator must
ensure that security measures and policies are established to:
(1) Identify which vessel personnel
are authorized to have access;
(2) Determine which persons other
than vessel personnel are authorized to
have access;
(3) Determine the conditions under
which that access may take place;
(4) Define the extent of any restricted
area;

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Coast Guard, DHS

§ 104.275

(5) Define the times when access restrictions apply; and
(6) Clearly mark all restricted areas
and indicate that access to the area is
restricted and that unauthorized presence within the area constitutes a
breach of security.
(d) Maritime Security (MARSEC) Level
1. The vessel owner or operator must
ensure the implementation of security
measures to prevent unauthorized access or activities within the area.
These security measures may include:
(1) Locking or securing access points;
(2) Monitoring and using surveillance
equipment;
(3) Using guards or patrols; and
(4) Using automatic intrusion detection devices, which if used must activate an audible and/or visual alarm at
a location that is continuously attended or monitored, to alert vessel
personnel to unauthorized access.
(e) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the vessel owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in the approved VSP. These additional
security measures may include:
(1) Increasing the frequency and intensity of monitoring and access controls on existing restricted access
areas;
(2) Restricting access to areas adjacent to access points;
(3) Providing continuous monitoring
of each area, using surveillance equipment; and
(4) Dedicating additional personnel
to guard or patrol each area.
(f) MARSEC Level 3. In addition to the
security
measures
required
for
MARSEC Level 1 and MARSEC Level 2,
at MARSEC Level 3, the vessel owner
or operator must ensure the implementation of additional security measures,
as specified for MARSEC Level 3 in the
approved VSP. These additional security measures may include:
(1) Restricting access to additional
areas; and
(2) Searching restricted areas as part
of a security sweep of the vessel.

§ 104.275 Security measures for handling cargo.
(a) General. The vessel owner or operator must ensure that security measures relating to cargo handling, some
of which may have to be applied in liaison with the facility or another vessel,
are specified in order to:
(1) Deter tampering;
(2) Prevent cargo that is not meant
for carriage from being accepted and
stored on board the vessel;
(3) Identify cargo that is approved for
loading onto the vessel;
(4) Include inventory control procedures at access points to the vessel;
and
(5) When there are regular or repeated cargo operations with the same
shipper, coordinate security measures
with the shipper or other responsible
party in accordance with an established agreement and procedures.
(b) Maritime Security (MARSEC) Level
1. At MARSEC Level 1, the vessel
owner or operator must ensure the implementation of measures to:
(1) Unless unsafe to do so, routinely
check cargo and cargo spaces prior to
and during cargo handling for evidence
of tampering;
(2) Check that cargo to be loaded
matches the cargo documentation, or
that cargo markings or container numbers match the information provided
with shipping documents;
(3) Ensure, in liaison with the facility, that vehicles to be loaded on board
car carriers, RO-RO, and passenger
ships are subjected to screening prior
to loading, in accordance with the frequency required in the VSP; and
(4) Check, in liaison with the facility,
seals or other methods used to prevent
tampering.
(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the vessel owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in the approved Vessel Security Plan
(VSP). These additional security measures may include:
(1) Increasing the frequency and detail of checking cargo and cargo spaces
for evidence of tampering;

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§ 104.280

33 CFR Ch. I (7–1–15 Edition)

(2) Intensifying checks to ensure that
only the intended cargo, container, or
other cargo transport units are loaded;
(3) Intensifying screening of vehicles
to be loaded on car-carriers, RO-RO,
and passenger vessels;
(4) In liaison with the facility, increasing frequency and detail in checking seals or other methods used to prevent tampering;
(5) Increasing the frequency and intensity of visual and physical inspections; or
(6) Coordinating enhanced security
measures with the shipper or other responsible party in accordance with an
established agreement and procedures.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the vessel owner or
operator must ensure the implementation of additional security measures, as
specified for MARSEC Level 3 in the
approved VSP. These additional security measures may include:
(1) Suspending loading or unloading
of cargo;
(2) Being prepared to cooperate with
responders, facilities, and other vessels; or
(3) Verifying the inventory and location of any hazardous materials carried
on board.

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[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60514, Oct. 22, 2003]

§ 104.280 Security measures for delivery of vessel stores and bunkers.
(a) General. The vessel owner or operator must ensure that security measures relating to the delivery of vessel
stores and bunkers are implemented to:
(1) Check vessel stores for package
integrity;
(2) Prevent vessel stores from being
accepted without inspection;
(3) Deter tampering; and
(4) Prevent vessel stores and bunkers
from being accepted unless ordered.
For vessels that routinely use a facility, a vessel owner or operator may establish and implement standing arrangements between the vessel, its suppliers, and a facility regarding notification and the timing of deliveries and
their documentation.
(b) Maritime Security (MARSEC) Level
1. At MARSEC Level 1, the vessel

owner or operator must ensure the implementation of measures to:
(1) Check vessel stores before being
accepted;
(2) Check that vessel stores and
bunkers match the order prior to being
brought on board or being bunkered;
and
(3) Ensure that vessel stores are controlled or immediately and securely
stowed following delivery.
(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the vessel owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in the approved Vessel Security Plan
(VSP). These additional security measures may include:
(1) Intensifying inspection of the vessel stores during delivery; or
(2) Checking vessel stores prior to receiving them on board.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the vessel owner or
operator must ensure the implementation of additional security measures, as
specified for MARSEC Level 3 in the
approved VSP. These additional security measures may include:
(1) Checking all vessel stores more
extensively;
(2) Restricting or suspending delivery
of vessel stores and bunkers; or
(3) Refusing to accept vessel stores
on board.
§ 104.285 Security measures for monitoring.
(a) General. (1) The vessel owner or
operator must ensure the implementation of security measures and have the
capability to continuously monitor,
through a combination of lighting,
watchkeepers, security guards, deck
watches, waterborne patrols, automatic intrusion-detection devices, or
surveillance equipment, as specified in
their approved Vessel Security Plan
(VSP), the—
(i) Vessel;
(ii) Restricted areas on board the vessel; and
(iii) Area surrounding the vessel.

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lpowell on DSK54DXVN1OFR with $$_JOB

Coast Guard, DHS

§ 104.290

(2) The following must be considered
when establishing the appropriate level
and location of lighting:
(i) Vessel personnel should be able to
detect activities on and around the vessel, on both the shore side and the waterside;
(ii) Coverage should facilitate personnel identification at access points;
(iii) Coverage may be provided
through coordination with the port or
facility; and
(iv) Lighting effects, such as glare,
and its impact on safety, navigation,
and other security activities.
(b) Maritime Security (MARSEC) Level
1. At MARSEC Level 1, the vessel
owner or operator must ensure the implementation of security measures,
which may be done in coordination
with a facility, to:
(1) Monitor the vessel, particularly
vessel access points and restricted
areas;
(2) Be able to conduct emergency
searches of the vessel;
(3) Ensure that equipment or system
failures or malfunctions are identified
and corrected;
(4) Ensure that any automatic intrusion detection device sets off an audible or visual alarm, or both, at a location that is continuously attended or
monitored;
(5) Light deck and vessel access
points during the period between sunset and sunrise and periods of limited
visibility sufficiently to allow visual
identification of persons seeking access
to the vessel; and
(6) Use maximum available lighting
while underway, during the period between sunset and sunrise, consistent
with safety and international regulations.
(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the vessel owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in the approved VSP. These additional
security measures may include:
(1) Increasing the frequency and detail of security patrols;
(2) Increasing the coverage and intensity of lighting, alone or in coordination with the facility;

(3) Using or increasing the use of security and surveillance equipment;
(4) Assigning additional personnel as
security lookouts;
(5) Coordinating with boat patrols,
when provided; and
(6) Coordinating with shoreside foot
or vehicle patrols, when provided.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the vessel owner or
operator must ensure the implementation of additional security measures, as
specified for MARSEC Level 3 in the
approved VSP. These additional security measures may include:
(1) Cooperating with responders and
facilities;
(2) Switching on all lights;
(3) Illuminating the vicinity of the
vessel;
(4) Switching on all surveillance
equipment capable of recording activities on, or in the vicinity of, the vessel;
(5) Maximizing the length of time
such surveillance equipment can continue to record;
(6) Preparing for underwater inspection of the hull; and
(7) Initiating measures, including the
slow revolution of the vessel’s propellers, if practicable, to deter underwater
access to the hull of the vessel.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60514, Oct. 22, 2003]

§ 104.290 Security incident procedures.
For
each
Maritime
Security
(MARSEC) Level, the vessel owner or
operator must ensure the Vessel Security Officer (VSO) and vessel security
personnel are able to:
(a) Respond to security threats or
breaches of security and maintain critical vessel and vessel-to-facility interface operations, to include:
(1) Prohibiting entry into affected
area;
(2) Denying access to the vessel, except to those responding to the emergency;
(3) Implementing MARSEC Level 3
security measures throughout the vessel;
(4) Stopping cargo-handling operations; and
(5) Notifying shoreside authorities or
other vessels of the emergency;

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§ 104.292

33 CFR Ch. I (7–1–15 Edition)

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(b) Evacuating the vessel in case of
security threats or breaches of security;
(c) Reporting security incidents as
required in § 101.305;
(d) Briefing all vessel personnel on
possible threats and the need for vigilance, soliciting their assistance in reporting suspicious persons, objects, or
activities; and
(e) Securing non-critical operations
in order to focus response on critical
operations.
§ 104.292 Additional
requirements—
passenger vessels and ferries.
(a)
At
all
Maritime
Security
(MARSEC) Levels, the vessel owner or
operator must ensure security sweeps
are performed, prior to getting underway, after any period the vessel was
unattended.
(b) As an alternative to the identification checks and passenger screening requirements in § 104.265 (f)(2),
(f)(4), and (f)(9), the owner or operator
of a passenger vessel or ferry may ensure security measures are implemented that include:
(1) Searching selected areas prior to
embarking passengers and prior to sailing; and
(2) Implementing one or more of the
following:
(i) Performing routine security patrols;
(ii) Providing additional closed-circuit television to monitor passenger
areas; or
(iii) Securing all non-passenger
areas.
(c) Passenger vessels certificated to
carry more than 2000 passengers, working in coordination with the terminal,
may be subject to additional vehicle
screening requirements in accordance
with a MARSEC Directive or other orders issued by the Coast Guard.
(d) Owners and operators of passenger
vessels and ferries covered by this part
that use public access facilities, as that
term is defined in § 101.105 of this subchapter, must address security measures for the interface of the vessel and
the public access facility, in accordance with the appropriate Area Maritime Security Plan.
(e) At MARSEC Level 2, a vessel
owner or operator must ensure, in addi-

tion to MARSEC Level 1 measures, the
implementation of the following:
(1) Search selected areas prior to embarking passengers and prior to sailing;
(2) Passenger vessels certificated to
carry less than 2000 passengers, working in coordination with the terminal,
may be subject to additional vehicle
screening requirements in accordance
with a MARSEC Directive or other orders issued by the Coast Guard; and
(3) As an alternative to the identification and screening requirements in
§ 104.265(f)(4) and (g)(1), intensify patrols, security sweeps and monitoring
identified in paragraph (b) of this section.
(f) At MARSEC Level 3, a vessel
owner or operator may, in addition to
MARSEC Levels 1 and 2 measures, as
an alternative to the identification
checks and passenger screening requirements in § 104.265(f)(4) and (h)(1),
ensure that random armed security patrols are conducted, which need not
consist of vessel personnel.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60514, Oct. 22, 2003; USCG–
2008–0179, 73 FR 35009, June 19, 2008]

§ 104.295 Additional
requirements—
cruise ships.
(a) At all MARSEC Levels, the owner
or operator of a cruise ship must ensure the following:
(1) Screen all persons, baggage, and
personal effects for dangerous substances and devices;
(2) Check the identification of all
persons seeking to board the vessel;
this check includes confirming the reason for boarding by examining joining
instructions, passenger tickets, boarding passes, government identification
or visitor badges, or work orders;
(3) Perform security patrols; and
(4) Search selected areas prior to embarking passengers and prior to sailing.
(b) At MARSEC Level 3, the owner or
operator of a cruise ship must ensure
that security briefs to passengers
about the specific threat are provided.
§ 104.297 Additional
requirements—
vessels on international voyages.
(a) An owner or operator of a U.S.
flag vessel, which is subject to the
International Convention for Safety of
Life at Sea, 1974, (SOLAS), must be in

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Coast Guard, DHS

§ 104.305

compliance with the applicable requirements of SOLAS Chapter XI–1,
SOLAS Chapter XI–2 and the ISPS
Code, part A (Incorporated by reference, see § 101.115 of this subchapter).
(b) Owners or operators of U.S. flag
vessels that are required to comply
with SOLAS, must ensure an International Ship Security Certificate
(ISSC) as provided in 46 CFR § 2.01–25 is
obtained for the vessel. This certificate
must be issued by the Coast Guard.
(c) Owners or operators of vessels
that require an ISSC in paragraph (b)
of this section must request an inspection in writing, at least 30 days prior to
the desired inspection date to the Officer in Charge, Marine Inspection for
the Marine Inspection Office or Sector
Office of the port where the vessel will
be inspected to verify compliance with
this part and applicable SOLAS requirements. The inspection must be
completed and the initial ISSC must be
issued on or before July 1, 2004.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60515, Oct. 22, 2003; USCG–
2006–25556, 72 FR 36328, July 2, 2007]

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Subpart C—Vessel Security
Assessment (VSA)
§ 104.300 General.
(a) The Vessel Security Assessment
(VSA) is a written document that is
based on the collection of background
information and the completion and
analysis of an on-scene survey.
(b) A single VSA may be performed
and applied to more than one vessel to
the extent that they share physical
characteristics and operations.
(c) Third parties may be used in any
aspect of the VSA if they have the appropriate skills and if the Company Security Officer (CSO) reviews and accepts their work.
(d) Those involved in a VSA should
be able to draw upon expert assistance
in the following areas:
(1) Knowledge of current security
threats and patterns;
(2) Recognition and detection of dangerous substances and devices;
(3) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(4) Techniques used to circumvent security measures;

(5) Methods used to cause a security
incident;
(6) Effects of dangerous substances
and devices on vessel structures and
equipment;
(7) Vessel security requirements;
(8) Vessel-to-vessel activity and vessel-to-facility interface business practices;
(9) Contingency planning, emergency
preparedness and response;
(10) Physical security requirements;
(11) Radio and telecommunications
systems, including computer systems
and networks;
(12) Marine engineering; and
(13) Vessel and port operations.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60515, Oct. 22, 2003]

§ 104.305 Vessel Security Assessment
(VSA) requirements.
(a) Background. The vessel owner or
operator must ensure that the following background information is provided to the person or persons who will
conduct the on-scene survey and assessment:
(1) General layout of the vessel, including the location of:
(i) Each actual or potential point of
access to the vessel and its function;
(ii) Spaces that should have restricted access;
(iii) Essential maintenance equipment;
(iv) Cargo spaces and storage;
(v) Storage of unaccompanied baggage; and
(vi) Vessel stores;
(2) Threat assessments, including the
purpose and methodology of the assessment, for the area or areas in which
the vessel operates or at which passengers embark or disembark;
(3) The previous VSA, if any;
(4) Emergency and stand-by equipment available to maintain essential
services;
(5) Number of vessel personnel and
any existing security duties to which
they are assigned;
(6) Existing personnel training requirement practices of the vessel;
(7) Existing security and safety
equipment for the protection of personnel, visitors, passengers, and vessels
personnel;

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lpowell on DSK54DXVN1OFR with $$_JOB

§ 104.305

33 CFR Ch. I (7–1–15 Edition)

(8) Escape and evacuation routes and
assembly stations that have to be
maintained to ensure the orderly and
safe emergency evacuation of the vessel;
(9) Existing agreements with private
security companies providing waterside or vessel security services; and
(10) Existing security measures and
procedures, including:
(i) Inspection and control procedures;
(ii) Identification systems;
(iii) Surveillance and monitoring
equipment;
(iv) Personnel identification documents;
(v) Communication systems;
(vi) Alarms;
(vii) Lighting;
(viii) Access control systems; and
(ix) Other security systems.
(b) On-scene survey. The vessel owner
or operator must ensure that an onscene survey of each vessel is conducted. The on-scene survey is to
verify or collect information required
in paragraph (a) of this section. It consists of an actual survey that examines
and evaluates existing vessel protective measures, procedures, and operations for:
(1) Ensuring performance of all security duties;
(2) Controlling access to the vessel,
through the use of identification systems or otherwise;
(3) Controlling the embarkation of
vessel personnel and other persons and
their effects, including personal effects
and baggage whether accompanied or
unaccompanied;
(4) Supervising the handling of cargo
and the delivery of vessel stores;
(5) Monitoring restricted areas to ensure that only authorized persons have
access;
(6) Monitoring deck areas and areas
surrounding the vessel; and
(7) The ready availability of security
communications,
information,
and
equipment.
(c) Analysis and recommendations. In
conducting the VSA, the Company Security Officer (CSO) must analyze the
vessel background information and the
on-scene survey, and while considering
the requirements of this part, provide
recommendations for the security
measures the vessel should include in

the Vessel Security Plan (VSP). This
includes but is not limited to the following:
(1) Restricted areas;
(2) Response procedures for fire or
other emergency conditions;
(3) Security supervision of vessel personnel, passengers, visitors, vendors,
repair technicians, dock workers, etc.;
(4) Frequency and effectiveness of security patrols;
(5) Access control systems, including
identification systems;
(6) Security communication systems
and procedures;
(7) Security doors, barriers, and
lighting;
(8) Any security and surveillance
equipment and systems;
(9) Possible security threats, including but not limited to:
(i) Damage to or destruction of the
vessel or an interfacing facility or vessel by dangerous substances and devices, arson, sabotage, or vandalism;
(ii) Hijacking or seizure of the vessel
or of persons on board;
(iii) Tampering with cargo, essential
vessel equipment or systems, or vessel
stores;
(iv) Unauthorized access or use, including presence of stowaways;
(v) Smuggling dangerous substances
and devices;
(vi) Use of the vessel to carry those
intending to cause a security incident
and/or their equipment;
(vii) Use of the vessel itself as a
weapon or as a means to cause damage
or destruction;
(viii) Attacks from seaward while at
berth or at anchor; and
(ix) Attacks while at sea; and
(10) Evaluating the potential of each
identified point of access, including
open weather decks, for use by individuals who might seek to breach security, whether or not those individuals
legitimately have access to the vessel.
(d) VSA report. (1) The vessel owner or
operator must ensure that a written
VSA report is prepared and included as
part of the VSP. The VSA report must
contain:
(i) A summary of how the on-scene
survey was conducted;
(ii) Existing security measures, procedures, and operations;

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lpowell on DSK54DXVN1OFR with $$_JOB

Coast Guard, DHS

§ 104.400

(iii) A description of each vulnerability found during the assessment;
(iv) A description of security countermeasures that could be used to address each vulnerability;
(v) A list of the key vessel operations
that are important to protect;
(vi) The likelihood of possible threats
to key vessel operations; and
(vii) A list of identified weaknesses,
including human factors, in the infrastructure, policies, and procedures of
the vessel.
(2) The VSA report must address the
following elements on board or within
the vessel:
(i) Physical security;
(ii) Structural integrity;
(iii) Personnel protection systems;
(iv) Procedural policies;
(v) Radio and telecommunication
systems, including computer systems
and networks; and
(vi) Other areas that may, if damaged
or used illicitly, pose a risk to people,
property, or operations on board the
vessel or within a facility.
(3) The VSA report must list the persons, activities, services, and operations that are important to protect,
in each of the following categories:
(i) Vessel personnel;
(ii) Passengers, visitors, vendors, repair technicians, facility personnel,
etc.;
(iii) Capacity to maintain safe navigation and emergency response;
(iv) Cargo, particularly dangerous
goods and hazardous substances;
(v) Vessel stores;
(vi) Any vessel security communication and surveillance systems; and
(vii) Any other vessel security systems, if any.
(4) The VSA report must account for
any vulnerabilities in the following
areas:
(i) Conflicts between safety and security measures;
(ii) Conflicts between vessel duties
and security assignments;
(iii) The impact of watch-keeping duties and risk of fatigue on vessel personnel alertness and performance;
(iv) Security training deficiencies;
and
(v) Security equipment and systems,
including communication systems.

(5) The VSA report must discuss and
evaluate key vessel measures and operations, including:
(i) Ensuring performance of all security duties;
(ii) Controlling access to the vessel,
through the use of identification systems or otherwise;
(iii) Controlling the embarkation of
vessel personnel and other persons and
their effects (including personal effects
and baggage whether accompanied or
unaccompanied);
(iv) Supervising the handling of cargo
and the delivery of vessel stores;
(v) Monitoring restricted areas to ensure that only authorized persons have
access;
(vi) Monitoring deck areas and areas
surrounding the vessel; and
(vii) The ready availability of security communications, information, and
equipment.
(e) The VSA must be documented and
the VSA report retained by the vessel
owner or operator with the VSP. The
VSA, the VSA report, and VSP must be
protected from unauthorized access or
disclosure.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60515, Oct. 22, 2003]

§ 104.310 Submission requirements.
(a) A completed Vessel Security Assessment (VSA) report must be submitted with the Vessel Security Plan
(VSP) required in § 104.410 of this part.
(b) A vessel owner or operator may
generate and submit a report that contains the VSA for more than one vessel
subject to this part, to the extent that
they share similarities in physical
characteristics and operations.
(c) The VSA must be reviewed and revalidated, and the VSA report must be
updated, each time the VSP is submitted for reapproval or revisions.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60515, Oct. 22, 2003]

Subpart D—Vessel Security Plan
(VSP)
§ 104.400 General.
(a) The Company Security Officer
(CSO) must ensure a Vessel Security
Plan (VSP) is developed and implemented for each vessel. The VSP:

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§ 104.405

33 CFR Ch. I (7–1–15 Edition)

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(1) Must identify the CSO and VSO by
name or position and provide 24-hour
contact information;
(2) Must be written in English, although a translation of the VSP in the
working language of vessel personnel
may also be developed;
(3) Must address each vulnerability
identified in the Vessel Security Assessment (VSA);
(4) Must describe security measures
for each MARSEC Level;
(5) Must state the Master’s authority
as described in § 104.205; and
(6) May cover more than one vessel to
the extent that they share similarities
in physical characteristics and operations, if authorized and approved by
the Commanding Officer, Marine Safety Center.
(b) The VSP must be submitted to
the Commanding Officer, Marine Safety Center, U.S. Coast Guard, 4200 Wilson Boulevard Suite 400, Arlington, VA
22203 for visitors. Send all mail to:
Commanding Officer (MSC), Attn: Marine Safety Center, U.S. Coast Guard
Stop 7410, 4200 Wilson Boulevard Suite
400, Arlington, VA 20598–7410, in a written or electronic format. Information
for submitting the VSP electronically
can be found at http://www.uscg.mil/HQ/
MSC. Owners or operators of foreign
flag vessels that are subject to SOLAS
Chapter XI–1 or Chapter XI–2 must
comply with this part by carrying on
board a valid International Ship Security Certificate that certifies that the
verifications required by Section 19.1 of
part A of the ISPS Code (Incorporated
by reference, see § 101.115 of this subchapter) have been completed. As stated in Section 9.4 of the ISPS Code, part
A requires that, in order for the ISSC
to be issued, the provisions of part B of
the ISPS Code need to be taken into
account.
(c) The VSP is sensitive security information and must be protected in accordance with 49 CFR part 1520.
(d) If the VSP is kept in an electronic
format, procedures must be in place to

prevent its unauthorized deletion, destruction, or amendment.
[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60515, Oct. 22, 2003; USCG–
2004–18057, 69 FR 34925, June 23, 2004; USCG–
2007–26953, 72 FR 5931, Feb. 8, 2007; USCG–
2010–0351, 75 FR 36282, June 25, 2010; USCG–
2014–0410, 79 FR 38432, July 7, 2014]

§ 104.405 Format of the Vessel Security
Plan (VSP).
(a) A vessel owner or operator must
ensure that the VSP consists of the individual sections listed in this paragraph (a). If the VSP does not follow
the order as it appears in the list, the
vessel owner or operator must ensure
that the VSP contains an index identifying the location of each of the following sections:
(1) Security organization of the vessel;
(2) Personnel training;
(3) Drills and exercises;
(4) Records and documentation;
(5) Response to change in MARSEC
Level;
(6) Procedures for interfacing with facilities and other vessels;
(7) Declarations of Security (DoS);
(8) Communications;
(9) Security systems and equipment
maintenance;
(10) Security measures for access control, including designated passenger access areas and employee access areas;
(11) Security measures for restricted
areas;
(12) Security measures for handling
cargo;
(13) Security measures for delivery of
vessel stores and bunkers;
(14) Security measures for monitoring;
(15) Security incident procedures;
(16) Audits and Vessel Security Plan
(VSP) amendments; and
(17) Vessel Security Assessment
(VSA) Report.
(b) The VSP must describe in detail
how the requirements of subpart B of
this part will be met. VSPs that have
been approved by the Coast Guard prior
to March 26, 2007, do not need to be

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Coast Guard, DHS
amended to describe their TWIC procedures until the next regularly scheduled resubmission of the VSP.

(f) A plan that is approved by the
MSC is valid for 5 years from the date
of its approval.

[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended by USCG–2006–24196, 72 FR 3582,
Jan. 25, 2007]

[USCG–2003–14749, 68 FR 39302, July 1, 2003, as
amended at 68 FR 60515, Oct. 22, 2003; USCG–
2004–19963, 70 FR 74669, Dec. 16, 2005; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

§ 104.410

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§ 104.415

Submission and approval.

(a) In accordance with § 104.115, on or
before December 31, 2003, each vessel
owner or operator must either:
(1) Submit one copy of their Vessel
Security Plan (VSP), in English, for review and approval to the Commanding
Officer, Marine Safety Center (MSC)
and a letter certifying that the VSP
meets applicable requirements of this
part; or
(2) If intending to operate under an
Approved Alternative Security Program, a letter signed by the vessel
owner or operator stating which approved Alternative Security Program
the owner or operator intends to use.
(b) Owners or operators of vessels not
in service on or before December 31,
2003, must comply with the requirements in paragraph (a) of this section
60 days prior to beginning operations
or by December 31, 2003, whichever is
later.
(c) The Commanding Officer, Marine
Safety Center (MSC), will examine
each submission for compliance with
this part, and either:
(1) Approve it and specify any conditions of approval, returning to the submitter a letter stating its acceptance
and any conditions;
(2) Return it for revision, returning a
copy to the submitter with brief descriptions of the required revisions; or
(3) Disapprove it, returning a copy to
the submitter with a brief statement of
the reasons for disapproval.
(d) A VSP may be submitted and approved to cover more than one vessel
where the vessel design and operations
are similar.
(e) Each company or vessel, owner or
operator, that submits one VSP to
cover two or more vessels of similar design and operation must address vesselspecific information that includes the
physical and operational characteristics of each vessel.

§ 104.415 Amendment and audit.
(a) Amendments. (1) Amendments to a
Vessel Security Plan that are approved
by the Marine Safety Center (MSC)
may be initiated by:
(i) The vessel owner or operator; or
(ii) The Coast Guard upon a determination that an amendment is needed
to maintain the vessel’s security. The
Coast Guard will give the vessel owner
or operator written notice and request
that the vessel owner or operator propose amendments addressing any matters specified in the notice. The company owner or operator will have at
least 60 days to submit its proposed
amendments. Until amendments are
approved, the company owner or operator shall ensure temporary security
measures are implemented to the satisfaction of the Coast Guard.
(2) Proposed amendments must be
sent to the MSC at the address shown
in § 104.400(b) of this part. If initiated
by the company or vessel, owner or operator, the proposed amendment must
be submitted at least 30 days before the
amendment is to take effect unless the
MSC allows a shorter period. The MSC
will approve or disapprove the proposed
amendment in accordance with § 104.410
of this part.
(3) Nothing in this section should be
construed as limiting the vessel owner
or operator from the timely implementation of such additional security
measures not enumerated in the approved VSP as necessary to address exigent security situations. In such
cases, the owner or operator must notify the MSC by the most rapid means
practicable as to the nature of the additional measures, the circumstances
that prompted these additional measures, and the period of time these additional measures are expected to be in
place.
(4) If the owner or operator has
changed, the Vessel Security Officer
(VSO) must amend the Vessel Security
Plan (VSP) to include the name and

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Pt. 105

33 CFR Ch. I (7–1–15 Edition)

contact information of the new vessel
owner or operator and submit the affected portion of the VSP for review
and approval in accordance with
§ 104.410 of this part.
(b) Audits. (1) The CSO or VSO must
ensure an audit of the VSP is performed annually, beginning no later
than one year from the initial date of
approval and attach a letter to the
VSP certifying that the VSP meets the
applicable requirements of this part.
(2) The VSP must be audited if there
is a change in the company’s or vessel’s
ownership or operator, or if there have
been modifications to the vessel, including but not limited to physical
structure, emergency response procedures, security measures, or operations.
(3) Auditing the VSP as a result of
modifications to the vessel may be limited to those sections of the VSP affected by the vessel modifications.
(4) Unless impracticable due to the
size and nature of the company or the
vessel, personnel conducting internal
audits of the security measures specified in the VSP or evaluating its implementation must:
(i) Have knowledge of methods of
conducting audits and inspections, and
control and monitoring techniques;
(ii) Not have regularly assigned security duties; and
(iii) Be independent of any security
measures being audited.
(5) If the results of an audit require
amendment of either the VSA or VSP,
the VSO or CSO must submit, in accordance with § 104.410 of this part, the
amendments to the MSC for review and
approval no later than 30 days after
completion of the audit and a letter
certifying that the amended VSP
meets the applicable requirements of
this part.
[USCG–2003–14749, 68 FR 39302, July 1, 2003; 68
FR 41915, July 16, 2003, as amended at 68 FR
60515, Oct. 22, 2003]

PART 105—MARITIME SECURITY:
FACILITIES

105.110 Exemptions.
105.115 Compliance dates.
105.120 Compliance documentation.
105.125 Noncompliance.
105.130 Waivers.
105.135 Equivalents.
105.140 Alternative Security Program.
105.145 Maritime Security (MARSEC) Directive.
105.150 Right to appeal.

Subpart B—Facility Security Requirements
105.200 Owner or operator.
105.205 Facility Security Officer (FSO).
105.210 Facility personnel with security duties.
105.215 Security training for all other facility personnel.
105.220 Drill and exercise requirements.
105.225 Facility
recordkeeping
requirements.
105.230 Maritime Security (MARSEC) Level
coordination and implementation.
105.235 Communications.
105.240 Procedures for interfacing with vessels.
105.245 Declaration of Security (DoS).
105.250 Security systems and equipment
maintenance.
105.255 Security measures for access control.
105.257 Security measures for newly-hired
employees.
105.260 Security measures for restricted
areas.
105.265 Security measures for handling
cargo.
105.270 Security measures for delivery of
vessel stores and bunkers.
105.275 Security measures for monitoring.
105.280 Security incident procedures.
105.285 Additional requirements—passenger
and ferry facilities.
105.290 Additional
requirements—cruise
ship terminals.
105.295 Additional
requirements—Certain
Dangerous Cargo (CDC) facilities.
105.296 Additional
requirements—barge
fleeting facilities.

Subpart C—Facility Security Assessment
(FSA)
105.300 General.
105.305 Facility Security Assessment (FSA)
requirements.
105.310 Submission requirements.

Subpart D—Facility Security Plan (FSP)
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Subpart A—General

105.400 General.
105.405 Format and content of the Facility
Security Plan (FSP).
105.410 Submission and approval.
105.415 Amendment and audit.

Sec.
105.100 Definitions.
105.105 Applicability.
105.106 Public access areas.

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Coast Guard, DHS

§ 105.110

APPENDIX A TO PART 105—FACILITY VULNERABILITY AND SECURITY MEASURE SUMMARY
(CG–6025).
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C.
70103; 50 U.S.C. 191; 33 CFR 1.05–1, 6.04–11, 6.14,
6.16, and 6.19; Department of Homeland Security Delegation No. 0170.1.
SOURCE: USCG–2003–14732, 68 FR 39322, July
1, 2003, unless otherwise noted.

Subpart A—General
§ 105.100

Definitions.

Except as specifically stated in this
subpart, the definitions in part 101 of
this subchapter apply to this part.

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§ 105.105

Applicability.

(a) The requirements in this part
apply to the owner or operator of any
U.S.:
(1) Facility subject to 33 CFR parts
126, 127, or 154;
(2) Facility that receives vessels certificated to carry more than 150 passengers, except those vessels not carrying and not embarking or disembarking passengers at the facility;
(3) Facility that receives vessels subject to the International Convention
for Safety of Life at Sea, 1974, chapter
XI;
(4) Facility that receives foreign
cargo vessels greater than 100 gross
register tons;
(5) Facility that receives U.S. cargo
vessels, greater than 100 gross register
tons, subject to 46 CFR chapter I, subchapter I, except for those facilities
that receive only commercial fishing
vessels inspected under 46 CFR part
105; or
(6) Barge fleeting facility that receives barges carrying, in bulk, cargoes
regulated by 46 CFR chapter I, subchapters D or O, or Certain Dangerous
Cargoes.
(b) An owner or operator of any facility not covered in paragraph (a) of this
section is subject to parts 101 through
103 of this subchapter.
(c) This part does not apply to the
owner or operator of the following U.S.
facilities:
(1) A facility owned or operated by
the U.S. that is used primarily for military purposes.

(2) An oil and natural gas production,
exploration, or development facility
regulated by 33 CFR parts 126 or 154 if:
(i) The facility is engaged solely in
the exploration, development, or production of oil and natural gas; and
(ii) The facility does not meet or exceed the operating conditions in
§ 106.105 of this subchapter;
(3) A facility that supports the production, exploration, or development of
oil and natural gas regulated by 33 CFR
parts 126 or 154 if:
(i) The facility is engaged solely in
the support of exploration, development, or production of oil and natural
gas and transports or stores quantities
of hazardous materials that do not
meet or exceed those specified in 49
CFR 172.800(b)(1) through (b)(6); or
(ii) The facility stores less than 42,000
gallons of cargo regulated by 33 CFR
part 154;
(4) A mobile facility regulated by 33
CFR part 154; or
(5) An isolated facility that receives
materials regulated by 33 CFR parts 126
or 154 by vessel due to the lack of road
access to the facility and does not distribute the material through secondary
marine transfers.
(d) The TWIC requirements found in
this part do not apply to mariners employed aboard vessels moored at U.S.
facilities only when they are working
immediately adjacent to their vessels
in the conduct of vessel activities.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003; USCG–
2006–24196, 72 FR 55048, Sept. 28, 2007]

§ 105.106 Public access areas.
(a) A facility serving ferries or passenger vessels certificated to carry
more than 150 passengers, other than
cruise ships, may designate an area
within the facility as a public access
area.
(b) A public access area is a defined
space within a facility that is open to
all persons and provides pedestrian access through the facility from public
thoroughfares to the vessel.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60540, Oct. 22, 2003]

§ 105.110 Exemptions.
(a) An owner or operator of any barge
fleeting facility subject to this part is

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§ 105.115

33 CFR Ch. I (7–1–15 Edition)

exempt from complying with § 105.265,
Security measures for handling cargo;
and § 105.270, Security measures for delivery of vessel stores and bunkers.
(b) A public access area designated
under § 105.106 is exempt from the requirements for screening of persons,
baggage, and personal effects and identification of persons in § 105.255(c),
(e)(1), (e)(3), (f)(1), and (g)(1) and
§ 105.285(a)(1).
(c) An owner or operator of any general shipyard facility as defined in
§ 101.105 is exempt from the requirements of this part unless the facility:
(1) Is subject to parts 126, 127, or 154
of this chapter; or
(2) Provides any other service to vessels subject to part 104 of this subchapter not related to construction, repair, rehabilitation, refurbishment, or
rebuilding.
(d) Public access facility. (1) The COTP
may exempt a public access facility
from the requirements of this part, including establishing conditions for
which such an exemption is granted, to
ensure that adequate security is maintained.
(2) The owner or operator of any public access facility exempted under this
section must:
(i) Comply with any COTP conditions
for the exemption; and
(ii) Ensure that the cognizant COTP
has the appropriate information for
contacting the individual with security
responsibilities for the public access facility at all times.
(3) The cognizant COTP may withdraw the exemption for a public access
facility at any time the owner or operator fails to comply with any requirement of the COTP as a condition of the
exemption or any measure ordered by
the COTP pursuant to existing COTP
authority.
(e) An owner or operator of a facility
is not subject to this part if the facility
receives only vessels to be laid-up, dismantled, or otherwise placed out of
commission provided that the vessels
are not carrying and do not receive
cargo or passengers at that facility.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60540, Oct. 22, 2003]

§ 105.115

Compliance dates.

(a) On or before December 31, 2003, facility owners or operators must submit
to the cognizant COTP for each facility—
(1) The Facility Security Plan described in subpart D of this part for review and approval; or
(2) If intending to operate under an
approved Alternative Security Program, a letter signed by the facility
owner or operator stating which approved Alternative Security Program
the owner or operator intends to use.
(b) On or before July 1, 2004, each facility owner or operator must be operating in compliance with this part.
(c) Facility owners or operators wishing to designate only those portions of
their facility that are directly connected to maritime transportation or
are at risk of being involved in a transportation security incident as their secure area(s) must do so by submitting
an amendment to their Facility Security Plan to their cognizant COTP, in
accordance with § 105.415 of this part,
by September 4, 2007.
(d) Persons required to obtain a
TWIC under this part may enroll beginning after the date set by the Coast
Guard in a Notice to be published in
the FEDERAL REGISTER. This notice
will be directed to all facilities and
vessels within a specific COTP zone.
(e) Facility owners or operators must
be operating in accordance with the
TWIC provisions in this part by the
date set by the Coast Guard in a Notice
to be published in the FEDERAL REGISTER. This Notice will be published at
least 90 days before compliance must
begin, and will be directed to all facilities within a specific Captain of the
Port zone, based on whether enrollment has been completed in that zone.
Unless an earlier compliance date is
specified in this manner, all facility
owner or operators will need to implement their TWIC provisions no later
than April 15, 2009.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60540, Oct. 22, 2003; USCG–
2004–19963, 70 FR 74669, Dec. 16, 2005; USCG–
2006–24196, 72 FR 3582, Jan. 25, 2007; 72 FR
38486, July 13, 2007; 73 FR 25565, May 7, 2008]

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Coast Guard, DHS

§ 105.150

§ 105.120 Compliance documentation.
Each facility owner or operator subject to this part must ensure, on or before July 1, 2004, that copies of the following documentation are available at
the facility and are made available to
the Coast Guard upon request:
(a) The approved Facility Security
Plan (FSP), as well as any approved revisions or amendments thereto, and a
letter of approval from the COTP dated
within the last 5 years;
(b) The FSP submitted for approval
and an acknowledgement letter from
the COTP stating that the Coast Guard
is currently reviewing the FSP submitted for approval, and that the facility may continue to operate so long as
the facility remains in compliance
with the submitted FSP; or
(c) For facilities operating under a
Coast Guard-approved Alternative Security Program as provided in § 105.140,
a copy of the Alternative Security Program the facility is using, including a
facility specific security assessment report generated under the Alternative
Security Program, as specified in
§ 101.120(b)(3) of this subchapter, and a
letter signed by the facility owner or
operator, stating which Alternative Security Program the facility is using
and certifying that the facility is in
full compliance with that program.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003]

§ 105.125 Noncompliance.
When a facility must temporarily deviate from the requirements of this
part, the facility owner or operator
must notify the cognizant COTP, and
either suspend operations or request
and receive permission from the COTP
to continue operating.

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[USCG–2003–14732, 68 FR 60541, Oct. 22, 2003]

§ 105.130 Waivers.
Any facility owner or operator may
apply for a waiver of any requirement
of this part that the facility owner or
operator considers unnecessary in light
of the nature or operating conditions of
the facility, prior to operating. A request for a waiver must be submitted
in writing with justification to the
Commandant (CG–5P), Attn: Assistant
Commandant for Prevention Policy,

U.S. Coast Guard Stop 7501, 2703 Martin
Luther King Jr. Avenue SE., Washington, DC 20593–7501. The Commandant (CG-5P) may require the facility owner or operator to provide data
for use in determining the validity of
the requested waiver. The Commandant (CG-5P) may grant, in writing, a waiver with or without conditions only if the waiver will not reduce
the overall security of the facility, its
employees, visiting vessels, or ports.
[USCG–2003–14732, 68 FR 39322, July 1, 2003; 68
FR 41916, July 16, 2003; USCG–2008–0179, 73 FR
35009, June 19, 2008; USCG–2010–0351, 75 FR
36282, June 25, 2010; USCG–2013–0397, 78 FR
39173, July 1, 2013; USCG–2014–0410, 79 FR
38432, July 7, 2014]

§ 105.135 Equivalents.
For any measure required by this
part, the facility owner or operator
may propose an equivalent as provided
in § 101.130 of this subchapter.
§ 105.140 Alternative
Security
Program.
(a) A facility owner or operator may
use an Alternative Security Program
approved under § 101.120 of this subchapter if:
(1) The Alternative Security Program
is appropriate to that facility;
(2) The Alternative Security Program
is implemented in its entirety.
(b) A facility owner or operator using
an Alternative Security Program approved under § 101.120 of this subchapter must complete and submit to
the cognizant COTP a Facility Vulnerability and Security Measures Summary (Form CG–6025) in Appendix A to
Part 105—Facility Vulnerability and
Security (CG–6025).
§ 105.145 Maritime Security (MARSEC)
Directive.
Each facility owner or operator subject to this part must comply with any
instructions contained in a MARSEC
Directive issued under § 101.405 of this
subchapter.
§ 105.150 Right to appeal.
Any person directly affected by a decision or action taken under this part,
by or on behalf of the Coast Guard,
may appeal as described in § 101.420 of
this subchapter.

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§ 105.200

33 CFR Ch. I (7–1–15 Edition)

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Subpart B—Facility Security
Requirements
§ 105.200 Owner or operator.
(a) Each facility owner or operator
must ensure that the facility operates
in compliance with the requirements of
this part.
(b) For each facility, the facility
owner or operator must:
(1) Define the security organizational
structure and provide each person exercising security duties and responsibilities within that structure the support
needed to fulfill those obligations;
(2) Designate, in writing, by name or
by title, a Facility Security Officer
(FSO) and identify how the officer can
be contacted at any time;
(3) Ensure that a Facility Security
Assessment (FSA) is conducted;
(4) Ensure the development and submission for approval of an FSP;
(5) Ensure that the facility operates
in compliance with the approved FSP;
(6) Ensure that the TWIC program is
properly implemented as set forth in
this part, including:
(i) Ensuring that only individuals
who hold a TWIC and are authorized to
be in the secure area in accordance
with the FSP are permitted to escort;
(ii) Identifying what action is to be
taken by an escort, or other authorized
individual, should individuals under escort engage in activities other than
those for which escorted access was
granted; and
(iii) Notifying facility employees,
and passengers if applicable, of what
parts of the facility are secure areas
and public access areas, as applicable,
and ensuring such areas are clearly
marked.
(7) Ensure that restricted areas are
controlled and TWIC provisions are coordinated, if applied to such restricted
areas;
(8) Ensure that adequate coordination of security issues takes place between the facility and vessels that call
on it, including the execution of a Declaration of Security (DoS) as required
by this part;
(9) Ensure coordination of shore leave
for vessel personnel or crew changeout, as well as access through the facility for visitors to the vessel (including
representatives of seafarers’ welfare

and labor organizations), with vessel
operators in advance of a vessel’s arrival. In coordinating such leave, facility owners or operators may refer to
treaties of friendship, commerce, and
navigation between the U.S. and other
nations;
(10) Ensure, within 12 hours of notification of an increase in MARSEC
Level, implementation of the additional security measures required for
the new MARSEC Level;
(11) Ensure security for unattended
vessels moored at the facility;
(12) Ensure the report of all breaches
of security and transportation security
incidents to the National Response
Center in accordance with part 101 of
this chapter;
(13) Ensure consistency between security requirements and safety requirements;
(14) Inform facility personnel of their
responsibility to apply for and maintain a TWIC, including the deadlines
and methods for such applications, and
of their obligation to inform TSA of
any event that would render them ineligible for a TWIC, or which would invalidate their existing TWIC;
(15) Ensure that protocols consistent
with section 105.255(c) of this part, for
dealing with individuals requiring access who report a lost, damaged, or stolen TWIC, or who have applied for and
not yet received a TWIC, are in place;
and
(16) If applicable, ensure that protocols consistent with § 105.257 of this
part, for dealing with newly hired employees who have applied for and not
yet received a TWIC, are in place.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3582, Jan. 25, 2007; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

§ 105.205 Facility
Security
Officer
(FSO).
(a) General. (1) The FSO may perform
other duties within the owner’s or operator’s organization, provided he or
she is able to perform the duties and
responsibilities required of the FSO.
(2) The same person may serve as the
FSO for more than one facility, provided the facilities are in the same
COTP zone and are not more than 50
miles apart. If a person serves as the

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Coast Guard, DHS

§ 105.205

FSO for more than one facility, the
name of each facility for which he or
she is the FSO must be listed in the
Facility Security Plan (FSP) of each
facility for which or she is the FSO.
(3) The FSO may assign security duties to other facility personnel; however, the FSO retains the responsibility for these duties.
(4) The FSO must maintain a TWIC.
(b) Qualifications. (1) The FSO must
have general knowledge, through training or equivalent job experience, in the
following:
(i) Security organization of the facility;
(ii) General vessel and facility operations and conditions;
(iii) Vessel and facility security
measures, including the meaning and
the requirements of the different
MARSEC Levels;
(iv) Emergency preparedness, response, and contingency planning;
(v) Security equipment and systems,
and their operational limitations; and
(vi) Methods of conducting audits, inspections, control, and monitoring
techniques.
(2) In addition to knowledge and
training required in paragraph (b)(1) of
this section, the FSO must have knowledge of and receive training in the following, as appropriate:
(i) Relevant international laws and
codes, and recommendations;
(ii) Relevant government legislation
and regulations;
(iii) Responsibilities and functions of
local, State, and Federal law enforcement agencies;
(iv) Security assessment methodology;
(v) Methods of facility security surveys and inspections;
(vi) Instruction techniques for security training and education, including
security measures and procedures;
(vii) Handling sensitive security information and security related communications;
(viii) Current security threats and
patterns;
(ix) Recognizing and detecting dangerous substances and devices;
(x) Recognizing characteristics and
behavioral patterns of persons who are
likely to threaten security;

(xi) Techniques used to circumvent
security measures;
(xii) Conducting physical searches
and non-intrusive inspections;
(xiii) Conducting security drills and
exercises, including exercises with vessels; and
(xiv) Assessing security drills and exercises.
(xv) Knowledge of TWIC requirements.
(c) Responsibilities. In addition to
those responsibilities and duties specified elsewhere in this part, the FSO
must, for each facility for which he or
she has been designated:
(1) Ensure that the Facility Security
Assessment (FSA) is conducted;
(2) Ensure the development and implementation of a FSP;
(3) Ensure that an annual audit is
conducted, and if necessary that the
FSA and FSP are updated;
(4) Ensure the FSP is exercised per
§ 105.220 of this part;
(5) Ensure that regular security inspections of the facility are conducted;
(6) Ensure the security awareness and
vigilance of the facility personnel;
(7) Ensure adequate training to personnel performing facility security duties;
(8) Ensure that occurrences that
threaten the security of the facility are
recorded and reported to the owner or
operator;
(9) Ensure the maintenance of
records required by this part;
(10) Ensure the preparation and the
submission of any reports as required
by this part;
(11) Ensure the execution of any required Declarations of Security with
Masters, Vessel Security Officers or
their designated representatives;
(12) Ensure the coordination of security services in accordance with the approved FSP;
(13) Ensure that security equipment
is properly operated, tested, calibrated,
and maintained;
(14) Ensure the recording and reporting of attainment changes in MARSEC
Levels to the owner or operator and
the cognizant COTP;

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§ 105.210

33 CFR Ch. I (7–1–15 Edition)

(15) When requested, ensure that the
Vessel Security Officers receive assistance in confirming the identity of visitors and service providers seeking to
board the vessel through the facility;
(16) Ensure notification, as soon as
possible, to law enforcement personnel
and other emergency responders to permit a timely response to any transportation security incident;
(17) Ensure that the FSP is submitted to the cognizant COTP for approval, as well as any plans to change
the facility or facility infrastructure
prior to amending the FSP; and
(18) Ensure that all facility personnel
are briefed of changes in security conditions at the facility.
(19) Ensure the TWIC program is
being properly implemented.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3583, Jan. 25, 2007]

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§ 105.210 Facility personnel with security duties.
Facility personnel responsible for security duties must maintain a TWIC,
and must have knowledge, through
training or equivalent job experience,
in the following, as appropriate:
(a) Knowledge of current security
threats and patterns;
(b) Recognition and detection of dangerous substances and devices;
(c) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(d) Techniques used to circumvent security measures;
(e) Crowd management and control
techniques;
(f) Security related communications;
(g) Knowledge of emergency procedures and contingency plans;
(h) Operation of security equipment
and systems;
(i) Testing, calibration, and maintenance of security equipment and systems;
(j) Inspection, control, and monitoring techniques;
(k) Relevant provisions of the Facility Security Plan (FSP);
(l) Methods of physical screening of
persons, personal effects, baggage,
cargo, and vessel stores; and

(m) The meaning and the consequential requirements of the different
MARSEC Levels.
(n) Familiar with all relevant aspects
of the TWIC program and how to carry
them out.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended by USCG–2006–24196, 72 FR 3583,
Jan. 25, 2007]

§ 105.215 Security training
other facility personnel.

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all

All other facility personnel, including contractors, whether part-time,
full-time, temporary, or permanent,
must have knowledge of, through
training or equivalent job experience,
in the following, as appropriate:
(a) Relevant provisions of the Facility Security Plan (FSP);
(b) The meaning and the consequential requirements of the different
MARSEC Levels as they apply to them,
including emergency procedures and
contingency plans;
(c) Recognition and detection of dangerous substances and devices;
(d) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security; and
(e) Techniques used to circumvent security measures.
(f) Familiar with all relevant aspects
of the TWIC program and how to carry
them out.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3583, Jan. 25, 2007]

§ 105.220 Drill and exercise requirements.
(a) General. (1) Drills and exercises
must test the proficiency of facility
personnel in assigned security duties at
all MARSEC Levels and the effective
implementation of the Facility Security Plan (FSP). They must enable the
Facility Security Officer (FSO) to identify any related security deficiencies
that need to be addressed.
(2) A drill or exercise required by this
section may be satisfied with the implementation of security measures required by the FSP as the result of an
increase in the MARSEC Level, provided the facility reports attainment
to the cognizant COTP.

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§ 105.225

(b) Drills. (1) The FSO must ensure
that at least one security drill is conducted every 3 months. Security drills
may be held in conjunction with nonsecurity drills, where appropriate.
(2) Drills must test individual elements of the FSP, including response
to security threats and incidents.
Drills should take into account the
types of operations of the facility, facility personnel changes, the type of
vessel the facility is serving, and other
relevant circumstances. Examples of
drills include unauthorized entry to a
restricted area, response to alarms, and
notification of law enforcement authorities.
(3) If a vessel is moored at the facility on the date the facility has planned
to conduct any drills, the facility cannot require the vessel or vessel personnel to be a part of or participate in
the facility’s scheduled drill.
(c) Exercises. (1) Exercises must be
conducted at least once each calendar
year, with no more than 18 months between exercises.
(2) Exercises may be:
(i) Full scale or live;
(ii) Tabletop simulation or seminar;
(iii) Combined with other appropriate
exercises; or
(iv) A combination of the elements in
paragraphs (c)(2)(i) through (iii) of this
section.
(3) Exercises may be facility-specific
or part of a cooperative exercise program with applicable facility and vessel security plans or comprehensive
port exercises.
(4) Each exercise must test communication and notification procedures,
and elements of coordination, resource
availability, and response.
(5) Exercises are a full test of the security program and must include substantial and active participation of
FSOs, and may include government authorities and vessels visiting the facility. Requests for participation of Company and Vessel Security Officers in
joint exercises should consider the security and work implications for the
vessel.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003]

§ 105.225 Facility
quirements.

recordkeeping

(a) Unless otherwise specified in this
section, the Facility Security Officer
(FSO) must keep records of the activities as set out in paragraph (b) of this
section for at least 2 years and make
them available to the Coast Guard
upon request.
(b) Records required by this section
may be kept in electronic format. If
kept in an electronic format, they
must be protected against unauthorized deletion, destruction, or amendment. The following records must be
kept:
(1) Training. For training under
§ 105.210, the date of each session, duration of session, a description of the
training, and a list of attendees;
(2) Drills and exercises. For each drill
or exercise, the date held, description
of drill or exercise, list of participants,
and any best practices or lessons
learned which may improve the Facility Security Plan (FSP);
(3) Incidents and breaches of security.
For each incident or breach of security,
the date and time of occurrence, location within the facility, description of
incident or breaches, to whom it was
reported, and description of the response;
(4) Changes in MARSEC Levels. For
each change in MARSEC Level, the
date and time of notification received,
and time of compliance with additional
requirements;
(5) Maintenance, calibration, and testing of security equipment. For each occurrence of maintenance, calibration,
and testing, record the date and time,
and the specific security equipment involved;
(6) Security threats. For each security
threat, the date and time of occurrence, how the threat was communicated, who received or identified the
threat, description of threat, to whom
it was reported, and description of the
response;
(7) Declaration of Security (DoS) A
copy of each single-visit DoS and a
copy of each continuing DoS for at
least 90 days after the end of its effective period; and
(8) Annual audit of the FSP. For each
annual audit, a letter certified by the

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§ 105.230

33 CFR Ch. I (7–1–15 Edition)

FSO stating the date the audit was
completed.
(c) Any record required by this part
must be protected from unauthorized
access or disclosure.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003]

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§ 105.230 Maritime Security (MARSEC)
Level coordination and implementation.
(a) The facility owner or operator
must ensure the facility operates in
compliance with the security requirements in this part for the MARSEC
Level in effect for the port.
(b) When notified of an increase in
the MARSEC Level, the facility owner
and operator must ensure:
(1) Vessels moored to the facility and
vessels scheduled to arrive at the facility within 96 hours of the MARSEC
Level change are notified of the new
MARSEC Level and the Declaration of
Security is revised as necessary;
(2) The facility complies with the required additional security measures
within 12 hours; and
(3) The facility reports compliance or
noncompliance to the COTP.
(c) For MARSEC Levels 2 and 3, the
Facility Security Officer must inform
all facility personnel about identified
threats, and emphasize reporting procedures and stress the need for increased vigilance.
(d) An owner or operator whose facility is not in compliance with the requirements of this section, must inform the COTP and obtain approval
prior to interfacing with a vessel or
continuing operations.
(e) At MARSEC Level 3, in addition
to the requirements in this part, a facility owner or operator may be required to implement additional measures, pursuant to 33 CFR part 6, 160, or
165, as appropriate, which may include
but are not limited to:
(1) Use of waterborne security patrol;
(2) Use of armed security personnel
to control access to the facility and to
deter, to the maximum extent practical, a transportation security incident; and
(3) Examination of piers, wharves,
and similar structures at the facility
for the presence of dangerous sub-

stances or devices underwater or other
threats.
§ 105.235 Communications.
(a) The Facility Security Officer
must have a means to effectively notify facility personnel of changes in security conditions at the facility.
(b) Communication systems and procedures must allow effective and continuous communications between the
facility security personnel, vessels
interfacing with the facility, the cognizant COTP, and national and local
authorities with security responsibilities.
(c) At each active facility access
point, provide a means of contacting
police, security control, or an emergency operations center, by telephones,
cellular phones, and/or portable radios,
or other equivalent means.
(d) Facility communications systems
must have a backup means for both internal and external communications.
§ 105.240 Procedures for interfacing
with vessels.
The facility owner or operator must
ensure that there are measures for
interfacing with vessels at all MARSEC
Levels.
§ 105.245 Declaration
of
Security
(DoS).
(a) Each facility owner or operator
must ensure procedures are established
for requesting a DoS and for handling
DoS requests from a vessel.
(b) At MARSEC Level 1, a facility receiving a cruise ship or a manned vessel carrying Certain Dangerous Cargo,
in bulk, must comply with the following:
(1) Prior to the arrival of a vessel to
the facility, the Facility Security Officer (FSO) and Master, Vessel Security
Officer (VSO), or their designated representatives must coordinate security
needs and procedures, and agree upon
the contents of the DoS for the period
of time the vessel is at the facility; and
(2) Upon the arrival of the vessel at
the facility, the FSO and Master, VSO,
or their designated representative,
must sign the written DoS.
(c) Neither the facility nor the vessel
may embark or disembark passengers,
nor transfer cargo or vessel stores until

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Coast Guard, DHS

§ 105.255

the DoS has been signed and implemented.
(d) At MARSEC Levels 2 and 3, the
FSOs, or their designated representatives, of facilities interfacing with
manned vessels subject to part 104, of
this subchapter must sign and implement DoSs as required in (b)(1) and (2)
of this section.
(e) At MARSEC Levels 1 and 2, FSOs
of facilities that frequently interface
with the same vessel may implement a
continuing DoS for multiple visits, provided that:
(1) The DoS is valid for a specific
MARSEC Level;
(2) The effective period at MARSEC
Level 1 does not exceed 90 days; and
(3) The effective period at MARSEC
Level 2 does not exceed 30 days.
(f) When the MARSEC Level increases beyond that contained in the
DoS, the continuing DoS is void and a
new DoS must be executed in accordance with this section.
(g) A copy of all currently valid continuing DoSs must be kept with the
Facility Security Plan.
(h) The COTP may require, at any
time, at any MARSEC Level, any facility subject to this part to implement a
DoS with the VSO prior to any vesselto-facility interface when he or she
deems it necessary.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003]

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§ 105.250 Security systems and equipment maintenance.
(a) Security systems and equipment
must be in good working order and inspected, tested, calibrated, and maintained according to manufacturers’
recommendations.
(b) Security systems must be regularly tested in accordance with the
manufacturers’
recommendations;
noted deficiencies corrected promptly;
and the results recorded as required in
§ 105.225 of this subpart.
(c) The FSP must include procedures
for identifying and responding to security system and equipment failures or
malfunctions.

§ 105.255 Security measures for access
control.
(a) General. The facility owner or operator must ensure the implementation
of security measures to:
(1) Deter the unauthorized introduction of dangerous substances and devices, including any device intended to
damage or destroy persons, vessels, facilities, or ports;
(2) Secure dangerous substances and
devices that are authorized by the
owner or operator to be on the facility;
(3) Control access to the facility; and
(4) Prevent an unescorted individual
from entering an area of the facility
that is designated as a secure area unless the individual holds a duly issued
TWIC and is authorized to be in the
area.
(b) The facility owner or operator
must ensure that the following are
specified:
(1) The locations where restrictions
or prohibitions that prevent unauthorized access are applied for each
MARSEC Level, including those points
where TWIC access control provisions
will be applied. Each location allowing
means of access to the facility must be
addressed;
(2) The types of restrictions or prohibitions to be applied and the means of
enforcing them;
(3) The means used to establish the
identity of individuals not in possession of a TWIC, in accordance with
§ 101.515 of this subchapter, and procedures for escorting them;
(4) Procedures for identifying authorized and unauthorized persons at any
MARSEC level; and
(5) The locations where persons, personal effects and vehicle screenings are
to be conducted. The designated
screening areas should be covered to
provide for continuous operations regardless of the weather conditions.
(c) The facility owner or operator
must ensure that a TWIC program is
implemented as follows:
(1) All persons seeking unescorted access to secure areas must present their
TWIC for inspection before being allowed unescorted access, in accordance
with § 101.514 of this subchapter. Inspection must include:
(i) A match of the photo on the TWIC
to the individual presenting the TWIC;

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§ 105.255

33 CFR Ch. I (7–1–15 Edition)

(ii) Verification that the TWIC has
not expired; and
(iii) A visual check of the various security features present on the card to
determine whether the TWIC has been
tampered with or forged.
(2) If an individual cannot present a
TWIC because it has been lost, damaged or stolen, and he or she has previously been granted unescorted access
to the facility and is known to have
had a valid TWIC, the individual may
be given unescorted access to secure
areas for a period of no longer than 7
consecutive calendar days if:
(i) The individual has reported the
TWIC as lost, damaged, or stolen to
TSA as required in 49 CFR 1572.19(f);
(ii) The individual can present another identification credential that
meets the requirements of § 101.515 of
this subchapter; and
(iii) There are no other suspicious
circumstances associated with the individual’s claim of loss or theft.
(3) If an individual cannot present his
or her TWIC for any other reason than
outlined in paragraph (c)(2) of this section, he or she may not be granted
unescorted access to the secure area.
The individual must be under escort, as
that term is defined in part 101 of this
subchapter, at all times when inside of
a secure area.
(4) With the exception of persons
granted access according to paragraph
(c)(2) of this section, all persons granted unescorted access to secure areas of
the facility must be able to produce his
or her TWIC upon request.
(5) There must be disciplinary measures in place to prevent fraud and
abuse.
(6) The facility’s TWIC program
should be coordinated, when practicable, with identification and TWIC
access control measures of vessels or
other transportation conveyances that
use the facility.
(d) If the facility owner or operator
uses a separate identification system,
ensure that it complies and is coordinated with TWIC provisions in this
part.
(e) The facility owner or operator
must establish in the approved Facility
Security Plan (FSP) the frequency of
application of any access controls, par-

ticularly if they are to be applied on a
random or occasional basis.
(f) MARSEC Level 1. The facility
owner or operator must ensure the following security measures are implemented at the facility:
(1) Implement TWIC as set out in
paragraph (c) of this section.
(2) Screen persons, baggage (including carry-on items), personal effects,
and vehicles, for dangerous substances
and devices at the rate specified in the
approved FSP, excluding governmentowned vehicles on official business
when government personnel present
identification credentials for entry;
(3) Conspicuously post signs that describe security measures currently in
effect and clearly state that:
(i) Entering the facility is deemed
valid consent to screening or inspection; and
(ii) Failure to consent or submit to
screening or inspection will result in
denial or revocation of authorization
to enter.
(4) Check the identification of any
person not holding a TWIC and seeking
entry to the facility, including vessel
passengers, vendors, personnel duly authorized by the cognizant government
authorities, and visitors. This check
shall include confirming the reason for
boarding by examining at least one of
the following:
(i) Joining instructions;
(ii) Passenger tickets;
(iii) Boarding passes;
(iv) Work orders, pilot orders, or surveyor orders;
(v) Government identification; or
(vi) Visitor badges issued in accordance with an identification system implemented under paragraph (d) of this
section.
(5) Deny or revoke a person’s authorization to be on the facility if the person is unable or unwilling, upon the request of facility personnel or a law enforcement officer, to establish his or
her identity in accordance with this
part or to account for his or her presence. Any such incident must be reported in compliance with this part;
(6) Designate restricted areas and
provide appropriate access controls for
these areas;

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§ 105.257

(7) Identify access points that must
be secured or attended to deter unauthorized access;
(8) Deter unauthorized access to the
facility and to designated restricted
areas within the facility;
(9) Screen by hand or device, such as
x-ray, all unaccompanied baggage prior
to loading onto a vessel; and
(10) Secure unaccompanied baggage
after screening in a designated restricted area and maintain security
control during transfers between the
facility and a vessel.
(g) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the facility owner or
operator must ensure the implementation of additional security measures, as
specified for MARSEC Level 2 in their
approved FSP. These additional security measures may include:
(1) Increasing the frequency and detail of the screening of persons, baggage, and personal effects for dangerous substances and devices entering
the facility;
(2) X-ray screening of all unaccompanied baggage;
(3) Assigning additional personnel to
guard access points and patrol the perimeter of the facility to deter unauthorized access;
(4) Limiting the number of access
points to the facility by closing and securing some access points and providing physical barriers to impede
movement through the remaining access points;
(5) Denying access to visitors who do
not have a verified destination;
(6) Deterring waterside access to the
facility, which may include, using waterborne patrols to enhance security
around the facility; or
(7) Except for government-owned vehicles on official business when government personnel present identification
credentials for entry, screening vehicles and their contents for dangerous
substances and devices at the rate
specified for MARSEC Level 2 in the
approved FSP.
(h) MARSEC Level 3. In addition to
the security measures required for
MARSEC Level 1 and MARSEC Level 2,
at MARSEC level 3, the facility owner
or operator must ensure the implemen-

tation of additional security measures,
as specified for MARSEC Level 3 in
their approved FSP. These additional
security measures may include:
(1) Screening all persons, baggage,
and personal effects for dangerous substances and devices;
(2) Performing one or more of the following on unaccompanied baggage:
(i) Screen unaccompanied baggage
more extensively; for example, xraying from two or more angles;
(ii) Prepare to restrict or suspend
handling of unaccompanied baggage; or
(iii) Refuse to accept unaccompanied
baggage.
(3) Being prepared to cooperate with
responders and facilities;
(4) Granting access to only those responding to the security incident or
threat thereof;
(5) Suspending access to the facility;
(6) Suspending cargo operations;
(7) Evacuating the facility;
(8) Restricting pedestrian or vehicular movement on the grounds of the
facility; or
(9) Increasing security patrols within
the facility.
[USCG–2006–24196, 72 FR 3583, Jan. 25, 2007]

§ 105.257 Security measures for newlyhired employees.
(a) Newly-hired facility employees
may be granted entry to secure areas
of the facility for up to 30 consecutive
calendar days prior to receiving their
TWIC provided all of the requirements
in paragraph (b) of this section are
met, and provided that the new hire is
accompanied by an individual with a
TWIC while within the secure areas of
the facility. If TSA does not act upon a
TWIC application within 30 days, the
cognizant Coast Guard COTP may further extend access to secure areas for
another 30 days. The Coast Guard will
determine whether, in particular circumstances, certain practices meet the
condition of a new hire being accompanied by another individual with a
TWIC. The Coast Guard will issue guidance for use in making these determinations.
(b) Newly-hired facility employees
may be granted the access provided for
in paragraph (a) of this section if:
(1) The new hire has applied for a
TWIC in accordance with 49 CFR part

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§ 105.260

33 CFR Ch. I (7–1–15 Edition)

1572 by completing the full enrollment
process, paying the user fee, and is not
currently engaged in a waiver or appeal
process. The facility owner or operator
or the Facility Security Officer (FSO)
must have the new hire sign a statement affirming this, and must retain
the signed statement until the new
hire receives a TWIC;
(2) The facility owner or operator or
the FSO enters the following information on the new hire into the Coast
Guard’s Homeport website (http://homeport.uscg.mil):
(i) Full legal name, including middle
name if one exists;
(ii) Date of birth;
(iii) Social security number (optional);
(iv) Employer name and 24 hour contact information; and
(v) Date of TWIC enrollment.
(3) The new hire presents an identification credential that meets the requirements of § 101.515 of this subchapter;
(4) There are no other circumstances
that would cause reasonable suspicion
regarding the new hire’s ability to obtain a TWIC, and the facility owner or
operator or FSO have not been informed by the cognizant COTP that the
new hire poses a security threat; and
(5) There would be an adverse impact
to facility operations if the new hire is
not allowed access.
(c) This section does not apply to any
individual being hired as a FSO, or any
individual being hired to perform facility security duties.
(d) The new hire may not begin working at the facility under the provisions
of this section until the owner, operator, or FSO receives notification, via
Homeport or some other means, the
new hire has passed an initial name
check.
[USCG–2006–24196, 72 FR 3584, Jan. 25, 2007, as
amended by USCG–2013–0397, 78 FR 39173,
July 1, 2013; 78 FR 41305, July 10, 2013]

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§ 105.260 Security
stricted areas.

measures

for

re-

(a) General. The facility owner or operator must ensure the designation of
restricted areas in order to:
(1) Prevent or deter unauthorized access;

(2) Protect persons authorized to be
in the facility;
(3) Protect the facility;
(4) Protect vessels using and serving
the facility;
(5) Protect sensitive security areas
within the facility;
(6) Protect security and surveillance
equipment and systems; and
(7) Protect cargo and vessel stores
from tampering.
(b) Designation of Restricted Areas. The
facility owner or operator must ensure
restricted areas are designated within
the facility. They must also ensure
that all restricted areas are clearly
marked and indicate that access to the
area is restricted and that unauthorized presence within the area constitutes a breach of security. The facility owner or operator may also designate the entire facility as a restricted area. Restricted areas must include, as appropriate:
(1) Shore areas immediately adjacent
to each vessel moored at the facility;
(2) Areas containing sensitive security information, including cargo documentation;
(3) Areas containing security and surveillance equipment and systems and
their controls, and lighting system
controls; and
(4) Areas containing critical facility
infrastructure, including:
(i) Water supplies;
(ii) Telecommunications;
(iii) Electrical system; and
(iv) Access points for ventilation and
air-conditioning systems;
(5) Manufacturing or processing areas
and control rooms;
(6) Locations in the facility where access by vehicles and personnel should
be restricted;
(7) Areas designated for loading, unloading or storage of cargo and stores;
and
(8) Areas containing cargo consisting
of dangerous goods or hazardous substances, including certain dangerous
cargoes.
(c) The owner or operator must ensure that all restricted areas have
clearly established security measures
to:
(1) Identify which facility personnel
are authorized to have access;

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§ 105.260

(2) Determine which persons other
than facility personnel are authorized
to have access;
(3) Determine the conditions under
which that access may take place;
(4) Define the extent of any restricted
area;
(5) Define the times when access restrictions apply;
(6) Clearly mark all restricted areas
and indicate that access to the area is
restricted and that unauthorized presence within the area constitutes a
breach of security;
(7) Control the entry, parking, loading and unloading of vehicles;
(8) Control the movement and storage of cargo and vessel stores; and
(9) Control unaccompanied baggage
or personal effects.
(d) MARSEC Level 1. At MARSEC
Level 1, the facility owner or operator
must ensure the implementation of security measures to prevent unauthorized access or activities within the
area. These security measures may include:
(1) Restricting access to only authorized personnel;
(2) Securing all access points not actively used and providing physical barriers to impede movement through the
remaining access points;
(3) Assigning personnel to control access to restricted areas;
(4) Verifying the identification and
authorization of all persons and all vehicles seeking entry;
(5) Patrolling or monitoring the perimeter of restricted areas;
(6) Using security personnel, automatic intrusion detection devices, surveillance equipment, or surveillance
systems to detect unauthorized entry
or movement within restricted areas;
(7) Directing the parking, loading,
and unloading of vehicles within a restricted area;
(8) Controlling unaccompanied baggage and or personal effects after
screening;
(9) Designating restricted areas for
performing inspections of cargo and
vessel stores while awaiting loading;
and
(10) Designating temporary restricted
areas to accommodate facility operations. If temporary restricted areas
are designated, the FSP must include a

requirement to conduct a security
sweep of the designated temporary restricted area both before and after the
area has been established.
(e) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the facility owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in their approved FSP. These additional security measures may include:
(1) Increasing the intensity and frequency of monitoring and access controls on existing restricted access
areas;
(2) Enhancing the effectiveness of the
barriers or fencing surrounding restricted areas, by the use of patrols or
automatic intrusion detection devices;
(3) Reducing the number of access
points to restricted areas, and enhancing the controls applied at the remaining accesses;
(4) Restricting parking adjacent to
vessels;
(5) Further restricting access to the
restricted areas and movements and
storage within them;
(6) Using continuously monitored and
recorded surveillance equipment;
(7) Enhancing the number and frequency of patrols, including waterborne patrols undertaken on the
boundaries of the restricted areas and
within the areas; or
(8) Establishing and restricting access to areas adjacent to the restricted
areas.
(f) MARSEC Level 3. In addition to the
security
measures
required
for
MARSEC Level 1 and MARSEC Level 2,
at MARSEC Level 3, the facility owner
or operator must ensure the implementation of additional security measures,
as specified for MARSEC Level 3 in
their approved FSP. These additional
security measures may include:
(1) Restricting access to additional
areas;
(2) Prohibiting access to restricted
areas, or
(3) Searching restricted areas as part
of a security sweep of all or part of the
facility.

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33 CFR Ch. I (7–1–15 Edition)

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§ 105.265 Security measures for handling cargo.
(a) General. The facility owner or operator must ensure that security measures relating to cargo handling, some
of which may have to be applied in liaison with the vessel, are implemented in
order to:
(1) Deter tampering;
(2) Prevent cargo that is not meant
for carriage from being accepted and
stored at the facility without the
knowing consent of the facility owner
or operator;
(3) Identify cargo that is approved for
loading onto vessels interfacing with
the facility;
(4) Include cargo control procedures
at access points to the facility;
(5) Identify cargo that is accepted for
temporary storage in a restricted area
while awaiting loading or pick up;
(6) Restrict the entry of cargo to the
facility that does not have a confirmed
date for loading, as appropriate;
(7) Ensure the release of cargo only
to the carrier specified in the cargo
documentation;
(8) When there are regular or repeated cargo operations with the same
shipper, coordinate security measures
with the shipper or other responsible
party in accordance with an established agreement and procedure; and
(9) Create, update, and maintain a
continuous inventory of all dangerous
goods and hazardous substances from
receipt to delivery within the facility,
giving the location of those dangerous
goods and hazardous substances.
(b) MARSEC Level 1. At MARSEC
Level 1, the facility owner or operator
must ensure the implementation of
measures to:
(1) Unless unsafe to do so, routinely
check cargo, cargo transport units, and
cargo storage areas within the facility
prior to, and during, cargo handling operations for evidence of tampering;
(2) Check that cargo, containers, or
other cargo transport units entering
the facility match the delivery note or
equivalent cargo documentation;
(3) Screen vehicles; and
(4) Check seals and other methods
used to prevent tampering upon entering the facility and upon storage within the facility.

(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the facility owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in the approved FSP. These additional
security measures may include:
(1) Conducting check of cargo, containers or other cargo transport units,
and cargo storage areas within the facility for evidence of tampering;
(2) Intensifying checks, as appropriate, to ensure that only the documented cargo enters the facility, is
temporarily stored there, and then
loaded onto the vessel;
(3) Intensifying the screening of vehicles;
(4) Increasing frequency and detail in
checking of seals and other methods
used to prevent tampering;
(5) Coordinating enhanced security
measures with the shipper or other responsible party in accordance with an
established agreement and procedures;
(6) Increasing the frequency and intensity of visual and physical inspections; or
(7) Limiting the number of locations
where dangerous goods and hazardous
substances, including certain dangerous cargoes, can be stored.
(d) MARSEC Level 3. In addition to
the security measures required for
MARSEC Level 1 and MARSEC Level 2,
at MARSEC Level 3, the facility owner
or operator must ensure the implementation of additional security measures,
as specified for MARSEC Level 3 in the
approved FSP. These additional security measures may include:
(1) Restricting or suspending cargo
movements or operations within all or
part of the facility or specific vessels;
(2) Being prepared to cooperate with
responders and vessels; or
(3) Verifying the inventory and location of any dangerous goods and hazardous substances, including certain
dangerous cargoes, held within the facility and their location.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60541, Oct. 22, 2003]

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Coast Guard, DHS

§ 105.275

§ 105.270 Security measures for delivery of vessel stores and bunkers.
(a) General. The facility owner or operator must ensure that security measures relating to the delivery of vessel
stores and bunkers are implemented to:
(1) Check vessel stores for package
integrity;
(2) Prevent vessel stores from being
accepted without inspection;
(3) Deter tampering;
(4) For vessels that routinely use a
facility, establish and execute standing
arrangements between the vessel, its
suppliers, and a facility regarding notification and the timing of deliveries
and their documentation; and
(5) Check vessel stores by the following means:
(i) Visual examination;
(ii) Physical examination;
(iii) Detection devices, such as scanners; or
(iv) Canines.
(b) MARSEC Level 1. At MARSEC
Level 1, the facility owner or operator
must ensure the implementation of
measures to:
(1) Screen vessel stores at the rate
specified in the approved Facility Security Plan (FSP);
(2) Require advance notification of
vessel stores or bunkers delivery, including a list of stores, delivery vehicle
driver information, and vehicle registration information;
(3) Screen delivery vehicles at the
frequencies specified in the approved
FSP; and
(4) Escort delivery vehicles within
the facility at the rate specified by the
approved FSP.
(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the facility owner or
operator must also ensure the implementation of additional security measures, as specified for MARSEC Level 2
in the approved FSP. These additional
security measures may include:
(1) Detailed screening of vessel
stores;
(2) Detailed screening of all delivery
vehicles;
(3) Coordinating with vessel personnel to check the order against the
delivery note prior to entry to the facility;

(4) Ensuring delivery vehicles are escorted within the facility; or
(5) Restricting or prohibiting the
entry of vessel stores that will not
leave the facility within a specified period.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the facility owner
and operator must ensure implementation of additional security measures, as
specified for MARSEC Level 3 in the
approved FSP. Examples of these additional security measures may include:
(1) Checking all vessel stores more
extensively;
(2) Restricting or suspending delivery
of vessel stores; or
(3) Refusing to accept vessel stores
on the facility.
§ 105.275 Security measures for monitoring.
(a) General. The facility owner or operator must ensure the implementation
of security measures in this section
and have the capability to continuously monitor, through a combination
of lighting, security guards, waterborne patrols, automatic intrusion-detection devices, or surveillance equipment, as specified in the approved Facility Security Plan (FSP), the:
(1) Facility and its approaches, on
land and water;
(2) Restricted areas within the facility; and
(3) Vessels at the facility and areas
surrounding the vessels.
(b) MARSEC Level 1. At MARSEC
Level 1, the facility owner or operator
must ensure the security measures in
this section are implemented at all
times, including the period from sunset
to sunrise and periods of limited visibility. For each facility, ensure monitoring capability that:
(1) When automatic intrusion-detection devices are used, activates an audible or visual alarm, or both, at a location that is continuously attended or
monitored;
(2) Is able to function continually, including consideration of the possible
effects of weather or of a power disruption;
(3) Monitors the facility area, including shore and waterside access to it;

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§ 105.280

33 CFR Ch. I (7–1–15 Edition)

(4) Monitors access points, barriers
and restricted areas;
(5) Monitors access and movements
adjacent to vessels using the facility,
including augmentation of lighting
provided by the vessel itself; and
(6) Limits lighting effects, such as
glare, and their impact on safety, navigation, and other security activities.
(c) MARSEC Level 2. In addition to
the security measures for MARSEC
Level 1 in this section, at MARSEC
Level 2, the facility owner or operator
must also ensure the implementation
of additional security measures, as
specified for MARSEC Level 2 in the
approved FSP. These additional measures may include:
(1) Increasing the coverage and intensity of surveillance equipment, including the provision of additional surveillance coverage;
(2) Increasing the frequency of foot,
vehicle or waterborne patrols;
(3) Assigning additional security personnel to monitor and patrol; or
(4) Increasing the coverage and intensity of lighting, including the provision
of additional lighting and coverage.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the facility owner or
operator must also ensure implementation of additional security measures, as
specified for MARSEC Level 3 in the
approved FSP. These additional security measures may include:
(1) Switching on all lighting within,
or illuminating the vicinity of, the facility;
(2) Switching on all surveillance
equipment capable of recording activities within or adjacent to the facility;
(3) Maximizing the length of time
such surveillance equipment can continue to record; or
(4) Complying with the instructions
issued by those responding to the security incident.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003]

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§ 105.280

Security incident procedures.

For each MARSEC Level, the facility
owner or operator must ensure the Facility Security Officer and facility security personnel are able to:

(a) Respond to security threats or
breaches of security and maintain critical facility and vessel-to-facility
interface operations;
(b) Evacuate the facility in case of
security threats or breaches of security;
(c) Report security incidents as required in § 101.305 of this subchapter;
(d) Brief all facility personnel on possible threats and the need for vigilance,
soliciting their assistance in reporting
suspicious persons, objects, or activities; and
(e) Secure non-critical operations in
order to focus response on critical operations.
§ 105.285 Additional requirements-passenger and ferry facilities.
(a) At all MARSEC Levels, the owner
or operator of a passenger or ferry facility must ensure, in coordination
with a vessel moored at the facility,
that the following security measures
are implemented in addition to the requirements of this part:
(1) Establish separate areas to segregate unchecked persons and personal
effects from checked persons and personal effects;
(2) Ensure that a defined percentage
of vehicles to be loaded aboard are
screened prior to loading, in accordance with a MARSEC Directive or
other orders issued by the Coast Guard;
(3) Ensure that all unaccompanied
vehicles to be loaded on passenger vessels are screened prior to loading;
(4) Deny passenger access to secure
and restricted areas unless escorted by
authorized facility security personnel;
and
(5) In a facility with a public access
area designated under § 105.106, provide
sufficient security personnel to monitor all persons within the area.
(b) At MARSEC Level 2, in addition
to the requirements in paragraph (a) of
this section, the owner or operator of a
passenger or ferry facility with a public access area designated under
§ 105.106 must increase the intensity of
monitoring of the public access area.
(c) At MARSEC Level 3, in addition
to the requirements in paragraph (a) of
this section, the owner or operator of a
passenger or ferry facility with a public access area designated under

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Coast Guard, DHS

§ 105.296

§ 105.106 must increase the intensity of
monitoring and assign additional security personnel to monitor the public
access area.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3584, Jan. 25, 2007]

§ 105.290 Additional
requirements—
cruise ship terminals.
At all MARSEC Levels, in coordination with a vessel moored at the facility, the facility owner or operator
must ensure the following security
measures:
(a) Screen all persons, baggage, and
personal effects for dangerous substances and devices;
(b) Check the identification of all
persons seeking to enter the facility.
Persons holding a TWIC shall be
checked as set forth in this part. For
persons not holding a TWIC, this check
includes confirming the reason for
boarding by examining passenger tickets, boarding passes, government identification or visitor badges, or work orders;
(c) Designate holding, waiting, or embarkation areas within the facility’s
secure area to segregate screened persons and their personal effects awaiting embarkation from unscreened persons and their personal effects;
(d) Provide additional security personnel to designated holding, waiting,
or embarkation areas within the facility’s secure area; and
(e) Deny individuals not holding a
TWIC access to secure and restricted
areas unless escorted.

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[USCG–2006–24196, 72 FR 3585, Jan. 25, 2007]

§ 105.295 Additional requirements-Certain Dangerous Cargo (CDC) facilities.
(a) At all MARSEC Levels, owners or
operators of CDC facilities must ensure
the implementation of the following
security measures in addition to the
requirements of this part:
(1) Escort all visitors, contractors,
vendors, and other non-facility employees at all times while on the facility, if
access identification is not provided.
Escort provisions do not apply to prearranged cargo deliveries;
(2) Control the parking, loading, and
unloading of vehicles within a facility;

(3) Require security personnel to
record or report their presence at key
points during their patrols;
(4) Search unmanned or unmonitored
waterfront areas for dangerous substances and devices prior to a vessel’s
arrival at the facility; and
(5) Provide an alternate or independent power source for security and
communications systems.
(b) At MARSEC Level 2, in addition
to the requirements for MARSEC Level
1, owners or operators of CDC facilities
must ensure the implementation of the
following security measures:
(1) Release cargo only in the presence
of the Facility Security Officer (FSO)
or a designated representative of the
FSO; and
(2) Continuously patrol restricted
areas.
(c) At MARSEC Level 3, in addition
to the requirements for MARSEC Level
1 and MARSEC Level 2, owners or operators of CDC facilities must ensure the
facilities are continuously guarded and
restricted areas are patrolled.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003]

§ 105.296 Additional
requirementsbarge fleeting facilities.
(a) At MARSEC Level 1, in addition
to the requirements of this part, an
owner or operator of a barge fleeting
facility must ensure the implementation of the following security measures:
(1) Designate one or more restricted
areas within the barge fleeting facility
to handle those barges carrying, in
bulk, cargoes regulated by 46 CFR
chapter I, subchapters D or O, or Certain Dangerous Cargoes;
(2) Maintain a current list of vessels
and cargoes in the designated restricted area; and
(3) Ensure that at least one towing
vessel is available to service the fleeting facility for every 100 barges within
the facility.
(4) Control access to the barges once
tied to the fleeting area by implementing TWIC as described in § 105.255
of this part.
(b) At MARSEC Level 2, in addition
to the requirements of this part and
MARSEC Level 1 requirements, an
owner or operator of a barge fleeting

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§ 105.300

33 CFR Ch. I (7–1–15 Edition)

facility must ensure security personnel
are assigned to monitor or patrol the
designated restricted area within the
barge fleeting facility.
(c) At MARSEC Level 3, in addition
to the requirements of this part and
MARSEC Level 2 requirements, an
owner or operator of a barge fleeting
facility must ensure that both land and
waterside perimeters of the designated
restricted area within the barge fleeting facility are continuously monitored or patrolled.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3585, Jan. 25, 2007]

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Subpart C—Facility Security
Assessment (FSA)
§ 105.300 General.
(a) The Facility Security Assessment
(FSA) is a written document that is
based on the collection of background
information, the completion of an onscene survey and an analysis of that information.
(b) A common FSA may be conducted
for more than one similar facility provided the FSA reflects any facility-specific characteristics that are unique.
(c) Third parties may be used in any
aspect of the FSA if they have the appropriate skills and if the Facility Security Officer (FSO) reviews and accepts their work.
(d) Those involved in a FSA must be
able to draw upon expert assistance in
the following areas, as appropriate:
(1) Knowledge of current security
threats and patterns;
(2) Recognition and detection of dangerous substances and devices;
(3) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(4) Techniques used to circumvent security measures;
(5) Methods used to cause a security
incident;
(6) Effects of dangerous substances
and devices on structures and facility
services;
(7) Facility security requirements;
(8) Facility and vessel interface business practices;
(9) Contingency planning, emergency
preparedness, and response;
(10) Physical security requirements;

(11) Radio and telecommunications
systems, including computer systems
and networks;
(12) Marine or civil engineering; and
(13) Facility and vessel operations.
§ 105.305 Facility Security Assessment
(FSA) requirements.
(a) Background. The facility owner or
operator must ensure that the following background information, if applicable, is provided to the person or
persons who will conduct the assessment:
(1) The general layout of the facility,
including:
(i) The location of each active and inactive access point to the facility;
(ii) The number, reliability, and security duties of facility personnel;
(iii) Security doors, barriers, and
lighting;
(iv) The location of restricted areas;
(v) The emergency and stand-by
equipment available to maintain essential services;
(vi) The maintenance equipment,
cargo spaces, storage areas, and unaccompanied baggage storage;
(vii) Location of escape and evacuation routes and assembly stations;
and
(viii) Existing security and safety
equipment for protection of personnel
and visitors;
(2) Response procedures for fire or
other emergency conditions;
(3) Procedures for monitoring facility
and vessel personnel, vendors, repair
technicians, and dock workers;
(4) Existing contracts with private
security companies and existing agreements with local or municipal agencies;
(5) Procedures for controlling keys
and other access prevention systems;
(6) Procedures for cargo and vessel
stores operations;
(7) Response capability to security
incidents;
(8) Threat assessments, including the
purpose and methodology of the assessment, for the port in which the facility
is located or at which passengers embark or disembark;
(9) Previous reports on security
needs; and

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§ 105.305

(10) Any other existing security procedures and systems, equipment, communications, and facility personnel.
(b) On-scene survey. The facility
owner or operator must ensure that an
on-scene survey of each facility is conducted. The on-scene survey examines
and evaluates existing facility protective measures, procedures, and operations to verify or collect the information required in paragraph (a) of this
section.
(c) Analysis and recommendations. In
conducting the FSA, the facility owner
or operator must ensure that the FSO
analyzes the facility background information and the on-scene survey, and
considering the requirements of this
part, provides recommendations to establish and prioritize the security
measures that should be included in
the FSP. The analysis must consider:
(1) Each vulnerability found during
the on-scene survey including but not
limited to:
(i) Waterside and shore-side access to
the facility and vessel berthing at the
facility;
(ii) Structural integrity of the piers,
facilities, and associated structures;
(iii) Existing security measures and
procedures, including identification
systems;
(iv) Existing security measures and
procedures relating to services and
utilities;
(v) Measures to protect radio and
telecommunication equipment, including computer systems and networks;
(vi) Adjacent areas that may be exploited during or for an attack;
(vii) Areas that may, if damaged or
used for illicit observation, pose a risk
to people, property, or operations within the facility;
(viii) Existing agreements with private security companies providing waterside and shore-side security services;
(ix) Any conflicting policies between
safety and security measures and procedures;
(x) Any conflicting facility operations and security duty assignments;
(xi) Any enforcement and personnel
constraints;
(xii) Any deficiencies identified during daily operations or training and
drills; and

(xiii) Any deficiencies identified following security incidents or alerts, the
report of security concerns, the exercise of control measures, or audits;
(2) Possible security threats, including but not limited to:
(i) Damage to or destruction of the
facility or of a vessel moored at the facility;
(ii) Hijacking or seizure of a vessel
moored at the facility or of persons on
board;
(iii) Tampering with cargo, essential
equipment or systems, or stores of a
vessel moored at the facility;
(iv) Unauthorized access or use including the presence of stowaways;
(v) Smuggling dangerous substances
and devices to the facility;
(vi) Use of a vessel moored at the facility to carry those intending to cause
a security incident and their equipment;
(vii) Use of a vessel moored at the facility as a weapon or as a means to
cause damage or destruction;
(viii) Impact on the facility and its
operations due to a blockage of entrances, locks, and approaches; and
(ix) Use of the facility as a transfer
point for nuclear, biological, radiological, explosive, or chemical weapons;
(3) Threat assessments by Government agencies;
(4) Vulnerabilities, including human
factors, in the facility’s infrastructure,
policies and procedures;
(5) Any particular aspects of the facility, including the vessels using the
facility, which make it likely to be the
target of an attack;
(6) Likely consequences in terms of
loss of life, damage to property, and
economic disruption, including disruption to transportation systems, of an
attack on or at the facility; and
(7) Locations where access restrictions or prohibitions will be applied for
each MARSEC Level.
(d) FSA report. (1) The facility owner
or operator must ensure that a written
FSA report is prepared and included as
part of the FSP. The report must contain:
(i) A summary of how the on-scene
survey was conducted;
(ii) A description of existing security
measures, including inspection, control

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§ 105.310

33 CFR Ch. I (7–1–15 Edition)

and monitoring equipment, personnel
identification documents and communication, alarm, lighting, access control, and similar systems;
(iii) A description of each vulnerability found during the on-scene survey;
(iv) A description of security measures that could be used to address each
vulnerability;
(v) A list of the key facility operations that are important to protect;
and
(vi) A list of identified weaknesses,
including human factors, in the infrastructure, policies, and procedures of
the facility.
(2) A FSA report must describe the
following elements within the facility:
(i) Physical security;
(ii) Structural integrity;
(iii) Personnel protection systems;
(iv) Procedural policies;
(v) Radio and telecommunication
systems, including computer systems
and networks;
(vi) Relevant transportation infrastructure; and
(vii) Utilities.
(3) The FSA report must list the persons, activities, services, and operations that are important to protect,
in each of the following categories:
(i) Facility personnel;
(ii) Passengers, visitors, vendors, repair technicians, vessel personnel, etc.;
(iii) Capacity to maintain emergency
response;
(iv) Cargo, particularly dangerous
goods and hazardous substances;
(v) Delivery of vessel stores;
(vi) Any facility security communication and surveillance systems; and
(vii) Any other facility security systems, if any.
(4) The FSA report must account for
any vulnerabilities in the following
areas:
(i) Conflicts between safety and security measures;
(ii) Conflicts between duties and security assignments;
(iii) The impact of watch-keeping duties and risk of fatigue on facility personnel alertness and performance;
(iv) Security training deficiencies;
and
(v) Security equipment and systems,
including communication systems.

(5) The FSA report must discuss and
evaluate key facility measures and operations, including:
(i) Ensuring performance of all security duties;
(ii) Controlling access to the facility,
through the use of identification systems or otherwise;
(iii) Controlling the embarkation of
vessel personnel and other persons and
their effects (including personal effects
and baggage whether accompanied or
unaccompanied);
(iv) Procedures for the handling of
cargo and the delivery of vessel stores;
(v) Monitoring restricted areas to ensure that only authorized persons have
access;
(vi) Monitoring the facility and areas
adjacent to the pier; and
(vii) The ready availability of security communications, information, and
equipment.
(e) The FSA, FSA report, and FSP
must be protected from unauthorized
access or disclosure.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003]

§ 105.310

Submission requirements.

(a) A completed FSA report must be
submitted with the Facility Security
Plan required in § 105.410 of this part.
(b) A facility owner or operator may
generate and submit a report that contains the Facility Security Assessment
for more than one facility subject to
this part, to the extent that they share
similarities in design and operations, if
authorized and approved by the cognizant COTP.
(c) The FSA must be reviewed and
validated, and the FSA report must be
updated each time the FSP is submitted for reapproval or revisions.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003]

Subpart D—Facility Security Plan
(FSP)
§ 105.400

General.

(a) The Facility Security Officer
(FSO) must ensure a Facility Security
Plan (FSP) is developed and implemented for each facility for which he
or she is designated as FSO. The FSP:

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§ 105.410

(1) Must identify the FSO by name
and position, and provide 24-hour contact information;
(2) Must be written in English;
(3) Must address each vulnerability
identified in the Facility Security Assessment (FSA);
(4) Must describe security measures
for each MARSEC Level; and
(5) May cover more than one facility
to the extent that they share similarities in design and operations, if authorized and approved by the cognizant
COTP.
(b) The FSP must be submitted for
approval to the cognizant COTP in a
written or electronic format. Information for submitting the FSP electronically can be found at https://homeport.uscg.mil/cgi-bin/st/portal/uscgldocs
/MyCG/Editorial/20090220/FSPlSubmissil
FAQ05DEC.pdf?id=00388e15db7e7bf4b1fc3
556059dac7c3e063b57&userlid=c5535d249
7d5d673ff261157e034a1ea.
(c) The FSP is sensitive security information and must be protected in accordance with 49 CFR part 1520.
(d) If the FSP is kept in an electronic
format, procedures must be in place to
prevent its unauthorized deletion, destruction, or amendment.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

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§ 105.405 Format and content of the
Facility Security Plan (FSP).
(a) A facility owner or operator must
ensure that the FSP consists of the individual sections listed in this paragraph (a). If the FSP does not follow
the order as it appears in the list, the
facility owner or operator must ensure
that the FSP contains an index identifying the location of each of the following sections:
(1) Security administration and organization of the facility;
(2) Personnel training;
(3) Drills and exercises;
(4) Records and documentation;
(5) Response to change in MARSEC
Level;
(6) Procedures for interfacing with
vessels;
(7) Declaration of Security (DoS);
(8) Communications;

(9) Security systems and equipment
maintenance;
(10) Security measures for access control, including designated public access
areas;
(11) Security measures for restricted
areas;
(12) Security measures for handling
cargo;
(13) Security measures for delivery of
vessel stores and bunkers;
(14) Security measures for monitoring;
(15) Security incident procedures;
(16) Audits and security plan amendments;
(17) Facility Security Assessment
(FSA) report; and
(18) Facility Vulnerability and Security Measures Summary (Form CG–
6025) in appendix A to part 105–Facility
Vulnerability and Security Measures
Summary (CG–6025).
(b) The FSP must describe in detail
how the requirements of subpart B of
this part will be met. FSPs that have
been approved by the Coast Guard prior
to March 26, 2007, do not need to be
amended to describe their TWIC procedures until the next regularly scheduled resubmission of the FSP.
(c) The Facility Vulnerability and
Security Measures Summary (Form
CG–6025) must be completed using information in the FSA concerning identified vulnerabilities and information
in the FSP concerning security measures
in
mitigation
of
these
vulnerabilities.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended by USCG–2006–24196, 72 FR 3585,
Jan. 25, 2007]

§ 105.410

Submission and approval.

(a) On or before December 31, 2003,
the owner or operator of each facility
currently in operation must either:
(1) Submit one copy of their Facility
Security Plan (FSP) for review and approval to the cognizant COTP and a
letter certifying that the FSP meets
applicable requirements of this part; or
(2) If intending to operate under an
Approved Alternative Security Program, a letter signed by the facility
owner or operator stating which approved Alternative Security Program
the owner or operator intends to use.

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§ 105.415

33 CFR Ch. I (7–1–15 Edition)

(b) Owners or operators of facilities
not in service on or before December
31, 2003, must comply with the requirements in paragraph (a) of this section
60 days prior to beginning operations
or by December 31, 2003, whichever is
later.
(c) The cognizant COTP will examine
each submission for compliance with
this part and either:
(1) Approve it and specify any conditions of approval, returning to the submitter a letter stating its acceptance
and any conditions;
(2) Return it for revision, returning a
copy to the submitter with brief descriptions of the required revisions; or
(3) Disapprove it, returning a copy to
the submitter with a brief statement of
the reasons for disapproval.
(d) An FSP may be submitted and approved to cover more than one facility
where they share similarities in design
and operations, if authorized and approved by each cognizant COTP.
(e) Each facility owner or operator
that submits one FSP to cover two or
more facilities of similar design and
operation must address facility-specific
information that includes the design
and operational characteristics of each
facility and must complete a separate
Facility Vulnerability and Security
Measures Summary (Form CG–6025), in
Appendix A to Part 105—Facility Vulnerability and Security Measures Summary (CG–6025), for each facility covered by the plan.
(f) A FSP that is approved by the
cognizant COTP is valid for five years
from the date of its approval.

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[USCG–2003–14732, 68 FR 39322, July 1, 2003; 68
FR 41916, July 16, 2003, as amended at 68 FR
60542, Oct. 22, 2003; USCG–2004–19963, 70 FR
74669, Dec. 16, 2005; USCG–2013–0397, 78 FR
39173, July 1, 2013]

§ 105.415 Amendment and audit.
(a) Amendments. (1) Amendments to a
Facility Security Plan (FSP) that is
approved by the cognizant COTP may
be initiated by:
(i) The facility owner or operator; or
(ii) The cognizant COTP upon a determination that an amendment is
needed to maintain the facility’s security. The cognizant COTP, who will
give the facility owner or operator
written notice and request that the fa-

cility owner or operator propose
amendments addressing any matters
specified in the notice. The facility
owner or operator will have at least 60
days to submit its proposed amendments. Until amendments are approved, the facility owner or operator
shall ensure temporary security measures are implemented to the satisfaction of the COTP.
(2) Proposed amendments must be
submitted to the cognizant COTP. If
initiated by the facility owner or operator, the proposed amendment must be
submitted at least 30 days before the
amendment is to take effect unless the
cognizant COTP allows a shorter period. The cognizant COTP will approve
or disapprove the proposed amendment
in accordance with § 105.410 of this subpart.
(3) Nothing in this section should be
construed as limiting the facility
owner or operator from the timely implementation of such additional security measures not enumerated in the
approved FSP as necessary to address
exigent security situations. In such
cases, the owner or operator must notify the cognizant COTP by the most
rapid means practicable as to the nature of the additional measures, the
circumstances that prompted these additional measures, and the period of
time these additional measures are expected to be in place.
(4) If there is a change in the owner
or operator, the Facility Security Officer (FSO) must amend the FSP to include the name and contact information of the new facility owner or operator and submit the affected portion of
the FSP for review and approval in accordance with § 105.410 if this subpart.
(b) Audits. (1) The FSO must ensure
an audit of the FSP is performed annually, beginning no later than one year
from the initial date of approval, and
attach a letter to the FSP certifying
that the FSP meets the applicable requirements of this part.
(2) The FSP must be audited if there
is a change in the facility’s ownership
or operator, or if there have been modifications to the facility, including but
not limited to physical structure,
emergency response procedures, security measures, or operations.

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Coast Guard, DHS

§ 105.415

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(3) Auditing the FSP as a result of
modifications to the facility may be
limited to those sections of the FSP affected by the facility modifications.
(4) Unless impracticable due to the
size and nature of the company or the
facility, personnel conducting internal
audits of the security measures specified in the FSP or evaluating its implementation must:
(i) Have knowledge of methods for
conducting audits and inspections, and
security, control, and monitoring techniques;
(ii) Not have regularly assigned security duties; and

(iii) Be independent of any security
measures being audited.
(5) If the results of an audit require
amendment of either the FSA or FSP,
the FSO must submit, in accordance
with § 105.410 of this subpart, the
amendments to the cognizant COTP for
review and approval no later than 30
days after completion of the audit and
a letter certifying that the amended
FSP meets the applicable requirements
of this part.
[USCG–2003–14732, 68 FR 39322, July 1, 2003, as
amended at 68 FR 60542, Oct. 22, 2003]

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Pt. 105, App. A

33 CFR Ch. I (7–1–15 Edition)

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ER22OC03.000

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APPENDIX A TO PART 105—FACILITY VULNERABILITY AND SECURITY MEASURES
SUMMARY (FORM CG–6025)

Pt. 105, App. A

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ER01JY03.002

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Coast Guard, DHS

33 CFR Ch. I (7–1–15 Edition)

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EN01JY03.003

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Pt. 105, App. A

Coast Guard, DHS

Pt. 106

[USCG–2003–14732, 68 FR 39322, July 1, 2003, as amended at 68 FR 60543, Oct. 22, 2003]

PART
106—MARINE
SECURITY:
OUTER
CONTINENTAL
SHELF
(OCS) FACILITIES

106.140 Maritime Security (MARSEC) Directive.
106.145 Right to appeal.

Subpart B—Outer Continental Shelf (OCS)
Facility Security Requirements

Sec.
106.100
106.105
106.110
106.115
106.120
106.125
106.130
106.135

106.200 Owner or operator.
106.205 Company Security Officer (CSO).
106.210 Facility Security Officer (FSO).
106.215 Company or OCS facility personnel
with security duties.
106.220 Security training for all other OCS
facility personnel.
106.225 Drill and exercise requirements.
106.230 OCS facility recordkeeping requirements.

Definitions.
Applicability.
Compliance dates.
Compliance documentation.
Noncompliance.
Waivers.
Equivalents.
Alternative Security Program.

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EN01JY03.004

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Subpart A—General

§ 106.100

33 CFR Ch. I (7–1–15 Edition)

106.235 Maritime Security (MARSEC) Level
coordination and implementation.
106.240 Communications.
106.245 Procedures for interfacing with vessels.
106.250 Declaration of Security (DoS).
106.255 Security systems and equipment
maintenance.
106.260 Security measures for access control.
106.262 Security measures for newly-hired
employees.
106.265 Security measures for restricted
areas.
106.270 Security measures for delivery of
stores and industrial supplies.
106.275 Security measures for monitoring.
106.280 Security incident procedures.

Subpart C—Outer Continental Shelf (OCS)
Facility Security Assessment (FSA)
106.300 General.
106.305 Facility Security Assessment (FSA)
requirements.
106.310 Submission requirements.

Subpart D—Outer Continental Shelf (OCS)
Facility Security Plan (FSP)
106.400 General.
106.405 Format and Content of the Facility
Security Plan (FSP).
106.410 Submission and approval.
106.415 Amendment and audit.
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C.
Chapter 701; 50 U.S.C. 191; 33 CFR 1.05–1, 6.04–
11, 6.14, 6.16, and 6.19; Department Of Homeland Security Delegation No. 0170.1.
SOURCE: USCG–2003–14759, 68 FR 39345, July
1, 2003, unless otherwise noted.

Subpart A—General
§ 106.100

Definitions.

Except as specifically stated in this
subpart, the definitions in part 101 of
this subchapter apply to this part.

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§ 106.105

Applicability.

(a) The requirements in this part
apply to owners and operators of any
fixed or floating facility, including
MODUs not subject to part 104 of this
subchapter, operating on the Outer
Continental Shelf (OCS) of the United
States for the purposes of engaging in
the exploration, development, or production of oil, natural gas, or mineral
resources that are regulated by 33 CFR
subchapter N, that meet the following
operating conditions:

(1) Hosts more than 150 persons for 12
hours or more in each 24-hour period
continuously for 30 days or more;
(2) Produces greater than 100,000 barrels of oil per day; or
(3) Produces greater than 200 million
cubic feet of natural gas per day.
(b) The TWIC requirements found in
this part do not apply to mariners employed aboard vessels moored at U.S.
OCS facilities only when they are
working immediately adjacent to their
vessels in the conduct of vessel activities.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended by USCG–2006–24196, 72 FR 55048,
Sept. 28, 2007]

§ 106.110 Compliance dates.
(a) On or before December 31, 2003,
OCS facility owners or operators must
submit to the cognizant District Commander for each OCS facility—
(1) The Facility Security Plan described in subpart D of this part for review and approval; or
(2) If intending to operate under an
approved Alternative Security Program, a letter signed by the OCS facility owner or operator stating which approved Alternative Security Program
the owner or operator intends to use.
(b) On or before July 1, 2004, each
OCS facility owner or operator must be
operating in compliance with this part.
(c) OCS facilities built on or after
July 1, 2004, must submit for approval
an FSP 60 days prior to beginning operations.
(d) Persons required to obtain a
TWIC under this part may enroll beginning after the date set by the Coast
Guard in a Notice to be published in
the FEDERAL REGISTER. This notice
will be directed to all facilities and
vessels within a specific COTP zone.
(e) Facility owners or operators must
be operating in accordance with the
TWIC provisions in this part by the
date set by the Coast Guard in a Notice
to be published in the FEDERAL REGISTER. This Notice will be published at
least 90 days before compliance must
begin, and will be directed to all facilities within a specific Captain of the
Port zone, based on whether enrollment has been completed in that zone.
Unless an earlier compliance date is
specified in this manner, all facility

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Coast Guard, DHS

§ 106.145

owner or operators will need to implement their TWIC provisions no later
than April 15, 2009.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60557, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3585, Jan. 25, 2007; 73 FR
25565, May 7, 2008]

§ 106.115 Compliance documentation.
Each OCS facility owner or operator
subject to this part must ensure before
July 1, 2004, that copies of the following documentation are available at
the OCS facility and are made available to the Coast Guard upon request:
(a) The approved Facility Security
Plan (FSP) and any approved revisions
or amendments thereto, and a letter of
approval from the cognizant District
Commander dated within the last 5
years;
(b) The FSP submitted for approval
and current written acknowledgment
from the cognizant District Commander, stating that the Coast Guard
is currently reviewing the FSP submitted for approval and that the OCS
facility may continue to operate so
long as the OCS facility remains in
compliance with the submitted FSP; or
(c) For OCS facilities operating under
a Coast Guard-approved Alternative
Security Program as provided in
§ 106.135, a copy of the Alternative Security Program the OCS facility is
using, including a facility specific security assessment report generated
under the Alternative Security Program, as specified in § 101.120(b)(3) of
this subchapter, and a letter signed by
the OCS facility owner or operator,
stating which Alternative Security
Program the OCS facility is using and
certifying that the OCS facility is in
full compliance with that program.

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[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003]

§ 106.120 Noncompliance.
When an OCS facility must temporarily deviate from the requirements of
this part, the OCS facility owner or operator must notify the cognizant District Commander, and either suspend
operations or request and receive permission from the District Commander
to continue operating.
[USCG–2003–14759, 68 FR 60558, Oct. 22, 2003]

§ 106.125

Waivers.

Any OCS facility owner or operator
may apply for a waiver of any requirement of this part that the OCS facility
owner or operator considers unnecessary in light of the nature or operating
conditions of the OCS facility. A request for a waiver must be submitted
in writing with justification to the cognizant District Commander. The cognizant District Commander may require the OCS facility owner or operator to provide additional data for use
in determining the validity of the requested waiver. The cognizant District
Commander may grant a waiver, in
writing, with or without conditions
only if the waiver will not reduce the
overall security of the OCS facility, its
personnel, or visiting vessels.
§ 106.130

Equivalents.

For any measure required by this
part, the OCS facility owner or operator may propose an equivalent, as provided in § 101.130 of this subchapter.
§ 106.135 Alternative
gram.

Security

An OCS facility owner or operator
may use an Alternative Security Program approved under § 101.120 of this
subchapter if:
(a) The Alternative Security Program is appropriate to that OCS facility;
(b) The OCS facility does not serve
vessels on international voyages; and
(c) The Alternative Security Program is implemented in its entirety.
§ 106.140 Maritime Security (MARSEC)
Directive.
All OCS facility owners or operators
subject to this part must comply with
any instructions contained in a
MARSEC
Directive
issued
under
§ 101.405 of this subchapter.
§ 106.145

Right to appeal.

Any person directly affected by a decision or action taken under this part,
by or on behalf of the Coast Guard,
may appeal as described in § 101.420 of
this subchapter.

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§ 106.200

33 CFR Ch. I (7–1–15 Edition)

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Subpart
B—Outer
Continental
Shelf (OCS) Facility Security
Requirements
§ 106.200 Owner or operator.
(a) Each OCS facility owner or operator must ensure that the OCS facility
operates in compliance with the requirements of this part.
(b) For each OCS facility, the OCS facility owner or operator must:
(1) Define the security organizational
structure for each OCS facility and
provide each person exercising security
duties or responsibilities within that
structure the support needed to fulfill
those obligations;
(2) Designate in writing, by name or
title, a Company Security Officer
(CSO) and a Facility Security Officer
(FSO) for each OCS facility and identify how those officers can be contacted at any time;
(3) Ensure that a Facility Security
Assessment (FSA) is conducted;
(4) Ensure the development and submission for approval of a Facility Security Plan (FSP);
(5) Ensure that the OCS facility operates in compliance with the approved
FSP;
(6) Ensure that the TWIC program is
properly implemented as set forth in
this part, including:
(i) Ensuring that only individuals
who hold a TWIC and are authorized to
be in the secure area are permitted to
escort; and
(ii) Identifying what action is to be
taken by an escort, or other authorized
individual, should individuals under escort engage in activities other than
those for which escorted access was
granted.
(7) Ensure that adequate coordination of security issues takes place between OCS facilities and vessels, including the execution of a Declaration
of Security (DoS) as required by this
part;
(8) Ensure, within 12 hours of notification of an increase in MARSEC
Level, implementation of the additional security measures required by
the FSP for the new MARSEC Level;
(9) Ensure all breaches of security
and security incidents are reported in
accordance with part 101 of this subchapter;

(10) Ensure consistency between security requirements and safety requirements;
(11) Inform OCS facility personnel of
their responsibility to apply for and
maintain a TWIC, including the deadlines and methods for such applications, and of their obligation to inform
TSA of any event that would render
them ineligible for a TWIC, or which
would invalidate their existing TWIC;
(12) Ensure that protocols consistent
with § 106.260(c) of this part, for dealing
with individuals requiring access who
report a lost, damaged, or stolen TWIC,
or who have applied for and not yet received a TWIC, are in place; and
(13) If applicable, ensure that protocols consistent with § 106.262 of this
part, for dealing with newly hired employees who have applied for and not
yet received a TWIC, are in place.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3585, Jan. 25, 2007]

§ 106.205 Company Security Officer
(CSO).
(a) General. (1) An OCS facility owner
or operator may designate a single CSO
for all its OCS facilities to which this
part applies, or may designate more
than one CSO, in which case the owner
or operator must clearly identify the
OCS facilities for which each CSO is responsible.
(2) A CSO may perform other duties
within the owner’s or operator’s organization, including the duties of a Facility Security Officer, provided he or
she is able to perform the duties and
responsibilities required of the CSO.
(3) The CSO may delegate duties required by this part, but remains responsible for the performance of those
duties.
(4) The CSO must maintain a TWIC.
(b) Qualifications. The CSO must have
general knowledge, through training or
equivalent job experience, in the following:
(1) Security administration and organization of the OCS facility;
(2) OCS facility and vessel operations
and conditions;
(3) OCS facility and vessel security
measures including the meaning and
consequential requirements of the different MARSEC Levels;

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Coast Guard, DHS

§ 106.210

(4) Emergency preparedness and response and contingency planning;
(5) Security equipment and systems
and their operational limitations;
(6) Methods of conducting audits, inspection, control, and monitoring; and
(7) Techniques for security training
and education, including security
measures and procedures.
(c) In addition to the knowledge and
training in paragraph (b) of this section, the CSO must have general
knowledge, through training or equivalent job experience, in the following, as
appropriate:
(1) Relevant international conventions, codes, and recommendations;
(2) Relevant government legislation
and regulations;
(3) Responsibilities and functions of
other security organizations;
(4) Methodology of Facility Security
Assessment.
(5) Methods of OCS facility security
surveys and inspections;
(6) Handling sensitive security information (SSI) and security related communications;
(7) Knowledge of current security
threats and patterns;
(8) Recognition and detection of dangerous substances and devices;
(9) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(10) Techniques used to circumvent
security measures;
(11) Methods of physical screening
and non-intrusive inspections; and
(12) Conducting and assessing security drills and exercises.
(13) Knowledge of TWIC requirements.
(d) Responsibilities. In addition to any
other duties required by this part, for
each OCS facility for which the CSO is
responsible, the CSO must:
(1) Keep the OCS facility apprised of
potential threats or other information
relevant to its security;
(2) Ensure that a Facility Security
Assessment (FSA) is carried out in
compliance with this part;
(3) Ensure that a Facility Security
Plan (FSP) is developed, approved,
maintained, and implemented in compliance with this part;

(4) Ensure that the FSP is modified
when necessary to comply with this
part;
(5) Ensure that OCS facility security
activities are audited in compliance
with this part;
(6) Ensure the timely correction of
problems identified by audits or inspections;
(7) Enhance security awareness and
vigilance within the owner’s or operator’s organization;
(8) Ensure relevant personnel receive
adequate security training in compliance with this part;
(9) Ensure communication and cooperation between the OCS facility and
vessels that interface with it, in compliance with this part;
(10) Ensure consistency between security requirements and safety requirements in compliance with this part;
(11) Ensure that if a common FSP is
prepared for more than one similar
OCS facility, the FSP reflects any OCS
facility specific characteristics; and
(12) Ensure compliance with an Alternative Security Program or equivalents approved under this subchapter,
if appropriate.
(13) Ensure the TWIC program is
being properly implemented.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003, as amended at 68 FR
60558, Oct. 22, 2003; USCG–2006–24196, 72 FR
3585, Jan. 25, 2007]

§ 106.210 OCS Facility Security Officer
(FSO).
(a) General. (1) The FSO may perform
other duties within the owner’s or operator’s organization, provided he or
she is able to perform the duties and
responsibilities required of the FSO of
each such OCS facility.
(2) The same person may serve as the
FSO for more than one OCS facility,
provided the facilities are within a reasonable proximity to each other. If a
person serves as the FSO for more than
one OCS facility, the name of each OCS
facility for which he or she is the FSO
must be listed in the Facility Security
Plan (FSP) of each OCS facility for
which he or she is the FSO.
(3) The FSO may assign security duties to other OCS facility personnel;
however, the FSO remains responsible
for these duties.

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§ 106.215

33 CFR Ch. I (7–1–15 Edition)

(4) The FSO must maintain a TWIC.
(b) Qualifications. The FSO must have
general knowledge, through training or
equivalent job experience, in the following:
(1) Those items listed in § 106.205(b),
and as appropriate § 106.205(c), of this
part;
(2) OCS facility layout;
(3) The FSP and related procedures;
and
(4) Operation, testing and maintenance of security equipment and systems.
(c) Responsibilities. In addition to any
other responsibilities specified elsewhere in this part, the FSO must, for
each OCS facility for which he or she
has been designated:
(1) Regularly inspect the OCS facility
to ensure that security measures are
maintained in compliance with this
part;
(2) Ensure the maintenance of and supervision of the implementation of the
FSP, and any amendments to the FSP,
in compliance with this part;
(3) Ensure the coordination and handling of stores and industrial supplies
in compliance with this part;
(4) Where applicable, propose modifications to the FSP to the Company
Security Officer (CSO);
(5) Ensure that any problems identified during audits or inspections are reported to the CSO, and promptly implement any corrective actions;
(6) Ensure security awareness and
vigilance on board the OCS facility;
(7) Ensure adequate security training
for OCS facility personnel in compliance with this part;
(8) Ensure the reporting and recording of all security incidents in compliance with this part;
(9) Ensure the coordinated implementation of the FSP with the CSO;
(10) Ensure that security equipment
is properly operated, tested, calibrated
and maintained in compliance with
this part;
(11) Ensure consistency between security requirements and the proper treatment of OCS facility personnel affected
by those requirements;
(12) Ensure that occurrences that
threaten the security of the OCS facility are recorded and reported to the
CSO;

(13) Ensure that when changes in the
MARSEC Level are attained they are
recorded and reported to the CSO, OCS
facility owner or operator, and the cognizant District Commander; and
(14) Have prompt access to a copy of
the FSA, along with an approved copy
of the FSP.
(15) Ensure the TWIC program is
properly implemented.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended by USCG–2006–24196, 72 FR 3585,
Jan. 25, 2007]

§ 106.215 Company or OCS facility personnel with security duties.
Company and OCS facility personnel
responsible for security duties must
maintain a TWIC, and must have
knowledge, through training or equivalent job experience, in the following, as
appropriate:
(a) Knowledge of current and anticipated security threats and patterns.
(b) Recognition and detection of dangerous substances and devices;
(c) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(d) Recognition of techniques used to
circumvent security measures;
(e) Security related communications;
(f) Knowledge of emergency procedures and contingency plans;
(g) Operation of security equipment
and systems;
(h) Testing, calibration, and maintenance of security equipment and systems;
(i) Inspection, control, and monitoring techniques;
(j) Methods of physical screenings of
persons, personal effects, stores and industrial supplies;
(k) Familiarity with all relevant aspects of the TWIC program and how to
carry them out;
(l) Relevant provisions of the Facility Security Plan (FSP); and
(m) The meaning and the consequential requirements of the different
MARSEC Levels.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003, as amended by USCG–
2006–24196, 72 FR 3586, Jan. 25, 2007]

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Coast Guard, DHS

§ 106.230

§ 106.220 Security training for all
other OCS facility personnel.
All other OCS facility personnel, including contractors, whether parttime, full-time, temporary, or permanent, must have knowledge, through
training or equivalent job experience,
of the following, as appropriate:
(a) Relevant provisions of the Facility Security Plan (FSP);
(b) The meaning and the consequential requirements of the different
MARSEC Levels including emergency
procedures and contingency plans;
(c) Recognition and detection of dangerous substances and devices;
(d) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security; and
(e) Recognition of techniques used to
circumvent security measures.
(f) Familiarity with all relevant aspects of the TWIC program and how to
carry them out.

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[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003; USCG–
2006–24196, 72 FR 3586, Jan. 25, 2007]

§ 106.225 Drill and exercise requirements.
(a) General. (1) Drills and exercises
must test the proficiency of facility
personnel in assigned security duties at
all MARSEC Levels and the effective
implementation of the Facility Security Plan (FSP). They must enable the
Facility Security Officer (FSO) to identify any related security deficiencies
that need to be addressed.
(2) A drill or exercise required by this
section may be satisfied with the implementation of security measures required by the FSP as the result of an
increase in the MARSEC Level, provided the FSO reports attainment to
the cognizant District Commander.
(b) Drills. (1) From the date of the
FSP approval, the FSO must ensure
that at least one security drill is conducted every 3 months. Security drills
may be held in conjunction with nonsecurity drills, where appropriate.
(2) Drills must test individual elements of the FSP, including response
to security threats and incidents.
Drills should take into account the
types of operations of the OCS facility,
OCS facility personnel changes, the
types of vessels calling at the OCS fa-

cility,
and
other
relevant
circumstances. Examples of drills include
unauthorized entry to a restricted
area, response to alarms, and notification of appropriate authorities.
(3) If a vessel is conducting operations with the OCS facility on the
date the OCS facility has planned to
conduct any drills, the OCS facility
may include, but cannot require, the
vessel or vessel personnel to participate in the OCS facility’s scheduled
drill.
(c) Exercises. (1) From the date of the
FSP approval, exercises must be conducted at least once each calendar
year, with no more than 18 months between exercises.
(2) Exercises may be:
(i) Full scale or live;
(ii) Tabletop simulation;
(iii) Combined with other appropriate
exercises held; or
(iv) A combination of the elements in
paragraphs (c)(2)(i) through (iii) of this
section.
(3) Exercises may be facility-specific
or part of a cooperative exercise program.
(4) Each exercise must test communication and notification procedures,
and elements of coordination, resource
availability, and response.
(5) Exercises are a full test of the Facility Security Plan and must include
substantial and active participation of
relevant company and OCS facility personnel, and may include governmental
authorities and vessels depending on
the scope and the nature of the exercise.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003]

§ 106.230 OCS facility
requirements.

(a) Unless otherwise specified in this
section, the Facility Security Officer
(FSO) must keep records of the activities as set out in paragraph (b) of this
section for at least 2 years and make
them available to the Coast Guard
upon request.
(b) Records required by this section
may be kept in electronic format. If
kept in an electronic format, they
must be protected against unauthorized access, deletion, destruction,

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§ 106.235

33 CFR Ch. I (7–1–15 Edition)

amendment, and disclosure. The following records must be kept:
(1) Training. For training under
§ 106.215, the date of each session, duration of session, a description of the
training, and a list of attendees;
(2) Drills and exercises. For each drill
or exercise, the date held, a description
of the drill or exercise, a list of participants, and any best practices or lessons
learned which may improve the FSP;
(3) Incidents and breaches of security.
Date and time of occurrence, location
within the OCS facility, a description
of the incident or breach, the identity
of the individual to whom it was reported, and a description of the response;
(4) Changes in MARSEC Levels. Date
and time of the notification received,
and the time of compliance with additional requirements;
(5) Maintenance, calibration, and testing of security equipment. For each occurrence of maintenance, calibration,
and testing, record the date and time,
and the specific security equipment involved;
(6) Security threats. Date and time of
occurrence, how the threat was communicated, who received or identified
the threat, a description of the threat,
to whom it was reported, and a description of the response;
(7) Declaration of Security (DoS). A
copy of each DoS for at least 90 days
after the end of its effective period; and
(8) Annual audit of the Facility Security Plan (FSP). For each annual audit,
a letter certified by the FSO stating
the date the audit was conducted.

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[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003]

§ 106.235 Maritime Security (MARSEC)
Level coordination and implementation.
(a) The OCS facility owner or operator must ensure the OCS facility operates in compliance with the security
requirements in this part for the
MARSEC Level in effect for the OCS
facility.
(b) When notified of an increase in
the MARSEC Level, the OCS facility
owner or operator must ensure:
(1) Vessels conducting operations
with the OCS facility and vessels
scheduled to arrive at the OCS facility

within 96 hours of the MARSEC Level
change are notified of the new
MARSEC Level and the Declaration of
Security (DoS), if applicable, is revised
as necessary;
(2) The OCS facility complies with
the required additional security measures within 12 hours; and
(3) The OCS facility reports compliance or noncompliance to the cognizant District Commander.
(c) For MARSEC Levels 2 and 3, the
Facility Security Officer (FSO) must
inform all OCS facility personnel about
identified threats, emphasize reporting
procedures, and stress the need for increased vigilance.
(d) An OCS facility owner or operator
whose facility is not in compliance
with the requirements of this section
must so inform the cognizant District
Commander and obtain approval prior
to interfacing with another vessel or
prior to continuing operations.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003]

§ 106.240

Communications.

(a) The Facility Security Officer
(FSO) must have a means to effectively
notify OCS facility personnel of
changes in security conditions at the
OCS facility.
(b) Communication systems and procedures must allow effective and continuous communications between the
OCS facility security personnel, vessels
interfacing with the OCS facility, the
cognizant District Commander, and national and local authorities with security responsibilities.
(c) Facility communications systems
must have a backup means for both internal and external communications.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003]

§ 106.245 Procedures
with vessels.

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The OCS facility owner or operator
must ensure that there are measures
for interfacing with vessels at all
MARSEC Levels.

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Coast Guard, DHS

§ 106.260

§ 106.250 Declaration
of
Security
(DoS).
(a) Each OCS facility owner or operator must ensure procedures are established for requesting a DoS and for
handling DoS requests from vessels.
(b) At MARSEC Level 1, owners or
operators of OCS facilities interfacing
with a manned vessel carrying Certain
Dangerous Cargoes, in bulk, must:
(1) Prior to the arrival of a vessel to
the OCS facility, ensure the Facility
Security Officer (FSO) and Master,
Vessel Security Officer (VSO), or their
designated representatives coordinate
security needs and procedures, and
agree upon the contents of a DoS for
the period of time the vessel is at the
OCS facility; and
(2) Upon the arrival of the vessel at
the OCS facility, the FSO and Master,
VSO, or their designated representatives, must sign the written DoS.
(c) Neither the OCS facility nor the
vessel may embark or disembark personnel, or transfer stores or industrial
supplies until the DoS has been signed.
(d) At MARSEC Levels 2 and 3, the
FSOs of OCS facilities interfacing with
manned vessels subject to part 104 of
this chapter, or their designated representatives, must sign and implement
DoSs as required in paragraphs (b)(1)
and (b)(2) of this section.
(e) At MARSEC Levels 1 and 2, FSOs
of OCS facilities that frequently interface with the same vessel may implement a continuing DoS for multiple
visits, provided that:
(1) The DoS is valid for a specific
MARSEC Level;
(2) The effective period at MARSEC
Level 1 does not exceed 90 days; and
(3) The effective period at MARSEC
Level 2 does not exceed 30 days.
(f) When the MARSEC Level increases beyond that contained in the
DoS, the continuing DoS is void and a
new DoS must be executed in accordance with this section.

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[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003, as amended at 68 FR
60558, Oct. 22, 2003]

§ 106.255 Security systems and equipment maintenance.
(a) Security systems and equipment
must be in good working order and inspected, tested, calibrated, and main-

tained according to manufacturers’
recommendations.
(b) Security systems must be regularly tested in accordance with the
manufacturers’
recommendations;
noted deficiencies corrected promptly;
and the results recorded as required in
§ 106.230(b)(5) of this part.
(c) The Facility Security Plan (FSP)
must include procedures for identifying
and responding to security system and
equipment failures or malfunctions.
§ 106.260 Security measures for access
control.
(a) General. The OCS facility owner
or operator must ensure the implementation of security measures to:
(1) Deter the unauthorized introduction of dangerous substances and devices, including any device intended to
damage or destroy persons, vessels, or
the OCS facility;
(2) Secure dangerous substances and
devices that are authorized by the OCS
facility owner or operator to be on
board;
(3) Control access to the OCS facility;
and
(4) Prevent an unescorted individual
from entering the OCS facility unless
the individual holds a duly issued
TWIC and is authorized to be on the
OCS facility.
(b) The OCS facility owner or operator must ensure that the following are
specified:
(1) All locations providing means of
access to the OCS facility where access
restrictions or prohibitions are applied
for each security level to prevent unauthorized access, including those points
where TWIC access control procedures
will be applied;
(2) The identification of the types of
restriction or prohibition to be applied
and the means of enforcing them;
(3) The means used to establish the
identity of individuals not in possession of a TWIC and the means by which
they will be allowed access to the OCS
facility; and
(4) Procedures for identifying authorized and unauthorized persons at any
MARSEC level.
(c) The OCS facility owner or operator must ensure that a TWIC program
is implemented as follows:

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§ 106.260

33 CFR Ch. I (7–1–15 Edition)

(1) All persons seeking unescorted access to secure areas must present their
TWIC for inspection before being allowed unescorted access, in accordance
with § 101.514 of this subchapter. Inspection must include:
(i) A match of the photo on the TWIC
to the individual presenting the TWIC;
(ii) Verification that the TWIC has
not expired; and
(iii) A visual check of the various security features present on the card to
determine whether the TWIC has been
tampered with or forged.
(2) If an individual cannot present a
TWIC because it has been lost, damaged or stolen, and he or she has previously been granted unescorted access
to the facility and is known to have
had a valid TWIC, the individual may
be given unescorted access to secure
areas for a period of no longer than
seven consecutive calendar days if:
(i) The individual has reported the
TWIC as lost, damaged or stolen to
TSA as required in 49 CFR 1572.19(f);
(ii) The individual can present another identification credential that
meets the requirements of § 101.515 of
this subchapter; and
(iii) There are no other suspicious
circumstances associated with the individual’s claim of loss or theft.
(3) If an individual cannot present his
or her TWIC for any other reason than
outlined in paragraph (c)(2) of this section, he or she may not be granted
unescorted access to the secure area.
The individual must be under escort, as
that term is defined in part 101 of this
subchapter, at all times when inside of
a secure area.
(4) With the exception of persons
granted access according to paragraph
(c)(2) of this section, all persons granted unescorted access to secure areas of
the facility must be able to produce his
or her TWIC upon request.
(5) There must be disciplinary measures in place to prevent fraud and
abuse.
(6) The facility’s TWIC program
should be coordinated, when practicable, with identification and TWIC
access control measures of vessels or
other transportation conveyances that
use the facility.
(d) If the OCS facility owner or operator uses a separate identification sys-

tem, ensure that it is coordinated with
identification and TWIC systems in
place on vessels conducting operations
with the OCS facility.
(e) The OCS facility owner or operator must establish in the approved Facility Security Plan (FSP) the frequency of application of any access
controls, particularly if they are to be
applied on a random or occasional
basis.
(f) MARSEC Level 1. The OCS facility
owner or operator must ensure the following security measures are implemented at the facility:
(1) Implement TWIC as set out in
paragraph (c) of this section.
(2) Screen persons and personal effects going aboard the OCS facility for
dangerous substances and devices at
the rate specified in the approved FSP;
(3) Conspicuously post signs that describe security measures currently in
effect and clearly stating that:
(i) Boarding an OCS facility is
deemed valid consent to screening or
inspection; and
(ii) Failure to consent or submit to
screening or inspection will result in
denial or revocation of authorization
to be on board;
(4) Check the identification of any
person seeking to board the OCS facility, including OCS facility employees,
passengers and crews of vessels interfacing with the OCS facility, vendors,
and visitors and ensure that non-TWIC
holders are denied unescorted access to
the OCS facility;
(5) Deny or revoke a person’s authorization to be on board if the person is
unable or unwilling, upon the request
of OCS facility personnel or a law enforcement officer, to establish his or
her identity in accordance with this
part or to account for his or her presence on board. Any such incident must
be reported in compliance with this
part;
(6) Deter unauthorized access to the
OCS facility;
(7) Identify access points that must
be secured or attended to deter unauthorized access;
(8) Lock or otherwise prevent access
to unattended spaces that adjoin areas
to which OCS facility personnel and
visitors have access;

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Coast Guard, DHS

§ 106.262

(9) Ensure OCS facility personnel are
not required to engage in or be subjected to screening, of the person or of
personal effects, by other OCS facility
personnel, unless security clearly requires it;
(10) Provide a designated secure area
on board, or in liaison with a vessel
interfacing with the OCS facility, for
conducting inspections and screening
of people and their personal effects;
and
(11) Respond to the presence of unauthorized persons on board.
(g) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the OCS facility
owner or operator must ensure the implementation of additional security
measures, as specified for MARSEC
Level 2 in the approved FSP. These additional security measures may include:
(1) Increasing the frequency and detail of screening of people and personal
effects embarking onto the OCS facility as specified for MARSEC Level 2 in
the approved FSP;
(2) Assigning additional personnel to
patrol deck areas during periods of reduced OCS facility operations to deter
unauthorized access;
(3) Limiting the number of access
points to the OCS facility by closing
and securing some access points; or
(4) Deterring waterside access to the
OCS facility, which may include, providing boat patrols.
(h) MARSEC Level 3. In addition to
the security measures required for
MARSEC Level 1 and MARSEC Level 2,
at MARSEC level 3, the facility owner
or operator must ensure the implementation of additional security measures,
as specified for MARSEC Level 3 in
their approved FSP. The additional security measures may include:
(1) Screening all persons and personal
effects for dangerous substances and
devices;
(2) Being prepared to cooperate with
responders;
(3) Limiting access to the OCS facility to a single, controlled access point;
(4) Granting access to only those responding to the security incident or
threat thereof;

(5) Suspending embarkation and/or
disembarkation of personnel;
(6) Suspending the loading of stores
or industrial supplies;
(7) Evacuating the OCS facility; or
(8) Preparing for a full or partial
search of the OCS facility.
[USCG–2006–24196, 72 FR 3586, Jan. 25, 2007]

§ 106.262 Security measures for newlyhired employees.
(a) Newly-hired OCS facility employees may be granted entry to secure
areas of the OCS facility for up to 30
consecutive calendar days prior to receiving their TWIC provided all of the
requirements in paragraph (b) of this
section are met, and provided that the
new hire is accompanied by an individual with a TWIC while within the
secure areas of the OCS facility. If TSA
does not act upon a TWIC application
within 30 days, the cognizant Coast
Guard COTP may further extend access
to secure areas for another 30 days. The
Coast Guard will determine whether, in
particular circumstances, certain practices meet the condition of a new hire
being accompanied by another individual with a TWIC. The Coast Guard
will issue guidance for use in making
these determinations.
(b) Newly-hired OCS facility employees may be granted the access provided
for in paragraph (a) of this section if:
(1) The new hire has applied for a
TWIC in accordance with 49 CFR part
1572 by completing the full enrollment
process, paying the user fee, and is not
currently engaged in a waiver or appeal
process. The OCS facility owner or operator or Facility Security Officer
(FSO) must have th enew hire sign a
statement affirming this, and must retain the signed statement until the
new hire receives a TWIC;
(2) The OCS facility owner or operator or the FSO enters the following
information on the new hire into the
Coast Guard’s Homeport Web site
(http://homeport.uscg.mil):
(i) Full legal name, including middle
name if one exists;
(ii) Date of birth;
(iii) Social security number (optional);
(iv) Employer name and 24 hour contact information; and
(v) Date of TWIC enrollment.

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§ 106.265

33 CFR Ch. I (7–1–15 Edition)

(3) The new hire presents an identification credential that meets the requirements of § 101.515 of this subchapter;
(4) There are no other circumstances
that would cause reasonable suspicion
regarding the new hire’s ability to obtain a TWIC, and the OCS facility
owner or operator or FSO have not
been informed by the cognizant COTP
that the individual poses a security
threat; and
(5) There would be an adverse impact
to OCS facility operations if the new
hire is not allowed access.
(c) This section does not apply to any
individual being hired as a Company
Security Officer or FSO, or any individual being hired to perform OCS facility security duties.
(d) The new hire may not begin working at the OCS facility under the provisions of this section until the owner,
operator, or FSO receives notification,
via Homeport or some other means, the
new hire has passed an initial name
check.
[USCG–2006–24196, 72 FR 3587, Jan. 25, 2007]

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§ 106.265 Security
stricted areas.

measures

for

re-

(a) General. The OCS facility owner
or operator must ensure the designation of restricted areas in order to:
(1) Prevent or deter unauthorized access;
(2) Protect persons authorized to be
in the OCS facility;
(3) Protect the OCS facility;
(4) Protect vessels using and serving
the OCS facility;
(5) Protect sensitive security areas
within the OCS facility;
(6) Protect security and surveillance
equipment and systems; and
(7) Protect stores and industrial supplies from tampering.
(b) Designation of restricted areas. The
OCS facility owner or operator must
ensure restricted areas are designated
within the OCS facility. They must
also ensure that all restricted areas are
clearly marked and indicate that access to the area is restricted and that
unauthorized presence within the area
constitutes a breach of security. The
OCS facility owner or operator may
designate the entire OCS facility as a

restricted area. Restricted areas must
include, as appropriate:
(1) Areas containing sensitive security information;
(2) Areas containing security and surveillance equipment and systems and
their controls, and lighting system
controls; and
(3) Areas containing critical OCS facility infrastructure equipment, including:
(i) Water supplies;
(ii) Telecommunications;
(iii) Power distribution system;
(iv) Access points for ventilation and
air-conditioning systems;
(v) Manufacturing areas and control
rooms;
(vi) Areas designated for loading, unloading or storage of stores and industrial supplies; and
(vii) Areas containing hazardous materials.
(c) The OCS facility owner or operator must ensure that the Facility Security Plan (FSP) includes measures
for restricted areas to:
(1) Identify which OCS facility personnel are authorized to have access;
(2) Determine which persons other
than OCS facility personnel are authorized to have access;
(3) Determine the conditions under
which that access may take place;
(4) Define the extent of any restricted
area; and
(5) Define the times when access restrictions apply.
(d) MARSEC Level 1. At MARSEC
Level 1, the OCS facility owner or operator must ensure the implementation
of security measures to prevent unauthorized access or activities within the
area. These security measures may include:
(1) Restricting access to only authorized personnel;
(2) Securing all access points not actively used and providing physical barriers to impede movement through the
remaining access points;
(3) Verifying the identification and
authorization of all persons seeking
entry;
(4) Using security personnel, automatic intrusion detection devices, surveillance equipment, or surveillance
systems to detect unauthorized entry

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Coast Guard, DHS

§ 106.270

to or movement within restricted
areas; or
(5) Designating temporary restricted
areas to accommodate OCS facility operations. If temporary restricted areas
are designated, the FSP must include
security requirements to conduct a security sweep of the designated temporary restricted areas both before and
after the area has been established.
(e) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the OCS facility
owner or operator must also ensure the
implementation of additional security
measures, as specified for MARSEC
Level 2 in their approved FSP. These
additional security measures may include:
(1) Enhancing the effectiveness of the
barriers surrounding restricted areas,
for example, by the use of patrols or
automatic intrusion detection devices;
(2) Reducing the number of access
points to restricted areas, and enhancing the controls applied at the remaining accesses;
(3) Further restricting access to the
restricted areas and movements and
storage within them;
(4) Using continuously monitored and
recorded surveillance equipment;
(5) Increasing the number and frequency of patrols, including the use of
waterborne patrols; or
(6) Restricting access to areas adjacent to the restricted areas.
(f) MARSEC Level 3. In addition to the
security
measures
required
for
MARSEC Level 1 and MARSEC Level 2,
at MARSEC Level 3, the OCS facility
owner or operator must ensure the implementation of additional security
measures, as specified for MARSEC
Level 3 in their approved FSP. These
additional security measures may include:
(1) Restricting access to additional
areas;
(2) Prohibiting access to restricted
areas; or
(3) Searching restricted areas as part
of a security sweep of all or part of the
OCS facility.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003]

§ 106.270 Security measures for delivery of stores and industrial supplies.
(a) General. The OCS facility owner
or operator must ensure that security
measures relating to the delivery of
stores or industrial supplies to the OCS
facility are implemented to:
(1) Check stores or industrial supplies
for package integrity;
(2) Prevent stores or industrial supplies from being accepted without inspection;
(3) Deter tampering; and
(4) Prevent stores and industrial supplies from being accepted unless ordered. For any vessels that routinely
use an OCS facility, an OCS facility
owner or operator may establish and
implement standing arrangements between the OCS facility, its suppliers,
and any vessel delivering stores or industrial supplies regarding notification
and the timing of deliveries and their
documentation.
(b) MARSEC Level 1. At MARSEC
Level 1, the OCS facility owner or operator must ensure the implementation
of measures to:
(1) Inspect stores or industrial supplies before being accepted; and
(2) Check that stores or industrial
supplies match the order prior to being
brought on board.
(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the OCS facility
owner or operator must also ensure the
implementation of additional security
measures, as specified for MARSEC
Level 2 in the approved Facility Security Plan (FSP). These additional security measures may include:
(1) Intensifying inspection of the
stores or industrial supplies during delivery; or
(2) Checking stores or industrial supplies prior to receiving them on board.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the OCS facility
owner or operator must ensure the implementation of additional security
measures, as specified for MARSEC
Level 3 in the approved FSP. These additional security measures may include:

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§ 106.275

33 CFR Ch. I (7–1–15 Edition)

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(1) Checking all OCS facility stores
or industrial supplies more extensively;
(2) Restricting or suspending delivery
of stores or industrial supplies; or
(3) Refusing to accept stores or industrial supplies on board.
§ 106.275 Security measures for monitoring.
(a) General. (1) The OCS facility
owner or operator must ensure the implementation of security measures in
this section and have the capability to
continuously monitor, through a combination of lighting, watchkeepers, security guards, deck watches, waterborne patrols, automatic intrusion-detection devices, or surveillance equipment as specified in their approved Facility Security Plan (FSP), the:
(i) OCS facility;
(ii) Restricted areas on board the
OCS facility; and
(iii) The area surrounding the OCS
facility.
(2) The following must be considered
when establishing the appropriate level
and location of lighting:
(i) OCS facility personnel should be
able to detect activities on and around
OCS facilities;
(ii) Coverage should facilitate personnel identification at access points;
and
(iii) Lighting effects, such as glare,
and their impact on safety, navigation,
and other security activities.
(b) MARSEC Level 1. At MARSEC
Level 1, the OCS facility owner or operator must ensure the implementation
of security measures, which may be implemented in coordination with a vessel interfacing with the OCS facility,
to:
(1) Monitor the OCS facility, particularly OCS facility access points and restricted areas;
(2) Be able to conduct emergency
searches of the OCS facility;
(3) Ensure that equipment or system
failures or malfunctions are identified
and corrected;
(4) Ensure that any automatic intrusion detection device, sets off an audible or visual alarm, or both, at a location that is continuously attended or
monitored; and
(5) Light deck and OCS facility access points during the period between

sunset and sunrise and periods of limited visibility sufficiently to allow visual identification of persons seeking
access to the OCS facility.
(c) MARSEC Level 2. In addition to
the security measures required for
MARSEC Level 1 in this section, at
MARSEC Level 2, the OCS facility
owner or operator must also ensure the
implementation of additional security
measures, as specified for MARSEC
Level 2 in the approved FSP. These additional security measures may include:
(1) Increasing the frequency and detail of security patrols;
(2) Using (if not already in use) or increasing the use of security and surveillance equipment;
(3) Assigning additional personnel as
security lookouts; or
(4) Coordinating with boat patrols,
when provided.
(d) MARSEC Level 3. In addition to
the security measures for MARSEC
Level 1 and MARSEC Level 2, at
MARSEC Level 3, the OCS facility
owner or operator must ensure the implementation of additional security
measures, as specified for MARSEC
Level 3 in the approved FSP. These additional security measures may include:
(1) Cooperating with responders;
(2) Switching on all lights;
(3) Switching on all surveillance
equipment capable of recording activities on, or in the vicinity of, the OCS
facility;
(4) Maximizing the length of time
such surveillance equipment (if not already in use) can continue to record; or
(5) Preparing for underwater inspection of the OCS facility.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003, as amended at 68 FR
60558, Oct. 22, 2003]

§ 106.280

Security incident procedures.

For each MARSEC Level, the OCS facility owner or operator must ensure
the Facility Security Officer (FSO) and
OCS facility security personnel are
able to:
(a) Respond to security threats or
breaches of security and maintain critical OCS facility and OCS facility-tovessel interface operations;

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Coast Guard, DHS

§ 106.305

(b) Deny access to the OCS facility,
except to those responding to an emergency;
(c) Evacuate the OCS facility in case
of security threats or breaches of security; and
(d) Report security incidents as required in § 101.305 of this subchapter;
(e) Brief all OCS facility personnel on
possible threats and the need for vigilance, soliciting their assistance in reporting suspicious persons, objects, or
activities; and
(f) Secure non-critical operations in
order to focus response on critical operations.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003]

Subpart
C—Outer
Continental
Shelf (OCS) Facility Security
Assessment (FSA)

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§ 106.300

General.

(a) The Facility Security Assessment
(FSA) is a written document that is
based on the collection of background
information, the completion of an onscene survey and an analysis of that information.
(b) A single FSA may be performed
and applied to more than one OCS facility to the extent they share physical
characteristics, location, and operations.
(c) Third parties may be used in any
aspect of the FSA if they have the appropriate skills and if the Company Security Officer (CSO) reviews and accepts their work.
(d) Those involved in a FSA must be
able to draw upon expert assistance in
the following areas, as appropriate:
(1) Knowledge of current and anticipated security threats and patterns;
(2) Recognition and detection of dangerous substances and devices;
(3) Recognition of characteristics and
behavioral patterns of persons who are
likely to threaten security;
(4) Recognition of techniques used to
circumvent security measures;
(5) Methods used to cause a security
incident;
(6) Effects of dangerous substances
and devices on structures and essential
services;

(7) OCS facility security requirements;
(8) OCS facility and vessel interface
business practices;
(9) Contingency planning, emergency
preparedness and response;
(10) Physical security requirements;
(11) Radio and telecommunications
systems, including computer systems
and networks;
(12) Marine or civil engineering; and
(13) OCS facility and vessel operations.
§ 106.305 Facility Security Assessment
(FSA) requirements.
(a) Background. The OCS facility
owner or operator must ensure that the
following background information, if
applicable, is provided to the person or
persons who will conduct the assessment:
(1) The general layout of the OCS facility, including:
(i) The location of each access point
to the OCS facility;
(ii) The number, reliability, and security duties of OCS facility personnel;
(iii) Security doors, barriers, and
lighting;
(iv) The location of restricted areas;
(v) The emergency and stand-by
equipment available to maintain essential services;
(vi) The essential maintenance equipment and storage areas;
(vii) Location of escape and evacuation routes and assembly stations;
and
(viii) Existing security and safety
equipment for protection of personnel;
(2) Response procedures for fire or
other emergency conditions;
(3) Procedures for monitoring OCS facility and vessel personnel;
(4) Procedures for controlling keys
and other access prevention systems;
(5) Response capability for security
incidents;
(6) Threat assessments, including the
purpose and methodology of the assessment, for the OCS facility’s location;
(7) Previous reports on security
needs; and
(8) Any other existing security procedures and systems, equipment, communications, and OCS facility personnel.
(b) On-scene survey. The OCS facility
owner or operator must ensure that an

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§ 106.305

33 CFR Ch. I (7–1–15 Edition)

on-scene survey of each OCS facility is
conducted. The on-scene survey examines and evaluates existing OCS facility protective measures, procedures,
and operations to verify or collect the
information required in paragraph (a)
of this section.
(c) Analysis and recommendations. In
conducting the FSA, the OCS owner or
operator must ensure that the Company Security Officer (CSO) analyzes
the OCS facility background information and the on-scene survey, and considering the requirements of this part,
provides recommendations to establish
and prioritize the security measures
that should be included in the FSP.
The analysis must consider:
(1) Each vulnerability found during
the on-scene survey, including but not
limited to:
(i) Access to the OCS facility;
(ii) Structural integrity of the OCS
facility;
(iii) Existing security measures and
procedures, including identification
systems;
(iv) Existing security measures and
procedures relating to essential services;
(v) Measures to protect radio and
telecommunication equipment, including computer systems and networks;
(vi) Existing agreements with private
security companies;
(vii) Any conflicting policies between
safety and security measures and procedures;
(viii) Any conflicting OCS facility operations and security duty assignments;
(ix) Any deficiencies identified during daily operations or training and
drills; and
(x) Any deficiencies identified following security incidents or alerts, the
report of security concerns, the exercise of control measures, or audits.
(2) Possible security threats, including but not limited to:
(i) Damage to or destruction of the
OCS facility or of a vessel adjacent to
the OCS facility;
(ii) Smuggling dangerous substances
and devices;
(iii) Use of a vessel interfacing with
the OCS facility to carry those intending to cause a security incident and
their equipment;

(iv) Use of a vessel interfacing with
the OCS facility as a weapon or as a
means to cause damage or destruction;
and
(v) Effects of a nuclear, biological,
radiological, explosive, or chemical attack to the OCS facility’s shoreside
support system;
(3) Threat assessments by Government agencies;
(4) Vulnerabilities, including human
factors, in the OCS facility’s infrastructure, policies and procedures;
(5) Any particular aspects of the OCS
facility, including the vessels that
interface with the OCS facility, which
make it likely to be the target of an
attack;
(6) Likely consequences, in terms of
loss of life, damage to property, or economic disruption, of an attack on or at
the OCS facility; and
(7) Locations where access restrictions or prohibitions will be applied for
each MARSEC Level.
(d) FSA Report. (1) The OCS facility
owner or operator must ensure that a
written FSA report is prepared and included as a part of the FSP. The report
must contain:
(i) A summary of how the on-scene
survey was conducted;
(ii) A description of existing security
measures, including inspection, control
and monitoring equipment, personnel
identification documents and communication, alarm, lighting, access control, and similar systems;
(iii) A description of each vulnerability found during the on-scene survey;
(iv) A description of security measures that could be used to address each
vulnerability;
(v) A list of the key OCS facility operations that are important to protect;
and
(vi) A list of identified weaknesses,
including human factors, in the infrastructure, policies, and procedures of
the OCS facility.
(2) A FSA report must describe the
following elements within the OCS facility:
(i) Physical security;
(ii) Structural integrity;
(iii) Personnel protection systems;
(iv) Procedural policies;

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Coast Guard, DHS

§ 106.400

(v) Radio and telecommunication
systems, including computer systems
and networks; and
(vi) Essential services.
(3) The FSA report must list the persons, activities, services, and operations that are important to protect,
in each of the following categories:
(i) OCS facility personnel;
(ii) Visitors, vendors, repair technicians, vessel personnel, etc.;
(iii) OCS facility stores;
(iv) Any security communication and
surveillance systems; and
(v) Any other security systems, if
any.
(4) The FSA report must account for
any vulnerabilities in the following
areas:
(i) Conflicts between safety and security measures;
(ii) Conflicts between personnel duties and security assignments;
(iii) The impact of watch-keeping duties and risk of fatigue on personnel
alertness and performance;
(iv) Security training deficiencies;
and
(v) Security equipment and systems,
including communication systems.
(5) The FSA report must discuss and
evaluate key OCS facility measures
and operations, including—
(i) Ensuring performance of all security duties;
(ii) Controlling access to the OCS facility through the use of identification
systems or otherwise;
(iii) Controlling the embarkation of
OCS facility personnel and other persons and their effects (including personal effects and baggage, whether accompanied or unaccompanied);
(iv) Supervising the delivery of stores
and industrial supplies;
(v) Monitoring restricted areas to ensure that only authorized persons have
access;
(vi) Monitoring deck areas and areas
surrounding the OCS facility; and
(vii) The ready availability of security communications, information, and
equipment.
(e) The FSA, FSA report, and FSP
must be protected from unauthorized
access or disclosure.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003, as amended at 68 FR
60558, Oct. 22, 2003]

§ 106.310

Submission requirements.

(a) A completed FSA report must be
submitted with the Facility Security
Plan (FSP) required in § 106.410 of this
part.
(b) An OCS facility owner or operator
may generate and submit a report that
contains the FSA for more than one
OCS facility subject to this part, to the
extent that they share similarities in
physical characteristics, location and
operations.
(c) The FSA must be reviewed and
validated, and the FSA report must be
updated each time the FSP is submitted for reapproval or revisions.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003]

Subpart
D—Outer
Continental
Shelf (OCS) Facility Security
Plan (FSP)
§ 106.400

General.

(a) The OCS facility owner or operator must ensure the FSO develops and
implements a Facility Security Plan
(FSP) for each OCS facility for which
he or she is designated as FSO. The
FSP:
(1) Must identify the FSO by name or
position and provide 24-hour contact
information;
(2) Must be written in English;
(3) Must address each vulnerability
identified in the Facility Security Assessment (FSA);
(4) Must describe security measures
for each MARSEC Level; and
(5) May cover more than one OCS facility to the extent that they share
similarities in physical characteristics
and operations, if authorized and approved by the cognizant District Commander.
(b) The FSP must be submitted for
approval to the cognizant District
Commander in a written or electronic
format in a manner prescribed by the
cognizant District Commander.
(c) The FSP is sensitive security information and must be protected in accordance with 49 CFR part 1520.
(d) If the FSP is kept in an electronic
format, procedures must be in place to
prevent its unauthorized deletion, destruction, or amendment.

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§ 106.405

33 CFR Ch. I (7–1–15 Edition)

§ 106.405 Format and content of the
Facility Security Plan (FSP).
(a) An OCS facility owner or operator
must ensure that the FSP consists of
the individual sections listed in this
paragraph (a). If the FSP does not follow the order as it appears in this paragraph, the OCS facility owner or operator must ensure that the FSP contains an index identifying the location
of each of the following sections:
(1) Security organization of the OCS
facility;
(2) Personnel training;
(3) Drills and exercises;
(4) Records and documentation;
(5) Response to change in MARSEC
Level;
(6) Procedures for interfacing with
vessels;
(7) Declaration of Security (DoS);
(8) Communications;
(9) Security systems and equipment
maintenance;
(10) Security measures for access control;
(11) Security measures for restricted
areas;
(12) Security measures for delivery of
stores and industrial supplies;
(13) Security measures for monitoring;
(14) Security incident procedures;
(15) Audits and FSP amendments;
and
(16) Facility Security Assessment
(FSA) report.
(b) The FSP must describe in detail
how the requirements of Subpart B of
this part will be met. FSPs that have
been approved by the Coast Guard prior
to March 26, 2007 do not need to be
amended to describe their TWIC procedures until the next regularly scheduled resubmission of the FSP.
[USCG–2003–14759, 68 FR 39345, July 1, 2003; 68
FR 41917, July 16, 2003, as amended by USCG–
2006–24196, 72 FR 3587, Jan. 25, 2007]

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§ 106.410

Submission and approval.

(a) On or before December 31, 2003,
the owner or operator of each OCS facility currently in operation must either:
(1) Submit one copy of the Facility
Security Plan (FSP) for review and approval to the cognizant District Commander and a letter certifying that the

FSP meets the applicable requirements
of this part; or
(2) If intending to operate under an
Approved Alternative Security Program, submit a letter signed by the
OCS facility owner or operator stating
which approved Alternative Security
Program the owner or operator intends
to use.
(b) Owners or operators of OCS facilities not in service on or before December 31, 2003, must comply with the requirements in paragraph (a) of this section 60 days prior to beginning operations or by December 31, 2003, whichever is later.
(c) The cognizant District Commander will examine each submission
for compliance with this part and either:
(1) Approve it and specify any conditions of approval, returning to the submitter a letter stating its acceptance
and any conditions;
(2) Return it for revision, returning a
copy to the submitter with brief descriptions of the required revisions; or
(3) Disapprove it, returning a copy to
the submitter with a brief statement of
the reasons for disapproval.
(d) An FSP may be submitted and approved to cover more than one OCS facility where they share similarities in
physical characteristics, location, and
operations.
(e) Each OCS facility owner or operator that submits one FSP to cover
two or more OCS facilities of similar
design, location, and operation must
address OCS facility-specific information that includes the physical and
operational characteristics of each
OCS facility.
(f) An FSP that is approved by the
cognizant District Commander is valid
for 5 years from the date of its approval. The cognizant District Commander will issue an approval letter, as
indicated in § 106.115 of this part.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60558, Oct. 22, 2003; USCG–
2013–0397, 78 FR 39173, July 1, 2013]

§ 106.415

Amendment and audit.

(a) Amendments. (1) Amendments to a
Facility Security Plan (FSP) that are
approved by the cognizant District
Commander may be initiated by:

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Coast Guard, DHS

Pt. 107

(i) The OCS facility owner or operator; or
(ii) The cognizant District Commander, upon a determination that an
amendment is needed to maintain the
OCS facility’s security. The cognizant
District Commander will give the OCS
facility owner or operator written notice and request that the OCS facility
owner or operator propose amendments
addressing any matters specified in the
notice. The OCS facility owner or operator will have at least 60 days to submit its proposed amendments. Until
amendments are approved, the OCS facility owner or operator shall ensure
temporary security measures are implemented to the satisfaction of the
cognizant District Commander.
(2) Proposed amendments must be
sent to the cognizant District Commander. If initiated by the OCS facility
owner or operator, the proposed
amendment must be submitted at least
30 days before the amendment is to
take effect unless the cognizant District Commander allows a shorter period. The cognizant District Commander will approve or disapprove the
proposed amendment in accordance
with § 106.410 of this subpart.
(3) Nothing in this section should be
construed as limiting the OCS facility
owner or operator from the timely implementation of such additional security measures not enumerated in the
approved FSP as necessary to address
exigent security situations. In such
cases, the owner or operator must notify the cognizant District Commander
by the most rapid means practicable as
to the nature of the additional measures, the circumstances that prompted
these additional measures, and the period of time these additional measures
are expected to be in place.
(4) If the owner or operator has
changed, the Facility Security Officer
(FSO) must amend the Facility Security Plan (FSP) to include the name
and contact information of the new
OCS facility owner(s) or operator(s)
and submit the affected portion of the
FSP for review and approval in accordance with § 106.410 of this subpart.
(b) Audits. (1) The FSO must ensure
an audit of the FSP is performed annually, beginning no later than one year
from the initial date of approval and

attach a letter to the FSP certifying
that the FSP meets the applicable requirements of this part.
(2) If there is a change in ownership
or operations of the OCS facility, or if
there have been modifications to the
OCS facility, the FSP must be audited
including but not limited to physical
structure, emergency response procedures, security measures, or operations.
(3) Auditing the FSP as a result of
modifications to the OCS facility may
be limited to those sections of the FSP
affected by the OCS facility modifications.
(4) Unless impracticable due to the
size and nature of the company or the
OCS facility, personnel conducting internal audits of the security measures
specified in the FSP or evaluating its
implementation must:
(i) Have knowledge of methods of
conducting audits and inspections, and
control and monitoring techniques;
(ii) Not have regularly assigned security duties; and
(iii) Be independent of any security
measures being audited.
(5) If the results of an audit require
an amendment of either the Facility
Security Assessment (FSA) or FSP, the
FSO must submit, in accordance with
§ 106.410 of this subpart, the amendments to the cognizant District Commander for review and approval no
later than 30 days after completion of
the audit and a letter certifying that
the amended FSP meets the applicable
requirements of this part.
[USCG–2003–14759, 68 FR 39345, July 1, 2003, as
amended at 68 FR 60559, Oct. 22, 2003]

PART 107—NATIONAL VESSEL AND
FACILITY CONTROL MEASURES
AND LIMITED ACCESS AREAS
Subpart A [Reserved]
Subpart B—Unauthorized Entry Into Cuban
Territorial Waters
Sec.
107.200
107.205
107.210
107.215
107.220
107.225
107.230

Definitions.
Purpose and delegation.
Applicability.
Regulations.
Permits.
Appeals.
Enforcement.

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§ 107.200
107.240

33 CFR Ch. I (7–1–15 Edition)

Continuation.

AUTHORITY: 50 U.S.C. 191, 192, 194, 195; 14
U.S.C. 141; Presidential Proclamation 6867, 61
FR 8843, 3 CFR, 1996 Comp., p. 8; Presidential
Proclamation 7757, 69 FR 9515 (March 1, 2004);
Secretary of Homeland Security Order 2004–
001; Department of Homeland Security Delegation No. 0170.1; and 33 CFR 1.05–1.
SOURCE: Order 2004–001, 69 FR 41372, July 8,
2004, unless otherwise noted.

Subpart A [Reserved]

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Subpart B—Unauthorized Entry Into
Cuban Territorial Waters
§ 107.200 Definitions.
Unless otherwise specified, as used in
this subpart:
Auxiliary vessel includes every description of watercraft or other artificial contrivance used, or capable of
being used, as a means of transportation on water attached to, or embarked in, another vessel to which this
subpart applies.
Cuban territorial waters means the territorial sea and internal waters of Cuba
determined in accordance with international law.
Owner, agent, master, officer, or person
in charge means the persons or entities
that maintain operational control over
any vessel subject to the requirements
of this subpart.
U.S. territorial waters has the same
meaning as provided in 50 U.S.C. 195.
Vessel includes every description of
watercraft or other artificial contrivance used, or capable of being used, as
a means of transportation on water, including auxiliary vessels.
Vessel of the United States means—
(1) A vessel documented under chapter 121 of title 46 or a vessel numbered
as provided in chapter 123 of that title;
(2) A vessel owned in whole or part
by—
(i) The United States or a territory,
commonwealth, or possession of the
United States;
(ii) A State or political subdivision
thereof;
(iii) a citizen or national of the
United States; or
(iv) A corporation, partnership, association, trust, joint venture, limited liability company, limited liability partnership, or any other legal entity, cre-

ated and authorized to own vessels
under the laws of the United States or
any State, the District of Columbia, or
any territory, commonwealth, or possession of the United States; unless the
vessel has been granted the nationality
of a foreign nation in accordance with
article 5 of the 1958 Convention on the
High Seas and a claim of nationality or
registry for the vessel is made by the
master or individual in charge at the
time of the enforcement action by an
officer or employee of the United
States authorized to enforce applicable
provisions of United States law;
(3) A vessel that was once documented under the laws of the United
States and, in violation of the laws of
the United States, was either sold to a
person not a citizen of the United
States or placed under foreign registry
or a foreign flag, whether or not the
vessel has been granted the nationality
of a foreign nation;
(4) A vessel without nationality as
defined in 46 U.S.C. Appendix 1903(c)(2)–
(3); or
(5) A vessel assimilated to a vessel
without nationality, in accordance
with paragraph (2) of article 6 of the
1958 Convention on the High Seas.
§ 107.205 Purpose and delegation.
The purpose of this subpart is to implement Presidential Proclamation
7757, and Secretary of Homeland Security Order 2004–001. All powers and authorities granted to officers of the
Coast Guard by this subpart may be
delegated to other officers and agents
of the Coast Guard unless otherwise
prohibited by law.
§ 107.210 Applicability.
(a) This subpart applies to:
(1) Vessels of the United States less
than 100 meters (328 feet) in length (and
all associated auxiliary vessels) and
the owners, agents, masters, officers,
persons in charge, and members of the
crew of such vessels, that depart U.S.
territorial waters and thereafter enter
Cuban territorial waters, regardless of
whether such entry is made after an intervening entry into, passage through,
or departure from any other foreign
territory or territorial waters;
(2) Vessels of the United States less
than 100 meters (328 feet) in length (and

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§ 107.220

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all associated auxiliary vessels) and
the owners, agents, masters, officers,
persons in charge, and members of the
crew of such vessels that are located at
or get underway from a berth, pier,
mooring, or anchorage in U.S. territorial waters, or depart U.S. territorial
waters with the intent to enter Cuban
territorial waters; and
(3) Any person who knowingly fails
to comply with this subpart or order
given under this subpart, or knowingly
obstructs or interferes with the exercise of any power conferred by this subpart.
(b) This subpart does not apply to:
Foreign vessels, as defined by 46 U.S.C.
2101(12), public vessels, as defined by 46
U.S.C. 2101(24) operated for non-commercial purposes, or vessels of the
United States entering Cuban territorial waters under force majeure.
§ 107.215 Regulations.
(a) Each person or vessel to which
this subpart applies may not get underway or depart from U.S. territorial waters without a written permit from the
Commander, Seventh Coast Guard District, or the District Commander’s designee. Permits may be obtained pursuant to the process established in
§ 107.220. The owner, agent, master, or
person in charge of the vessel must
maintain the written permit for the
vessel on board the vessel.
(b) Each person or vessel to which
this subpart applies must obey any oral
or written order issued by a Coast
Guard Area or District Commander, or
their designees, who may issue oral or
written orders to control the anchorage or movement of such vessels and
persons. Designees include Captains of
the Port, and commissioned, warrant
and petty officers of the Coast Guard.
(c) No person or vessel to which this
subpart applies may obstruct or interfere with the exercise of any power
conferred by this subpart.
(d) Coast Guard commissioned, warrant and petty officers may go or remain on board a vessel subject to this
subpart, may place guards on the subject vessel, may remove all persons not
specifically authorized by the Coast
Guard to go or remain on board the
subject vessel, and may take full or
partial possession or control of any

such vessel or part thereof, or person
on board. Such actions to be taken are
in the discretion of the Coast Guard
Area or District Commander, or their
designees, as deemed necessary to ensure compliance with this subpart and
any order given pursuant thereto.
(e) Where there is a reasonable,
articulable basis to believe a vessel to
which this subpart applies intends to
enter Cuban territorial waters, any
Coast Guard commissioned, warrant, or
petty officer may require the owners,
agents, masters, officers, or persons in
charge, or any member of the crew of
any such vessel to provide verbal assurance that the vessel will not enter
Cuban territorial waters as a condition
for a vessel to get underway from a
berth, pier, mooring, or anchorage in
U.S. territorial waters, or to depart
from U.S. territorial waters. A Coast
Guard commissioned, warrant, or petty
officer may require the owners, agents,
masters, officers, or persons in charge
of the vessel to identify all persons on
board the vessel and provide verbal assurances that all persons on board have
received actual notice of these regulations. The failure of an owner, agent,
master, officer, or person in charge, or
any member of the crew of any vessel
(including all auxiliary vessels) to
which this subpart applies to provide
requested verbal assurances shall not
be used as the sole basis for seizing the
vessel for forfeiture under this subpart.
(f) The provisions of this subpart are
in addition to any powers conferred by
law upon Coast Guard commissioned,
warrant, or petty officers, and not in
limitation of any powers conferred by
law or regulation upon such officers, or
any other officers of the United States.
§ 107.220 Permits.
(a) Applications for a permit may be
obtained by writing or calling the Chief
of Response at Commander, Seventh
Coast Guard District (dr), 909 SE First
Avenue, Miami, FL 33131, telephone
(305) 415–6800, or by such other means
as the District Commander may make
available to the public. The completed
application may be returned via regular mail or facsimile to the Chief of
Response at Commander, Seventh
Coast Guard District (dr), 909 SE First
Avenue, Miami, FL 33131, facsimile

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§ 107.225

33 CFR Ch. I (7–1–15 Edition)

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(305) 415–6809, or by other means prescribed by the District Commander for
the convenience of the applicant.
(b) All applications must be written
in English and legible.
(c) The information and documentation in this paragraph must be provided with the application in order for
it to be complete and considered by the
Coast Guard:
(1) The name, address, and telephone
number of the applicant;
(2) A copy of the valid vessel registration;
(3) A copy of a valid and applicable license issued to the applicant by the
U.S. Department of Commerce, Bureau
of Industry and Security, pursuant to
the Export Administration Regulations, 15 CFR chapter VII, subchapter
C, parts 730–774 for the export of the
vessel to Cuba; and
(4) A copy of a valid and applicable
specific license issued by the U.S. Department of the Treasury, Office of
Foreign Assets Control (OFAC), pursuant to the Cuban Assets Control Regulations, 31 CFR part 515, authorizing
the applicant’s travel-related transactions in Cuba. Applicants who do not
require such an OFAC specific license
shall make a written certification to
that effect identifying which OFAC
general license applies or explaining
why no OFAC license is required.
(d) Such applications must provide
the
documentation
required
by
§ 107.220(c) for each person to which this
subpart applies on board the particular
vessel.
(e) Upon receiving an application for
a permit, the Seventh Coast Guard District Commander (dr) has ten (10) calendar days from the receipt of the application to decide whether the application is complete and, if so, whether a
permit will be issued or denied. Applicants will be notified in writing of the
decision to issue or deny a permit. Incomplete applications will be returned
to the applicant, along with the reasons why such application was deemed
incomplete.
[Order 2004–001, 69 FR 41372, July 8, 2004, as
amended by USCG–2011–0257, 76 FR 31833,
June 2, 2011]

§ 107.225 Appeals.
(a) Upon written notification by the
Coast Guard that an application has
been denied, the applicant may request
the Seventh Coast Guard District Commander to reconsider. The request to
reconsider must be in writing, must be
made within five (5) business days from
the date of receipt of the initial denial,
and must contain complete supporting
documentation and evidence which the
applicant wishes to have considered.
Requests for reconsideration must be
mailed to Commander, Seventh Coast
Guard District (d), 909 SE First Avenue, Miami, FL 33131.
(b) Upon receipt of the request to reconsider, the Seventh Coast Guard District Commander may direct a representative to gather and submit documentation or other evidence, which, in
the judgment of the Seventh District
Commander, would be necessary or
helpful to a resolution of the request. If
gathered and submitted, a copy of this
documentation and evidence shall be
made available to the applicant. The
applicant shall be afforded five (5) business days from the date of receipt of
documentation and evidence gathered
by the Seventh Coast Guard District
Commander’s representative to submit
rebuttal materials. On or before the fifteenth (15th) calendar day following
submission of all materials, the Seventh Coast Guard District Commander
shall issue a ruling, in writing, on the
request to reconsider. The ruling may
reverse the initial denial, or, if the denial is upheld, must contain the specific basis for denial of the application
upon reconsideration.
(c) The Seventh Coast Guard District
Commander’s denial of a request for reconsideration taken under paragraph
(b) of this section constitutes final
agency action.
§ 107.230 Enforcement.
(a) Unauthorized departure or entry, or
both. (1) Vessels and persons to whom
this subpart applies, as described in
§ 107.210(a)(1), that do not comply with
§ 107.215(a), or any order issued pursuant to this subpart may be subject to a
civil penalty of not more than $25,000
for each day of violation.
(2) Vessels and persons to whom
§ 107.230(a)(1) applies shall be held to a

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Coast Guard, DHS

§ 107.240

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standard of strict liability for any
entry into Cuban territorial waters
without a permit or for failure to
maintain the permit for the vessel on
board the vessel as required under this
subpart, except that strict liability
will not be imposed if the failure to obtain or carry a permit results primarily from an act of war, force
majeure, or the negligence of the
United States.
(b) Knowing failure to comply. Any
person to whom this subpart applies as
described in §§ 107.210(a)(2) or (a)(3) who
knowingly fails to comply with this
subpart or order given under this subpart, or knowingly obstructs or interferes with the exercise of any power
conferred by this subpart may be subject to:
(1) Imprisonment for not more than
10 years;
(2) A monetary penalty of not more
than $10,000;

(3) Seizure and forfeiture of the vessel; and
(4) A civil penalty of not more than
$25,000 for each day of violation.
(c) False Statements. Violation of 18
U.S.C. 1001 may result in imprisonment
for not more than five years or a fine,
or both.
(d) Other enforcement. The civil penalties provided for in this subpart are
separate from and in addition to any
enforcement action that any other
agency may seek for violations of the
statutes and regulations administered
by such agencies.
§ 107.240

Continuation.

This subpart will continue to be enforced so long as the national emergency with respect to Cuba, and the
emergency authority relating to the
regulation of the anchorage and movement of vessels declared in Proclamation 6867, and expanded in scope by
Proclamation 7757, continues.

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