1625-0077 Stat/Authority

SUBCHAPTER K—SECURITY OF VESSELS
PART 120—SECURITY OF
PASSENGER VESSELS
Subpart A—General
Sec.
120.100
120.110
120.120

Does this part apply to me?
Definitions.
Incorporation by reference.

Subpart B—Security Program
120.200 What must my Vessel Security Program cover?
120.210 What are the responsibilities of my
vessel security officer?
120.220 What must I do to report an unlawful act and related activity?

Subpart C—Plans and Procedures for
Vessel Security.
120.300 What is required to be in a Vessel
Security Plan?
120.303 Who must submit a Terminal Security Plan?
120.305 What is the procedure for examination?
120.307 What do I do if I need to amend my
Vessel Security Plan?
120.309 What is my right of appeal?
AUTHORITY: 33 U.S.C. 1231; Department of
Homeland Security Delegation No. 0170.

Subpart A—General

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§ 120.100 Does this part apply to me?
This part applies to all passenger vessels over 100 gross tons, carrying more
than 12 passengers for hire; making
voyages lasting more than 24 hours,
any part of which is on the high seas;
and for which passengers are embarked
or disembarked in the United States or
its territories. It does not apply to ferries that hold Coast Guard Certificates
of Inspection endorsed for ‘‘Lakes,
Bays, and Sounds’’, and that transit
international waters for only short periods of time, on frequent schedules.
§ 120.110 Definitions.
As used in this part:
Captain of the Port (COTP) means the
Coast Guard officer designated by the
Commandant to command a Captain of
the Port Zone as described in Part 3 of
this chapter, or an authorized representative.

Commandant means the Commandant
of the U.S. Coast Guard, or an authorized representative.
High seas means the waters defined in
§ 2.32(d) of this chapter.
Operator means the person, company,
or governmental agency, or the representative of a company or governmental agency, that maintains operational control over a passenger vessel
or passenger terminal.
Passenger terminal means any structure used for the assembling, processing, embarking, or disembarking of
passengers or baggage for vessels subject to this part. It includes piers,
wharves, and similar structures to
which a vessel may be secured; land
and water under or in immediate proximity to these structures; buildings on
or contiguous to these structures; and
equipment and materials on or in these
structures.
Security Level I means the degree of
security precautions to take when the
threat of an unlawful act against a vessel or terminal is, though possible, not
likely.
Security Level II means the degree of
security precautions to take when the
threat of an unlawful act against a vessel or terminal is possible and intelligence indicates that terrorists are
likely to be active within a specific
area, or against a type of vessel or terminal.
Security Level III means the degree of
security precautions to take when the
threat of an unlawful act against a vessel or terminal is probable or imminent
and intelligence indicates that terrorists have chosen specific targets.
Unlawful act means an act that is a
felony under U.S. federal law, under
the laws of the States where the vessel
is located, or under the laws of the
country in which the vessel is registered.
Voyage means the passenger vessel’s
entire course of travel, from the first
port at which the vessel embarks passengers until its return to that port or
another port where the majority of the
passengers are disembarked and terminate their voyage.

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Coast Guard, DHS

§ 120.210

We means the United States Coast
Guard.
You, unless otherwise specified,
means
the
owner,
operator,
or
charterer of a passenger vessel.
[CGD 91–012, 61 FR 37652, July 18, 1996, as
amended by CGD91–012, 63 FR 53590, Oct. 6,
1998; USCG–2001–9044, 68 FR 42602, July 18,
2003]

§ 120.120

Incorporation by reference.

(a) Certain material is incorporated
by reference into this part with the approval of the Director of the Federal
Register in accordance with 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 must make
the material available to the public.
All approved material may be inspected at the U.S. Coast Guard, (CG–
521), 2100 2nd St. SW., Stop 7126, Washington, DC 20593–7126. Copies may be
obtained from IMO, 4 Albert Embankment, London SE1 7SR, 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.
(b) The materials approved for incorporation by reference in this part and
the sections affected are:
INTERNATIONAL MARITIME ORGANIZATION
(IMO)
4 Albert Embankment, London SE1 7SR MSC
Circular 443, Measures to Prevent Unlawful
Acts Against Passengers and Crews on
Board Ships September 26, 1986—120.220,
120.300

Subpart B—Security Program
[CGD 91–012, 61 FR 37652, July 18, 1996, as
amended at 69 FR 18803, Apr. 9, 2004; USCG–
2010–0351, 75 FR 36283, June 25, 2010]

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§ 120.200 What must my Vessel Security Program cover?
(a) If this part applies to your passenger vessel, you must implement a
program for that vessel that—
(1) Provides for the safety and security of persons and property traveling

aboard the vessel, against unlawful
acts;
(2) Prevents or deters the carriage
aboard the vessel of any prohibited
weapon, incendiary, or explosive, on or
about any person or within his or her
personal articles or baggage, and the
carriage of any prohibited weapon, incendiary, or explosive, in stowed baggage, cargo, or stores;
(3) Prevents or deters unauthorized
access to the vessel and to restricted
areas aboard the vessel;
(4) Provides appropriate security
measures for Security Levels I, II, and
III that allow for increases in security
when the Commandant or Captain of
the Port (COTP) advises you that a
threat of an unlawful act exists and
may affect the vessel or any person
aboard it;
(5) Designates, by name, a security
officer for the vessel;
(6) Ensures that all members of the
crew are adequately trained to perform
their duties relative to security; and
(7) Provides for coordination with
terminal security while in port.
(b) If this part applies to your passenger vessel, you must work with the
operator of each terminal at which
that vessel embarks or disembarks passengers, to provide security for the passengers and the vessel. You need not
duplicate any provisions fulfilled by
the terminal unless directed to by the
Commandant. When a provision is fulfilled by the terminal, the applicable
section of the Vessel Security Plan required by § 120.300 must refer to that
fact.
[CGD91–012, 63 FR 53590, Oct. 6, 1998]

§ 120.210 What are the responsibilities
of my vessel security officer?
(a) If this part applies to your passenger vessel, you must designate a security officer for your vessel.
(b) This officer must ensure that—
(1) An initial comprehensive security
survey is conducted and updated;
(2) The Vessel Security Plan required
by § 120.300 is implemented and maintained, and amendments to correct its
deficiencies and satisfy the security requirements for the vessel are proposed;
(3) Adequate training for members of
the crew responsible for security is provided;

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§ 120.220

33 CFR Ch. I (7–1–10 Edition)

(4) Regular security inspections of
the vessel are conducted;
(5) Vigilance is encouraged, as well as
is general awareness of security,
aboard the vessel;
(6) All occurrences or suspected occurrences of unlawful acts and related
activities are reported under § 120.220;
and
(7) Coordination, for implementation
of the Vessel Security Plan required by
§ 120.300, takes place with the terminal
security officer at each terminal where
the vessel embarks or disembarks passengers.
[CGD91–012, 63 FR 53590, Oct. 6, 1998]

§ 120.220 What must I do to report an
unlawful act and related activity?

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(a) Either you or the vessel security
officer must report each breach of security, unlawful act, or threat of an
unlawful act against any of your passenger vessels to which this part applies, or against any person aboard it,
that occurs in a place subject to the jurisdiction of the United States. You
must report the incident to both the
COTP and to the local office of the
Federal Bureau of Investigation (FBI).
Also, if your vessel is a U.S.-flag vessel,
you must report each such incident
that occurs in a place outside the jurisdiction of the United States to the hotline of the Response Center of the Department of Homeland Security at 1–
800–424–0201, or, from within metropolitan Washington, D.C., at 202–372–2428;
Fax: 202–372–2920.
(b) Either you or the vessel security
officer must file a written report of the
incident, using the form ‘‘Report on an
Unlawful Act,’’ contained in IMO MSC
Circular 443, which you or the officer
must forward as soon as possible to
Commandant (CG–533), 2100 2nd St.
SW., Stop 7363, Washington, DC 20593–
7363. You may initially file the report
with Commandant (CG-533) by fax at
(202) 267–4085 or –4065.
[CGD91–012, 63 FR 53590, Oct. 6, 1998, as
amended by USCG–2003–14505, 68 FR 9535,
Feb. 28, 2003; USCG–2006–25150, 71 FR 39208,
July 12, 2006; USCG–2010–0351, 75 FR 36283,
June 25, 2010]

Subpart C—Plans and Procedures
for Vessel Security
§ 120.300 What is required to be in a
Vessel Security Plan?
(a) If your passenger vessel is subject
to this part, you must develop and
maintain, in writing, for that vessel,
an appropriate Vessel Security Plan
that—
(1) Is unique to the vessel;
(2) Articulates the program required
by § 120.200; and
(3) Includes an appendix, for each
port where the vessel embarks or disembarks passengers, that contains
port-specific security information.
(b) The Vessel Security Plan must be
developed and maintained under the
guidance in IMO MSC Circular 443, and
must establish security measures to
take for Security Levels I, II, and III,
to—
(1) Deter unauthorized access to the
vessel and its restricted areas;
(2) Deter the introduction of prohibited weapons, incendiaries, or explosives aboard the vessel;
(3) Encourage vigilance, as well as
general awareness of security, aboard
the vessel;
(4) Provide adequate training to
members of the crew for security
aboard the vessel;
(5) Coordinate responsibilities for security with the operator of each terminal where the vessel embarks or disembarks passengers; and
(6) Provide information to members
of the crew and to law-enforcement
personnel, in case of an incident affecting security.
(c) You must amend the Vessel Security Plan to address any known deficiencies.
(d) You must restrict the distribution, disclosure, and availability of information contained in the Vessel Security Plan to those persons with an
operational need to know.
[CGD91–012, 63 FR 53590, Oct. 6, 1998]

§ 120.303 Who must submit a Terminal
Security Plan?
(a) You must submit a Terminal Security Plan whenever—
(1) There is an agreement with the
owner or operator of a terminal that
you will submit the Plan;

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Coast Guard, DHS

§ 120.307

(2) You have exclusive use of the pier
and terminal building immediately adjacent to the pier and have complete
control of that area;
(3) There is no terminal; or
(4) Passengers embark or disembark
but no baggage or stores are loaded or
offloaded.
(b) In the situations described in
paragraphs (a)(3) and (4) of this section,
you may, with the permission of the
cognizant COTP, use an annex to the
vessel’s security plan instead of a Terminal Security Plan.
(c) The owner or operator of a terminal must submit a Terminal Security Plan whenever—
(1) There is an agreement with you
that the owner or operator of the terminal will submit the Plan;
(2) No security agreement exists; or
(3) (i) At least one vessel other than
a passenger vessel uses the terminal;
(ii) More than one passenger vessel
line uses the terminal; or
(iii) The terminal loads or offloads
baggage or stores.
[CGD91–012, 63 FR 53591, Oct. 6, 1998]

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§ 120.305 What is the procedure for examination?
(a) You must submit two copies of
each Vessel Security Plan required by
§ 120.300, or of any Terminal Security
Plan or annex required or permitted
under § 120.303 or § 128.305 of this chapter, to the Commanding Officer (MSC),
USCG Marine Safety Center, 1900 Half
Street, SW., Suite 1000, Room 525,
Washington, DC 20024 for visitors. Send
all mail to Commanding Officer (MSC),
United States Coast Guard, 2100 2nd St.
SW., Stop 7102, Washington, DC 20593–
7102, for examination at least 60 days
before embarking passengers on a voyage described in § 120.100.
(b) If the Commanding Officer, Marine Safety Center, finds that the Vessel Security Plan meets the requirements of § 120.300, he or she will return
a copy to you marked ‘‘Examined by
the Coast Guard.’’
(c) If the Commanding Officer, Marine Safety Center, finds that the Vessel Security Plan does not meet the requirements of § 120.300, he or she will
return the Plan with an explanation of
why it does not meet them.

(d) No vessel subject to this part may
embark or disembark passengers in the
United States, unless it holds either a
Vessel Security Plan that we have examined or a letter from the Commanding Officer, Marine Safety Center,
stating that we are currently reviewing
the Plan and that normal operations
may continue until we have determined whether the Plan meets the requirements of § 120.300.
[CGD91–012, 63 FR 53591, Oct. 6, 1998, as
amended by USCG–2001–9286, 66 FR 33641,
June 25, 2001; USCG–2007–26953, 72 FR 5931,
Feb. 8, 2007; USCG–2010–0351, 75 FR 36283,
June 25, 2010]

§ 120.307 What do I do if I need to
amend my Vessel Security Plan?
(a) If your passenger vessel is subject
to this part, you must amend your Vessel Security Plan when directed by the
Commanding Officer, Marine Safety
Center, and may amend it on your own
initiative.
(b) You must submit each proposed
amendment to the Vessel Security
Plan you initiate, including changes to
any appendix required by § 120.300(a)(3),
to the Commanding Officer, Marine
Safety Center, for review, at least 30
days before the amendment is to take
effect, unless he or she allows a shorter
period. He or she will examine the
amendment and respond according to
§ 120.305.
(c) The Commanding Officer, Marine
Safety Center, may direct you to
amend your Vessel Security Plan if he
or she determines that implementation
of the Plan is not providing effective
security. Except in an emergency, he
or she will issue you a written notice of
matters to address and will allow you
at least 60 days to submit proposed
amendments.
(d) If there is an emergency or other
circumstance where the COTP determines that implementation of the Plan
is not providing effective security, and
the procedures in paragraph (c) of this
section are impracticable, the COTP
may give you an order to implement
increases in security immediately. The
order will incorporate a statement of
the reasons for it.
[CGD91–012, 63 FR 53591, Oct. 6, 1998, as
amended by USCG–2001–9286, 66 FR 33641,
June 25, 2001]

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§ 120.309

33 CFR Ch. I (7–1–10 Edition)

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§ 120.309 What is my right of appeal?
Any person directly affected by a decision or action taken by the Commanding Officer, Marine Safety Center,
under this part, may appeal that action
or decision to the Assistant Commandant for Marine Safety, Security

and Environmental Protection [Commandant (G-M)] according to the procedures in 46 CFR 1.03–15.
[CGD91–012, 63 FR 53591, Oct. 6, 1998, as
amended by USCG–2001–9286, 66 FR 33641,
June 25, 2001; USCG–2002–12471, 67 FR 41332,
June 18, 2002]

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