1625-0077 Stat/Authority

CFR-2010-title33-vol1-part101.pdf

Security Plan for Ports, Vessels, Facilities, Outer Continental Shelf Facilities and Other Security-Related Requirements

1625-0077 Stat/Authority

OMB: 1625-0077

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SUBCHAPTER H—MARITIME SECURITY
PART 101—MARITIME SECURITY:
GENERAL
Subpart A—General
Sec.
101.100 Purpose.
101.105 Definitions.
101.110 Applicability.
101.115 Incorporation by reference.
101.120 Alternatives.
101.125 Approved Alternative Security Programs.
101.130 Equivalent security measures.

Subpart B—Maritime Security (MARSEC)
Levels
101.200 MARSEC Levels.
101.205 Department of Homeland Security
alignment.

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.
EDITORIAL NOTE: Nomenclature changes to
part 101 appear at 73 FR 35009, June 19, 2008.
SOURCE: USCG–2003–14792, 68 FR 39278, July
1, 2003.

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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 (7–1–10 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/g-m/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 160.204.
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 (7–1–10 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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§ 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 (7–1–10 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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§ 101.120

Outer Continental Shelf of the U.S.,
the waters superjacent thereto.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60470, Oct. 22, 2003; USCG–
2004–18057, 69 FR 34925, June 23, 2004; USCG–
2006–24196, 72 FR 3577, Jan. 25, 2007; USCG–
2006–24196, 72 FR 55048, Sept. 28, 2007; USCG–
2008–0179, 73 FR 35009, June 19, 2008; USCG–
2006–24196, 74 FR 13116, Mar. 26, 2009; USCG–
2006–24371, 74 FR 11211, Mar. 16, 2009]

§ 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-54), 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).

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

[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]

§ 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 an Alternative Security Program
that has been reviewed and approved
by the Commandant (CG-54) 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
that they are in full compliance therewith. A copy of this letter shall be retained on board the vessel or kept at

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erowe on DSKG8SOYB1PROD with CFR

§ 101.125

33 CFR Ch. I (7–1–10 Edition)

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-54) 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-54). If initiated by the submitter, the proposed
amendment must be submitted at least
30 days before the amendment is to
take effect unless the Commandant

(CG-54) allows a shorter period. The
Commandant (CG-54) 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-54) 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]

§ 101.125 Approved Alternative Security Programs.
The following have been approved, by
the Commandant (CG-54), as Alternative Security Programs, which may
be used by vessel or facility owners or
operators to meet the provisions of
parts 104, 105, or 106 of this subchapter,
as applicable:
(a) American Gaming Association Alternative Security Program, dated September 11, 2003.
(b) American Waterways Operators
Alternative Security Program for Tugboats, and Towboats and Barges, dated
September 24, 2003.
(c) Passenger Vessel Association Industry Standards for Security of Passenger Vessels and Small Passenger
Vessels, dated September 17, 2003.
[USCG–2003–14792, 68 FR 60472, Oct. 22, 2003]

§ 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-54) as meeting or exceeding the effectiveness of the required measure.
The Commandant (CG-54) may require
that the owner or operator provide

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Coast Guard, DHS

§ 101.300

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.

Subpart B—Maritime Security
(MARSEC) Levels

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§ 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 the
MARSEC Level consistent with the
equivalent Homeland Security Advisory System (HSAS) Threat Condition
and that Threat Condition’s scope of
application.
Notwithstanding
the
HSAS, 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 temporarily 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 system in his/her
area of responsibility.
§ 101.205 Department of Homeland Security alignment.
The MARSEC Levels are aligned with
the Department of Homeland Security’s Homeland Security Advisory
System (HSAS), established by Homeland Security Presidential Directive 3.

Table 101.205, titled ‘‘Relation between
HSAS and MARSEC Levels’’ in this
section, shows this alignment.
TABLE 101.205—RELATION BETWEEN HSAS
AND MARSEC LEVELS
Homeland security advisory system (HSAS) threat condition

Equivalent maritime security (MARSEC) level

Low: Green .................................
Guarded: Blue.
Elevated: Yellow.

MARSEC Level 1.

High: Orange ..............................

MARSEC Level 2.

Severe: Red ...............................

MARSEC Level 3.

[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003]

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

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§ 101.305

33 CFR Ch. I (7–1–10 Edition)

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]

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§ 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
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.
[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, Regulation 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

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Coast Guard, DHS

§ 101.410

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.

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§ 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
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 subchapter, 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;

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§ 101.415

33 CFR Ch. I (7–1–10 Edition)

(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
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]

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§ 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 ad-

ministration 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]

§ 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-54), 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-543), 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-54) according to the procedures in
46 CFR 1.03–15.
(d) Decisions made by Commandant
(CG-54), 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]

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

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Coast Guard, DHS

§ 101.514

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
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]

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§ 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:
(a) DHS/TSA’s vulnerability self-assessment
tool
located
at
http://
www.tsa.gov/risk; and
(b) USCG assessment tools, available
from the cognizant COTP or at http://
www.uscg.mil/hq/g-m/nvic, as set out in
the following:
(1) Navigation and Vessel Inspection
Circular titled, ‘‘Guidelines for Port
Security Committees, and Port Security Plans Required for U.S. Ports’’
(NVIC 9–02 change 2);
(2) Navigation and Vessel Inspection
Circular titled, ‘‘Security Guidelines
for Vessels’’, (NVIC 10–02 change 1); and

(3) Navigation and Vessel Inspection
Circular titled, ‘‘Security Guidelines
for Facilities’’, (NVIC 11–02 change 1).
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003; USCG–
2008–0179, 73 FR 35009, June 19, 2008]

§ 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

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§ 101.515

33 CFR Ch. I (7–1–10 Edition)

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.

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

PART 102—MARITIME SECURITY:
NATIONAL MARITIME TRANSPORTATION SECURITY [RESERVED]
PART 103—MARITIME SECURITY:
AREA MARITIME SECURITY
Subpart A—General
Sec.
103.100
103.105

Applicability.
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.

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