1625-0077 Stat/Authority

CFR-2010-title33-vol1-part103.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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§ 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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Coast Guard, DHS

§ 103.305

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.

Subpart A—General
§ 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.
§ 103.105 Definitions.
Except as specifically stated in this
subpart, the definitions in part 101 of
this subchapter apply to this part.

Subpart B—Federal Maritime Security Coordinator (FMSC)
Designation and Authorities

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§ 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.

Subpart C—Area Maritime
Security (AMS) Committee
§ 103.300 Area
Maritime
(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;

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§ 103.310

33 CFR Ch. I (7–1–10 Edition)

(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
they need access to SSI as determined
by the FMSC.

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[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
§ 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;

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Coast Guard, DHS

§ 103.505

(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.

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§ 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:
(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.
[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;

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§ 103.510

33 CFR Ch. I (7–1–10 Edition)

(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
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.
[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]

§ 103.510 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.
§ 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
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 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.

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Coast Guard, DHS

§ 104.105

(b) Exercise documentation will be
kept by the COTP for 2 years.

104.305 Vessel Security Assessment (VSA)
requirements.
104.310 Submission requirements.

PART 104—MARITIME SECURITY:
VESSELS

Subpart D—Vessel Security Plan (VSP)

Subpart A—General
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

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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.
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.

104.400 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
§ 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

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