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Facility Security
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: July 1, 2003 (Volume 68, Number 126)]
[Rules and Regulations]
[Page 39315-39338]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01jy03-17]
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
33 CFR Part 105
[USCG-2003-14732]
RIN 1625-AA43
Facility Security
AGENCY: Coast Guard, DHS.
ACTION: Temporary interim rule with request for comments and notice of
meeting.
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SUMMARY: This interim rule provides security measures for certain
facilities in U.S. ports. It requires owners or operators of facilities
to designate security officers for facilities, develop security plans
based on security assessments and surveys, implement security measures
specific to the facilities' operations, and comply with Maritime
Security Levels. This interim rule is one of six interim rules in
today's Federal Register that comprise a new subchapter on the
requirements for maritime security mandated by the Maritime
Transportation Security Act of 2002. These six interim rules implement
national maritime security initiatives concerning general provisions,
Area Maritime Security (ports), vessels, facilities, Outer Continental
Shelf facilities, and the Automatic Identification System. Where
appropriate, they align these domestic maritime security requirements
with those of the International Ship and Port Facility Security Code
and recent amendments to the International Convention for Safety of
Life at Sea, 1974. To best understand these interim rules, first read
the one titled ``Implementation of National Maritime Security
Initiatives'' (USCG-2003-14792), published elsewhere in today's Federal
Register.
DATES: Effective date. This interim rule is effective from July 1, 2003
until November 25, 2003.
Comments. Comments and related material must reach the Docket
Management Facility on or before July 31, 2003. Comments on collection
of information sent to the Office of Management and Budget (OMB) must
reach OMB on or before July 31, 2003.
Meeting. A public meeting will be held on July 23, 2003, from 9
a.m. to 5 p.m., in Washington, DC.
ADDRESSES: Comments. To ensure that your comments and related material
are not entered more than once in the docket, please submit them by
only one of the following means:
(1) Electronically to the Docket Management System Web site at
http://dms.dot.gov. 
(2) By mail to the Docket Management Facility (USCG-2003-14732),
U.S. Department of Transportation, room PL-401, 400 Seventh Street SW.,
Washington, DC 20590-0001.
(3) By fax to the Docket Management Facility at 202-493-2251.
(4) By delivery to room PL-401 on the Plaza level of the Nassif
Building, 400 Seventh Street SW., Washington, DC, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.
You must mail comments on collection of information to the Office
of Information and Regulatory Affairs, Office of Management and Budget,
725 17th Street NW., Washington, DC 20503, ATTN: Desk Officer, U.S.
Coast Guard. Meeting. A public meeting will be held on July 23, 2003 in
Washington, DC at the Grand Hyatt Washington, DC, 1000 H Street, NW.,
Washington, DC 20001.
FOR FURTHER INFORMATION CONTACT: If you have questions on this interim
rule, call Lieutenant Gregory Purvis, U.S. Coast Guard by telephone,
202-267-1103, toll-free telephone, 1-800-842-8740 ext. 7-1103, or
electronic mail msregs@comdt.uscg.mil. If you have questions on viewing
or submitting material to the docket, call Ms. Dorothy Beard, Chief,
Dockets, Department of Transportation, at 202-366-5149.
SUPPLEMENTARY INFORMATION: Due to the short timeframe given to
implement these National Maritime Transportation Security initiatives,
as directed by the Maritime Transportation Security Act of 2002 (MTSA,
Public Law 107-295, 116 STAT. 2064), and to ensure all comments are in
the public venue for these important rulemakings, we are not accepting
comments containing protected information for these interim rules. We
request you submit comments, as explained in the Request for Comments
section below, and discuss your concerns or support in a manner that is
not security sensitive. We also request that you not submit proprietary
information as part of your comment.
The Docket Management Facility maintains the public docket for this
rulemaking. Comments and material received from the public, as well as
[[Page 39316]]
documents mentioned in this preamble as being available in the docket,
will become part of this docket and will be available for inspection or
copying at room PL-401 on the Plaza level of the Nassif Building, 400
Seventh Street SW., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays. You may also find this docket
on the Internet at http://dms.dot.gov.
Electronic forms of all comments received into any of our dockets
can be searched by the name of the individual submitting the comment
(or signing the comment, if submitted on behalf of an association,
business, labor unit, etc.) and is open to the public without
restriction. You may also review the Department of Transportation's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78), or you may visit http://dms.dot.gov/.
Request for Comments
We encourage you to participate in this rulemaking by submitting
comments and related material. Your comments will be considered for the
final rule we plan to issue before November 25, 2003, to replace this
interim rule. If you choose to comment on this rule, please include
your name and address, identify the specific docket number for this
interim rule (USCG-2003-14732), indicate the specific heading of this
document to which each comment applies, and give the reason for each
comment. If you have comments on another rule, please indicate in a
separate letter to the docket for that rulemaking. You may submit your
comments and material by mail, hand delivery, fax, or electronic means
to the Docket Management Facility at the address under ADDRESSES.
Please submit your comments and material by only one means. If you
submit them by mail or hand delivery, submit them in an unbound format,
no larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit them by mail and would like to know that they
reached the Facility, please enclose a stamped, self-addressed postcard
or envelope. We will consider all comments and material received during
the comment period. We may change this interim rule in view of them.
Public Meeting
We will hold a public meeting on July 23, 2003, in Washington, DC
at the Grand Hyatt Hotel, at the address listed under ADDRESSES. The
meeting will be from 9 a.m. to 5 p.m. to discuss all of the maritime
security interim rules, and the Automatic Identification System (AIS)
interim rule, found in today's Federal Register. In addition, you may
submit a request for other public meetings to the Docket Management
Facility at the address under ADDRESSES explaining why another one
would be beneficial. If we determine that other meetings would aid this
rulemaking, we will hold them at a time and place announced by a later
notice in the Federal Register.
Regulatory Information
We did not publish a notice of proposed rulemaking for this
rulemaking and are making this interim rule effective upon publication.
Section 102(d)(1) of the MTSA requires the publication of an interim
rule as soon as practicable without regard to the provisions of chapter
5 of title 5, U.S. Code (Administrative Procedure Act). The Coast Guard
finds that harmonization of U.S. regulations with maritime security
measures adopted by the International Maritime Organization (IMO) in
December 2002, and the need to institute measures for the protection of
U.S. maritime security as soon as practicable, furnish good cause for
this interim rule to take effect immediately under both the
Administrative Procedure Act and section 808 of the Congressional
Review Act.
Background and Purpose
A summary of the Coast Guard's regulatory initiatives for maritime
security can be found under the ``Background and Purpose'' section in
the preamble to the interim rule titled ``Implementation of National
Maritime Security Initiatives'' (USCG-2003-14792) published elsewhere
in today's Federal Register.
Discussion of Comments Addressing Facility Issues in the Notice of
Meeting
For a discussion of comments on facilities at the public meetings
and in the docket, see the interim rule titled ``Implementation of
National Maritime Security Initiatives'' (USCG-2003-14792) published
elsewhere in today's Federal Register.
Discussion of Interim Rule
The purpose of this rulemaking is to require security measures for
facilities in order to reduce the risk of and to mitigate the results
of an act that threatens the security of personnel, the facility, and
the public. This rulemaking combines international requirements and
existing domestic policy, and adds part 105, Facility Security, to the
new subchapter H, Maritime Security, of Title 33 of the Code of Federal
Regulation. A general description of the process used in developing
subchapter H and its component parts appears in the interim rule titled
``Implementation of National Maritime Security Initiatives'' (USCG-
2003-14792) published elsewhere in today's Federal Register.
This rulemaking applies to facilities subject to 33 CFR parts 126,
127, and 154; facilities that receive vessels certified to carry more
than 150 passengers; and facilities that receive vessels on
international voyages, including vessels solely navigating the Great
Lakes.
The MTSA and the International Ship and Port Facility Security
(ISPS) Code use different terms to define similar, if not identical,
persons or things. These differing terms sometimes match up with the
terms used in subchapter H, but sometimes they do not. For a table of
the terms used in subchapter H and their related terms in the MTSA and
the ISPS Code, see the Discussion of Interim Rule section in the
preamble for the interim rule titled ``Implementation of National
Maritime Security Initiatives'' (USCG-2003-14792), published elsewhere
in today's Federal Register.
This rulemaking does not apply to Outer Continental Shelf (OCS)
platforms and deepwater ports. Those structures are covered by the
rulemaking ``Outer Continental Shelf Facility Security'' (USCG-2003-
14759), published elsewhere in today's Federal Register.
This preamble describes the facilities regulated by part 105 and
the requirements for conducting Facility Security Assessments,
developing Facility Security Plans, and implementing security measures
and procedures. The requirements in part 105 are consistent with
requirements in the ISPS Code. Facility security includes the
requirements discussed below:
Compliance
The Coast Guard, as provided in 33 CFR part 126, 127, and 154, will
verify facility compliance with this part during inspections.
As required by Regulation 3 of Chapter XI-2 of the International
Convention for Safety of Life at Sea, 1974 (SOLAS) and the ISPS Code,
part A, section 5, the Coast Guard has published additional
requirements that provide the U.S. (as a contracting government) with
requirements for setting and communicating changes in Maritime Security
(MARSEC) Level, completing Declarations of Security, and additional
instructions for all facilities when MARSEC Level 3 is set.
[[Page 39317]]
Waivers
The waiver section details procedures for requesting a waiver for
the benefit of facility owners or operators who find specific
requirements of the rulemaking to be unnecessary.
Equivalents
The equivalents section details procedures for requesting an
equivalency for specific requirements of the rulemaking. Equivalents
are intended to allow facility owners or operators to provide an
alternative provision or arrangement that provides the same level of
security as a specific requirement contained within this part.
Alternative Security Program
This part makes provision to allow owners or operators of
facilities to implement an Alternative Security Program that has been
reviewed and accepted by the Commandant (G-MP), to meet the
requirements of this part. Alternative Security Programs must be
comprehensive and based on a security assessment to demonstrate it
meets the intent of each section of this part. Owners or operators who
choose to implement an appropriate Alternative Security Program will be
required to implement it in its entirety to be deemed in compliance
with this part.
Evaluating Submissions of Waivers, Equivalents, and Alternative
Security Programs
In our evaluation of waivers, equivalencies, and Alternative
Security Programs, the Coast Guard will accept a self-assessment or
demonstration using any risk management tools acceptable to the Coast
Guard. This demonstration may be requested to show that the proposed
waiver, equivalency or Alternative Security Program is at least as
effective as that intended by this interim rule.
Facility Owner or Operator Responsibilities
This rule requires each facility owner or operator to develop an
effective security plan that incorporates detailed preparation,
prevention, and response activities for each MARSEC Level, and detail
the organizations, or personnel responsible for carrying out those
activities. The requirements discussed in this subpart are also
consistent with requirements in the ISPS Code. Facility owner or
operator responsibilities include:
? Designating a Facility Security Officer.
? Ensuring a Facility Security Assessment is conducted.
? Developing and submitting for approval a Facility Security
Plan.
? Operating the facility in accordance with the approved
Facility Security Plan.
? Implementing additional security measures required by
changes in MARSEC Level.
? Reporting all breaches of security and security incidents.
? Coordinating shore leave for vessel personnel or crew
change-out, as well as access through the facility of visitors to the
vessel, including representatives of seafarers' welfare and labor
organizations, in advance of a vessel's arrival. (In the past, some
facilities may have denied access to seafarers and seafarer welfare
organizations where there was not an articulable security basis for
doing so. The Coast Guard is including their provision in this interim
rule to encourage facilities to allow such access when appropriate.)
Facility Security Officer (FSO)
This rule requires that a facility owner or operator designate in
writing a Facility Security Officer for each facility. The Facility
Security Officer may be a full-time or collateral-duty position. The
Facility Security Officer must have general knowledge on a range of
issues such as security administration, relevant international laws,
domestic regulations, current security threats and patterns, risk
assessment methodology, inspections, control procedures and conducting
audits. The most important duties that must be performed by the
Facility Security Officer would include implementing a Facility
Security Plan; periodically auditing and updating the Facility Security
Assessment and Facility Security Plan; ensuring that adequate training
is provided to facility personnel; and ensuring the facility is
operating in accordance with the plan and in continuous compliance with
part 105. The Facility Security Officer may assign security duties to
other facility personnel; however, the Facility Security Officer
remains responsible for these duties.
Training
Required training for facility personnel must be specified in the
Facility Security Plan. Specific security training courses for the
Facility Security Officer and facility personnel will not be required
by the Coast Guard. While formal training may be appropriate, we are
not mandating specifics. Facility owners or operators must certify that
security personnel are, in fact, properly trained to perform their
duties. The types of training required must also be consistent with the
training requirements described in this subpart. The Facility Security
Officer is also required to ensure that facility security persons
possess necessary training to maintain the overall security of the
facility.
Drill and Exercise Requirements
Exercises are required to ensure the adequacy of the Facility
Security Plans and are required to be conducted at least once each
calendar year, with no more than 18 months between exercises. Drills,
which are smaller in scope than exercises, must be conducted at least
every 3 months. Exercises may be facility specific, or as part of a
cooperative exercise program with applicable Facility and Vessel
Security Plans or Port exercises. Exercises for security may be
combined with other required exercises, as appropriate.
Security Systems and Equipment Maintenance
Procedures and/or policies must be developed and implemented to
ensure security systems and equipment are tested and operated in
accordance with the instructions of the manufacturer and ready for use.
Security Measures
Security measures for specific activities must be scalable in order
to provide increasing levels of security at increasing MARSEC Levels.
An effective security program relies on detailed procedures that
clearly indicate the preparation and prevention activities that will
occur at each threat level and the organizations, or personnel, who are
responsible for carrying out those activities. Security Measures must
be developed for the following activities:
? Security measures for access control;
? Security measures for restricted areas;
? Security measures for handling cargo;
? Security measures for delivery of vessel stores and
bunkers; and
? Security measures for monitoring.
Security Incident Procedures
Each facility owner or operator must develop security incident
procedures for responding to transportation security incidents. The
security incident procedures must explain the facility's reaction to an
emergency, including the notification and coordination with local,
State, and federal authorities and Under Secretary of Emergency
Preparedness and Response. The security incident procedures must also
explain actions for securing the facility and evacuating
[[Page 39318]]
personnel, as well as actions for securing vessels moored to the
facility and evacuating passengers and crew.
Declaration of Security (DoS)
A Declaration of Security is a written agreement between the
facility and a vessel that provides a means for ensuring that critical
security concerns are properly addressed prior to and during a vessel-
to-facility interface. The Declaration of Security addresses security
by delineating responsibilities for security arrangements and
procedures between a vessel and facility. This requirement is similar
to the existing U.S. practice for vessel-to-facility oil transfer
proceedings.
Only certain passenger vessels and vessels carrying Certain
Dangerous Cargoes, in bulk, will complete a Declaration of Security for
every evolution regardless of the MARSEC Level. At MARSEC Levels 2 and
3, all vessels and facilities would need to complete the Declaration of
Security.
Facilities that frequently receive the same vessel may execute a
continuing Declaration of Security--a single Declaration of Security
for multiple visits.
All Declarations of Security must state the security activities for
which the facility and vessel are responsible during vessel-to-facility
interfaces. Declarations of Security must be kept as part of the
facility's recordkeeping.
Facility Security Assessment (FSA)
This rule requires all regulated facilities to complete a Facility
Security Assessment, which is an essential and integral part of the
process of developing and updating the required Facility Security Plan.
The Facility Security Plan is based on the results of the Facility
Security Assessment. The Facility Security Officer must examine and
evaluate existing facility protective measures, procedures, and
operations.
The Facility Security Officer must also examine each identified
point of access, including rail access, roads, waterside, and gates,
and evaluate its potential for use by individuals who might engage in
unlawful acts, including individuals with legitimate access, as well as
those seeking unauthorized entry.
Each facility owner or operator is required to document and retain
its Facility Security Assessment for a period of five years. Prior to
conducting a Facility Security Assessment, the Facility Security
Officer is responsible for researching and using available information
on the assessment of threat for the port at which the facility is
located, as well as vessels that would call on the facility. The first
step in the facility security process is to conduct an on-scene survey.
The on-scene survey is used to examine and evaluate existing facility
protective measures, procedures and operations. In conducting the
Facility Security Assessment, the facility owner or operator must
ensure that the Facility Security Officer analyzes the facility
background information and the results of the on scene survey, and
considering the requirements of this interim rule, provide
recommendation to establish and prioritize the security measures that
should be included in the Facility Security Plan. The facility owner or
operator them must ensure that a written Facility Security Assessment
report is prepared and included in the Facility Security Plan. The
Facility Security Assessment must be reviewed and updated each time the
Facility Security Plan is revised and when the Facility Security Plan
is submitted for re-approval every five years. The facility owner or
operator then must ensure that a written Facility Security Assessment
report is prepared and included as an appendix to the Facility Security
Plan.
The Facility Security Officer is also responsible for ensuring that
the Facility Security Assessment is periodically reviewed and updated,
taking into account changes in the facility and its operations. Before
a plan could be renewed or revised, a new Facility Security Assessment
would need to be conducted.
The Facility Security Officer is responsible for obtaining and
recording any specific information required to conduct the Facility
Security Assessment.
Facility Security Plan (FSP)
This subpart contains requirements for Facility Security Plans. The
requirements discussed in this subpart are consistent with requirements
in the ISPS Code.
Facility Security Plans must incorporate the results of the
required Facility Security Assessment and consider the recommended
measures appropriate to each facility.
Facility Security Plans can be combined with or complement existing
safety management systems. The plans may be kept in an electronic
format, protected by means to prevent it from being deleted, destroyed
or overwritten. The plans must also be protected from unauthorized
access or disclosure.
Facility Security Plans required under this rulemaking must
contain:
? A list of measures and equipment needed to prevent or deter
dangerous substances and devices which could be used against people,
vessels or ports and the carriage of which is not authorized from being
introduced by any means on to the facility;
? Requirements for the prevention of unauthorized access to
the facility and to restricted areas of the facility;
? Documented procedures for responding to security threats or
breaches of security, including provisions for maintaining critical
operations of the facility or the vessel-to-port interface;
? Documented procedures for evacuation in case of security
threats or breaches of security;
? Procedures for training, exercises, and drills associated
with the plan;
? Documented procedures for interfacing with port and vessel
security activities;
? Documented procedures for the periodic review of the
Facility Security Plan and for updating it;
? Documented procedures for reporting security incidents;
? Written designation of the Facility Security Officer;
? A list of the duties and responsibilities of all facility
personnel with a security role;
? A list of measures to ensure the security of information
contained in the plan;
? A maintenance system to maintain operational readiness of
all required equipment using manufacturers' recommended maintenance
instructions and periodic inspection;
? A list of measures needed to ensure effective security of
cargo, cargo processing, and the cargo-handling equipment at the
facility; and
? A completed Facility Vulnerability and Security Measures
Summary (Form CG-6025) for each facility covered by the Plan.
Submission and Approval of Security Plan
The Facility Security Plan, including the Facility Security
Assessment report and the Facility Vulnerability and Security Measures
Summary (Form CG-6025), must be submitted to and reviewed by the
cognizant COTP. Once the COTP finds that the plan meets the security
requirements in part 105, the submitter will receive an approval letter
that may contain conditions of the approval.
If the cognizant COTP requires more time than is indicated in the
requirements of the interim rule to review a submitted Facility
Security Plan, the cognizant COTP may return to the submitter a written
acknowledgement stating that the Coast Guard is currently reviewing the
[[Page 39319]]
Facility Security Plan submitted for approval, and that the facility
may continue to operate so long as the facility remains in compliance
with the submitted Facility Security Plan.
If the COTP finds that the Facility Security Plan does not meet the
security requirements, the plans would be returned to the facility with
a disapproval letter with an explanation of why the plan does not meet
the part 105 requirements.
Security plans must be reviewed by the Coast Guard every time:
? The Facility Security Assessment is altered;
? Failures are identified during an exercise of the Facility
Security Plan; and
? There is a change in ownership or operational control of
the facility or there are amendments to the Facility Security Plan.
Regulatory Assessment
This interim rule is a ``significant regulatory action'' under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
and has been reviewed by the Office of Management and Budget under that
Order. It requires an assessment of potential costs and benefits under
section 6(a)(3) of that Order. It is significant under the regulatory
policies and procedures of the Department of Homeland Security. A Cost
Assessment is available in the docket as indicated under ADDRESSES. A
summary of the Assessment follows:
Cost Assessment
For the purposes of good business practice or regulations
promulgated by other Federal and State agencies, many companies already
have spent a substantial amount of money and resources to upgrade and
improve security. The costs shown in this assessment do not include the
security measures these companies have already taken to enhance
security.
We realize that every company engaged in maritime commerce will not
implement this interim rule exactly as presented in the assessment.
Depending on each company's choices, some companies could spend much
less than what is estimated herein while others could spend
significantly more. In general, we assume that each company will
implement this interim rule differently based on the type of facilities
it owns or operates and whether it engages in international or domestic
trade.
The population affected by this interim rule is approximately 5,000
facilities, and the estimated Present Value (PV) cost to these
facilities is approximately PV $5.399 billion (2003 to 2012, 7 percent
discount rate). Approximately PV $2.718 billion of this total is
attributed to facilities engaged in the transfer of hazardous bulk
liquids (petroleum, edible oils, and liquefied gases). The remaining PV
$2.681 billion is attributable to facilities that receive vessels on
international voyages or carry more than 150 passengers, or fleet
barges carrying certain dangerous cargoes. During the initial year of
compliance, the cost is attributable to purchasing and installing
equipment, hiring security officers, and preparing paperwork. The
initial cost is an estimated $1.125 billion (non-discounted, $498
million for the facilities with hazardous bulk liquids, $627 million
for the other facilities). Following initial implementation, the annual
cost is an estimated $656 million (non-discounted, $341 million for the
facilities with hazardous bulk liquids, $315 million for the other
facilities).
Approximately 51 percent of the initial cost is for installing or
upgrading equipment, 30 percent for hiring and training Facility
Security Officers, 14 percent for hiring additional security guards,
and 5 percent for paperwork (Facility Security Assessments and Facility
Security Plans). Following the first year, approximately 52 percent of
the annual cost is for Facility Security Officers (cost and training),
24 percent for security guards, 9 percent for paperwork (updating
Facility Security Assessments and Facility Security Plans), 9 percent
for operations and maintenance for equipment, and approximately 6
percent for drills. The cost of facility security consists primarily of
installing or upgrading equipment and designating Facility Security
Officers.
Benefit Assessment
This rule is one of six interim rules that implement national
maritime security initiatives concerning general provisions, Area
Maritime Security (ports), vessels, facilities, Outer Continental Shelf
facilities, and AIS. The Coast Guard used the National Risk Assessment
Tool (N-RAT) to assess benefits that would result from increased
security for vessels, facilities, Outer Continental Shelf facilities,
and ports. The N-RAT considers threat, vulnerability, and consequences
for several maritime entities in various security-related scenarios.
For a more detailed discussion on the N-RAT and how we employed this
tool, refer to ``Applicability of National Maritime Security
Initiatives'' in the interim rule titled ``Implementation of National
Maritime Security Initiatives'' (USGC-2003-14792) published elsewhere
in today's Federal Register. For this benefit assessment, the Coast
Guard used a team of experts to calculate a risk score for each entity
and scenario before and after the implementation of required security
measures. The difference in before and after scores indicates the
benefit of the proposed action.
We recognized that the interim rules are a ``family'' of rules that
will reinforce and support one another in their implementation. We must
ensure, however, that risk reduction that is credited in one rulemaking
is not also credited in another. For a more detailed discussion on the
benefit assessment and how we addressed the potential to double-count
the risk reduced, refer to ``Benefit Assessment'' in the interim rule
titled ``Implementation of National Maritime Security Initiatives''
(USCG-2003-14792) published elsewhere in today's Federal Register.
We determined annual risk points reduced for each of the six
interim rules using the N-RAT. The benefits are apportioned among the
Vessel, Facility, OCS Facility, AMS, and AIS requirements. As shown in
Table 1, the implementation of Facility Security Plans for the affected
population reduces 473,659 risk points annually through 2012. The
benefits attributable for part 101--General Provisions--were not
considered separately since it is an overarching section for all the
parts.
Table 1.--Annual Risk Points Reduced by the Interim Rules
----------------------------------------------------------------------------------------------------------------
Annual risk points reduced by rulemaking
-------------------------------------------------------------------------------
Maritime entity Vessel Facility OCS facility
security plans security plans security plans AMS plans AIS
----------------------------------------------------------------------------------------------------------------
Vessels......................... 778,633 3,385 3,385 3,385 1,448
Facilities...................... 2,025 469,686 .............. 2,025 ..............
[[Page 39320]]
OCS Facilities.................. 41 .............. 9,903 .............. ..............
Port Areas...................... 587 587 .............. 129,792 105
Total....................... 781,285 473,659 13,288 135,202 1,553
-----------------
----------------------------------------------------------------------------------------------------------------
Once we determined the annual risk points reduced, we discounted
these estimates to their present value (seven percent discount rate,
2003-2012) so that they could be compared to the costs. We presented
the cost effectiveness, or dollars per risk point reduced, in two ways:
First, we compared the first-year cost and first-year benefit because
first-year cost is the highest in our assessment as companies develop
security plans and purchase equipment. Second, we compared the 10-year
PV cost and the 10-year PV benefit. The results of our assessment are
presented in Table 2.
Table 2.--First-Year and 10-Year PV Cost and Benefit of the Interim Rules
----------------------------------------------------------------------------------------------------------------
Interim rule
-------------------------------------------------------------------------------
Item Vessel Facility OCS facility
security plans security plans security plans AMS plans AIS \1\
----------------------------------------------------------------------------------------------------------------
First-Year Cost (millions)...... $218 $1,125 $3 $120 $41
First-Year Benefit.............. 781,285 473,659 13,288 135,202 1,553
First-Year Cost Effectiveness ($/ $279 $2,375 $205 $890 $26,391
Risk Point Reduced)............
10-Year PV Cost (millions)...... $1,368 $5,399 $37 $477 $42
10-Year PV Benefit.............. 5,871,540 3,559,655 99,863 1,016,074 11,671
10-Year PV Cost Effectiveness ($/ $233 $1,517 $368 $469 $3,624
Risk Point Reduced)............
----------------------------------------------------------------------------------------------------------------
\1\ Cost less monetized safety benefit.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this interim rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. This interim rule does not require a general notice of proposed
rulemaking and, therefore, is exempt from the requirements of the
Regulatory Flexibility Act. Although this interim rule is exempt, we
have reviewed it for potential economic impacts on small entities. An
Initial Regulatory Flexibility Analysis discussing the impact of this
interim rule on small entities is available in the docket where
indicated under ADDRESSES.
Our assessment (copy available in the docket) concludes that
implementing this interim rule may have a significant economic impact
on a substantial number of small entities.
There are approximately 1,200 companies that own facilities that
will be affected by the interim rule. We researched these companies,
and found revenue and business size data for 581 of them (48 percent).
Of the 581, we determined that 296 are small entities according to
Small Business Administration standards.
The cost of the interim rule to each facility is dependent on the
security measures already in place at each facility and on the relevant
risk to a maritime transportation security incident. The interim rule
calls for specific security measures to be in place at each affected
facility. We realize, however, that most facilities already have
implemented security measures that may satisfy the requirements of this
rule. For example, we note that every facility will develop a Facility
Security Assessment and a Facility Security Plan, but not all of them
may need to install or upgrade fences or lighting equipment.
For this reason, we analyzed the small entities under two
scenarios, a higher cost and lower cost scenarios. The higher cost
scenario uses an estimated initial cost of $1,942,500 and its
corresponding annual cost of $742,700. The higher cost scenario assumes
extensive capital improvements will be undertaken by the facilities in
addition to the cost of complying with the minimum requirements
(assigning Facility Security Officers, drafting Facility Security
Assessments, drafting Facility Security Plans, conducting Training,
performing Drills, and completing Declarations of Security). The lower
cost scenario used an initial cost of $133,500 and annual cost of
$156,800 for complying with the minimum requirements in the interim
rule.
In the higher cost scenario, we estimate that the annual revenues
of 94 percent of the small entities may be impacted initially by more
than 5 percent, while the annual revenues of 80 percent of the small
entities may be impacted annually by more than 5 percent. In the lower
cost scenario, we found that the annual revenues of 57 percent of the
small entities may be impacted initially and annually by more than 5
percent.
Assistance for Small Entities
Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this interim rule so that they can better
evaluate its effects on them and participate in the rulemaking. If the
rule would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please consult LT Gregory Purvis by telephone
202-267-1103, toll-free telephone 1-800-842-8740 ext. 7-
[[Page 39321]]
1103, or electronic mail msregs@comdt.uscg.mil.
Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247).
Collection of Information
This interim rule calls for a collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). As defined in 5
CFR 1320.3(c), ``collection of information'' comprises reporting,
recordkeeping, monitoring, posting, labeling, and other similar
actions. The title and description of the information collections, a
description of those who must collect the information, and an estimate
of the total annual burden follow. The estimate covers the time for
reviewing instructions, searching existing sources of data, gathering
and maintaining the data needed, and completing and reviewing the
collection.
This interim rule modifies an existing OMB-approved collection--
1625-0077 [formerly 2115-0557]. A summary of the revised collection
follows.
Title: Security Plans for Ports, Vessels, Facilities, and Outer
Continental Shelf Facilities and Other Security-Related Requirements.
OMB Control Number: 1625-0077.
Summary of the Collection of Information: The Coast Guard requires
facilities to draft and maintain Facility Security Assessments and
Facility Security Plans. It also requires that, under certain
circumstances, documentation and letters be provided to the Coast Guard
to ensure compliance with the security requirements. Finally, the Coast
Guard requires that a Declaration of Security be completed between
facilities and vessels handling certain types of cargo.
Need for Information: The primary need for information is to
identify the adequate security mitigating measures that will be
implemented when needed. Additionally, the Coast Guard intends to
collect a summary of the vulnerabilities and selected security measures
from the facilities regulated under this rule. The data will be
submitted on form CG-6025, Facility Vulnerability and Security Measures
Summary. Electronic submission when available will be accepted and
encouraged. The form must be included in the Facility Security Plan as
an annex to assist COTPs in the development of the Area Maritime
Security Plan.
Proposed Use of Information: The information will be used to
identify and communicate the security mitigating measures to the Coast
Guard and necessary personnel. Declarations of Security will be used by
some facilities and vessels to identify and delineate the security
responsibilities between a vessel and a facility.
Description of the Respondents: The Facility Security Officer or
another designated person is responsible for developing the Facility
Security Assessment and the Facility Security Plan. For some
facilities, the Facility Security Officer will also complete a
Declaration of Security.
Number of Respondents: 4,965 Facility Security Officers.
Frequency of Response: Facility Security Assessments and Facility
Security Plans are to be submitted for approval initially, and will be
reviewed annually. Declarations of Security are to be completed
whenever certain vessels are being serviced by a facility.
Burden of Response: The burden of developing each Facility Security
Assessment and each Facility Security Plan is estimated to take 80
hours for some facilities and 40 hours for others. Updating each
assessment or plan is estimated to take 4 hours for some facilities and
2 hours for others. Each Declaration of Security is expected to be 15
minutes.
Estimate of Total Annual Burden: Facility Security Assessments and
Facility Security Plans will have a total burden in the initial year of
528,240 hours (264,120 for the assessments and 264,120 for the plans).
Annually, the total burden of the assessments and the plans is 26,412
hours (13,206 for the assessments and 13,206 for the plans).
Declarations of Security will have an annual burden of 581,775 hours.
The total burden hours for this interim rule are 528,240 hours in the
initial year, and 608,187 hours in subsequent years. For a summary of
all revisions to this existing OMB-approved collection, refer to
Collection of Information in the interim rule titled ``Implementation
of National Maritime Security Initiatives'' (USCG-2003-14792) published
elsewhere in today's Federal Register.
As required by the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)), we have submitted a copy of this interim rule to the Office
of Management and Budget (OMB) for its review of the collection of
information. Due to the circumstances surrounding this temporary rule,
we asked for ``emergency processing'' of our request. We received OMB
approval for the collection of information on June 16, 2003. It is
valid until December 31, 2003.
We ask for public comment on the collection of information to help
us determine how useful the information is; whether it can help us
perform our functions better; whether it is readily available
elsewhere; how accurate our estimate of the burden of collection is;
how valid our methods for determining burden are; how we can improve
the quality, usefulness, and clarity of the information; and how we can
minimize the burden of collection.
If you submit comments on the collection of information, submit
them both to OMB and to the Docket Management Facility where indicated
under ADDRESSES, by the date under DATES.
You need not respond to a collection of information unless it
displays a currently valid control number from OMB. We received OMB
approval for the collection of information on June 16, 2003. It is
valid until December 31, 2003.
Federalism
A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. See the ``Federalism'' section in
the interim rule preamble titled ``Implementation of National Maritime
Security Initiatives'' (USCG-2003-14792), published elsewhere in
today's Federal Register, for a detailed of the analysis under this
Executive Order.
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 or more in any
one year. This rule is exempted from assessing the effects of the
regulatory action as required by the Act because it is necessary for
the national security of the U.S.
Taking of Private Property
This interim rule will not effect a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental
[[Page 39322]]
Actions and Interference with Constitutionally Protected Property
Rights.
Civil Justice Reform
This interim rule meets applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.
Protection of Children
We have analyzed this interim rule under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. While this interim rule is an economically significant rule, it
does not create an environmental risk to health or risk to safety that
may disproportionately affect children.
Indian Tribal Governments
This interim rule does not have tribal implications under Executive
Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it does not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes.
Energy Effects
We have analyzed this interim rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order. Although it is a ``significant
regulatory action'' under Executive Order 12866, it is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.
This interim rule has a positive effect on the supply,
distribution, and use of energy. The interim rule provides for security
assessments, plans, procedures, and standards, which will prove
beneficial for the supply, distribution, and use of energy at increased
levels of maritime security.
Trade Impact Assessment
The Trade Agreement Act of 1979 (19 U.S.C. 2501-2582) prohibits
Federal agencies from engaging in any standards or related activities
that create unnecessary obstacles to the foreign commerce of the U.S.
Legitimate domestic objectives, such as safety and security, are not
considered unnecessary obstacles. The Act also requires consideration
of international standards and, where appropriate, that they be the
basis for U.S. standards. We have assessed the potential effect of this
interim rule and have determined that it would likely create obstacles
to the foreign commerce of the U.S. However, because these regulations
are being put in place in order to further a legitimate domestic
objective, namely to increase the security of the U.S., any obstacles
created by the regulation are not considered unnecessary obstacles.
Environment
We have considered the environmental impact of this rule and
concluded that under figure 2-1, paragraph (34)(a) and (34)(c), of
Commandant Instruction M16475.lD, this rule is categorically excluded
from further environmental documentation. This interim rule concerns
security assessments, plans, training, and the establishment of
security positions that will contribute to a higher level of marine
safety and security for U.S. ports. A ``Categorical Exclusion
Determination'' is available in the docket where indicated under
ADDRESSES or SUPPLEMENTARY INFORMATION.
This rulemaking will not significantly impact the coastal zone.
Further, the rulemaking and the execution of this rule will be done in
conjunction with appropriate State coastal authorities. The Coast Guard
will, therefore, comply with the requirements of the Coastal Zone
Management Act while furthering its intent to protect the coastal zone.
List of Subjects in 33 CFR Part 105
Facilities, Maritime security, Reporting and recordkeeping
requirements, Security measures.
Dated: June 23, 2003.
Thomas H. Collins,
Admiral, U.S. Coast Guard, Commandant.
For the reasons discussed in the preamble, the Coast Guard adds part
105 to subchapter H of chapter I of title 33 in the CFR to read as
follows:
PART 105-FACILITY SECURITY
Subpart A-General
Sec.
105.100 Definitions.
105.105 Applicability.
105.106 Public access areas.
105.110 Exemptions.
105.115 Compliance dates.
105.120 Compliance documentation.
105.125 Noncompliance.
105.130 Waivers.
105.135 Equivalents.
105.140 Alternative Security Program.
105.145 Maritime Security (MARSEC) Directive.
105.150 Right to appeal.
Subpart B--Facility Security Requirements
105.200 Owner or operator.
105.205 Facility Security Officer (FSO).
105.210 Facility personnel with security duties.
105.215 Security training for all other facility personnel.
105.220 Drill and exercise requirements.
105.225 Facility recordkeeping requirements.
105.230 Maritime Security (MARSEC) Level coordination and
implementation.
105.235 Communications.
105.240 Procedures for interfacing with vessels.
105.245 Declaration of Security (DoS).
105.250 Security systems and equipment maintenance.
105.255 Security measures for access control.
105.260 Security measures for restricted areas.
105.265 Security measures for handling cargo.
105.270 Security measures for delivery of vessel stores and bunkers.
105.275 Security measures for monitoring.
105.280 Security incident procedures.
105.285 Additional requirements--passenger and ferry facilities.
105.290 Additional requirements--cruise ship terminals.
105.295 Additional requirements--Certain Dangerous Cargo (CDC)
facilities.
105.296 Additional requirements--barge fleeting facilities.
Subpart C--Facility Security Assessment (FSA)
105.300 General.
105.305 Facility Security Assessment (FSA) requirements.
105.310 Submission requirements.
Subpart D--Facility Security Plan (FSP)
105.400 General.
105.405 Format and content of the Facility Security Plan (FSP).
105.410 Submission and approval.
105.415 Amendment and audit.
Appendix A to part 105--Facility Vulnerability and Security Measure
Summary (CG-6025).
Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. 70103; 50 U.S.C. 191;
33 CFR 1.05-1,6.04-11, 6.14, 6.16, and 6.19; Department of Homeland
Security Delegation No. 0170.
Subpart A--General
Sec. 105.100 Definitions.
Except as specifically stated in this subpart, the definitions in
part 101 of this subchapter apply to this part.
[[Page 39323]]
Sec. 105.105 Applicability.
(a) The requirements in this part apply to the owner or operator of
any U.S.:
(1) Facility subject to 33 CFR parts 126, 127, or 154;
(2) Facility that receives vessels certificated to carry more than
150 passengers;
(3) Facility that receives vessels subject to the International
Convention for Safety of Life at Sea, 1974, or that are commercial
vessels subject to subchapter I of title 46, Code of Federal
Regulations, greater than 100 gross register tons on international
voyages, including vessels solely navigating the Great Lakes; or
(4) Fleeting facility that receives barges carrying, in bulk,
cargoes regulated by subchapters D and O of chapter I, title 46, Code
of Federal Regulations or Certain Dangerous Cargoes.
(b) An owner or operator of any facility not covered in paragraph
(a) of this section is subject to parts 101 through 103 of this
subchapter.
(c) This part does not apply to the owner or operator of the
following U.S. facilities:
(1) A facility owned and operated by the U.S. that is used
primarily for military purposes.
(2) An oil and natural gas production, exploration, or development
facility regulated by 33 CFR parts 126 or 154 if:
(i) The facility is engaged solely in the exploration, development,
or production of oil and natural gas; and
(ii) The facility does not meet or exceed the operating conditions
in Sec. 106.105 of this subchapter;
(3) A facility that supports the production, exploration, or
development of oil and natural gas regulated by 33 CFR parts 126 or 154
if:
(i) The facility is engaged solely in the support of exploration,
development, or production of oil and natural gas; and
(ii) The facility transports or stores quantities of hazardous
materials that do not meet and exceed those specified in 49 CFR
172.800(b)(1) through (6); or
(iii) The facility stores less than 42,000 gallons of cargo
regulated by 33 CFR part 154;
(4) A mobile facility regulated by 33 CFR part 154; or
(5) An isolated facility that receives materials regulated by 33
CFR parts 126 or 154 by vessel due to the lack of road access to the
facility and does not distribute the material through secondary marine
transfers.
Sec. 105.106 Public access areas.
(a) A facility serving ferries and passenger vessels certificated
to carry more than 150 passengers, other than cruise vessels, may
designate an area within the facility as a public access area.
(b) A public access area is a defined space within a facility that
is open to all persons and provides access through the facility from
public thoroughfares to the vessel.
Sec. 105.110 Exemptions.
(a) An owner or operator of any barge fleeting facility subject to
this part is exempt from complying with Sec. 105.265, Security
measures for handling cargo; and Sec. 105.270, Security measures for
delivery of vessel stores and bunkers.
(b) A public access area designated under Sec. 105.106 is exempt
from the requirements for screening and identification of persons in
Sec. 105.255(c), (e)(1), and (e)(3).
Sec. 105.115 Compliance dates.
(a) On or before December 29, 2003, each facility owner or operator
must submit to the cognizant COTP for each facility a Facility Security
Plan (FSP) described in subpart D of this part for review and approval.
(b) On or before June 30, 2004, each facility owner or operator
must be operating in compliance with this part.
Sec. 105.120 Compliance documentation.
Each facility owner or operator subject to this part must ensure,
no later than July 1, 2004, that copies of the following documentation
are available at the facility and are made available to the Coast Guard
upon request:
(a) The approved Facility Security Plan (FSP), as well as any
approved revisions or amendments thereto, and a letter of approval from
the COTP dated within the last 5 years;
(b) The FSP submitted for approval and an acknowledgement letter
from the COTP stating that the Coast Guard is currently reviewing the
FSP submitted for approval, and that the facility may continue to
operate so long as the facility remains in compliance with the
submitted FSP; or
(c) For facilities operating under a Coast Guard-approved
Alternative Security Program as provided in Sec. 105.140, a copy of
the Alternative Security Program the facility is using and a letter
signed by the facility owner or operator, stating which Alternative
Security Program the facility is using and certifying that the facility
is in full compliance with that program.
Sec. 105.125 Noncompliance.
When a facility is not in compliance with the requirements of this
part, the facility owner or operator must notify the cognizant COTP and
request a waiver to continue operations.
Sec. 105.130 Waivers.
Any facility owner or operator may apply for a waiver of any
requirement of this part that the facility owner or operator considers
unnecessary in light of the nature or operating conditions of the
facility, prior to operating. A request for a waiver must be submitted
in writing with justification to the Commandant (G-MP) at 2100 Second
St., SW., Washington, DC 20593. The Commandant (G-MP) may require the
facility owner or operator to provide data for use in determining the
validity of the requested waiver. The Commandant (G-MP) may grant, in
writing, a waiver with or without conditions only if the waiver will
not reduce the overall security of the facility, its employees,
visiting vessels, or ports. The Commandant (G-MP) may grant a waiver
with or without written conditions only if the waiver will not reduce
the overall security of the facility, its employees, visiting vessels,
or port.
Sec. 105.135 Equivalents.
For any measure required by this part, the facility owner or
operator may propose an equivalent as provided in Sec. 101.130 of this
subchapter.
Sec. 105.140 Alternative Security Program.
(a) A facility owner or operator may use an Alternative Security
Program approved under Sec. 101.120 of this subchapter if:
(1) The Alternative Security Program is appropriate to that
facility;
(2) The Alternative Security Program is implemented in its
entirety.
(b) A facility owner or operator using an Alternative Security
Program approved under Sec. 101.120 of this subchapter must complete
and submit to the cognizant COTP a Facility Vulnerability and Security
Measures Summary (Form CG-6025) in appendix A to part 105--Facility
Vulnerability and Security (CG-6025).
Sec. 105.145 Maritime Security (MARSEC) Directive.
Each facility owner or operator subject to this part must comply
with any instructions contained in a MARSEC Directive issued under
Sec. 101.405 of this subchapter.
Sec. 105.150 Right to appeal.
Any person directly affected by a decision or action taken under
this part, by or on behalf of the Coast Guard, may appeal as described
in Sec. 101.420 of this subchapter.
[[Page 39324]]
Subpart B--Facility Security Requirements
Sec. 105.200 Owner or operator.
(a) Each facility owner or operator must ensure that the facility
operates in compliance with the requirements of this part.
(b) For each facility, the facility owner or operator must:
(1) Define the security organizational structure and provide each
person exercising security duties and responsibilities within that
structure the support needed to fulfill those obligations;
(2) Designate, in writing, by name or by title, a Facility Security
Officer (FSO) and identify how the officer can be contacted at any
time;
(3) Ensure that a Facility Security Assessment (FSA) is conducted;
(4) Ensure the development and submission for approval of a
Facility Security Plan (FSP);
(5) Ensure that the facility operates in compliance with the
approved FSP;
(6) Ensure that adequate coordination of security issues takes
place between the facility and vessels that call on it, including the
execution of a Declaration of Security (DoS) as required by this part;
(7) Ensure coordination of shore leave for vessel personnel or crew
change-out, as well as access through the facility for visitors to the
vessel (including representatives of seafarers' welfare and labor
organizations), with vessel operators in advance of a vessel's arrival;
(8) Ensure, within 12 hours of notification of an increase in
MARSEC Level, implementation of the additional security measures
required for the new MARSEC Level; and
(9) Ensure the report of all breaches of security and security
incidents to the National Response Center in accordance with part 101
of this subchapter.
Sec. 105.205 Facility Security Officer (FSO).
(a) General. (1) The FSO may perform other duties within the
owner's or operator's organization, provided he or she is able to
perform the duties and responsibilities required of the FSO.
(2) The same person may serve as the FSO for more than one
facility, provided the facilities are in the same COTP zone and are not
more than 50 miles apart. If a person serves as the FSO for more than
one facility, the name of each facility for which he or she is the FSO
must be listed in the Facility Security Plan (FSP) of each facility for
which or she is the FSO.
(3) The FSO may assign security duties to other facility personnel;
however, the FSO retains the responsibility for these duties.
(b) Qualifications. (1) The FSO must have general knowledge,
through training or equivalent job experience, in the following:
(i) Security organization of the facility;
(ii) General vessel and facility operations and conditions;
(iii) Vessel and facility security measures, including the meaning
and the requirements of the different MARSEC Levels;
(iv) Emergency preparedness, response, and contingency planning;
(v) Security equipment and systems, and their operational
limitations; and
(vi) Methods of conducting audits, inspections, control, and
monitoring techniques.
(2) In addition to knowledge and training required in paragraph
(b)(1) of this section, the FSO must have knowledge of and receive
training in the following, as appropriate:
(i) Relevant international laws and codes, and recommendations;
(ii) Relevant government legislation and regulations;
(iii) Responsibilities and functions of local, State, and Federal
law enforcement agencies;
(iv) Risk assessment methodology;
(v) Methods of facility security surveys and inspections;
(vi) Instruction techniques for security training and education,
including security measures and procedures;
(vii) Handling sensitive security information and security related
communications;
(viii) Current security threats and patterns;
(ix) Recognizing and detecting dangerous substances and devices;
(x) Recognizing characteristics and behavioral patterns of persons
who are likely to threaten security;
(xi) Techniques used to circumvent security measures;
(xii) Conducting physical searches and non-intrusive inspections;
(xiii) Conducting security drills and exercises, including
exercises with vessels; and
(xiv) Assessing security drills and exercises.
(c) Responsibilities. In addition to those responsibilities and
duties specified elsewhere in this part, the FSO must, for each
facility for which he or she has been designated:
(1) Ensure that the Facility Security Assessment (FSA) is
conducted;
(2) Ensure the development and implementation of a FSP;
(3) Ensure that an annual audit is conducted, and if necessary if
the FSA and FSP are updated;
(4) Ensure the FSP is exercised per Sec. 105.220 of this part;
(5) Ensure that regular security inspections of the facility are
conducted;
(6) Ensure the security awareness and vigilance of the facility
personnel;
(7) Ensure adequate training to personnel performing facility
security duties;
(8) Ensure that occurrences that threaten the security of the
facility are recorded and reported to the owner or operator;
(9) Ensure the maintenance of records required by this part;
(10) Ensure the preparation and the submission of any reports as
required by this part;
(11) Ensure the execution of any required Declarations of Security
with Vessel Security Officers;
(12) Ensure the coordination of security services in accordance
with the approved FSP;
(13) Ensure that security equipment is properly operated, tested,
calibrated, and maintained;
(14) Ensure the recording and reporting of attainment changes in
MARSEC Levels to the owner or operator and the cognizant COTP;
(15) When requested, ensure that the Vessel Security Officers
receive assistance in confirming the identity of visitors and service
providers seeking to board the vessel through the facility;
(16) Ensure notification, as soon as possible, to law enforcement
personnel and other emergency responders to permit a timely response to
any transportation security incident;
(17) Ensure that the FSP is submitted to the cognizant COTP for
approval, as well as any plans to change the facility or facility
infrastructure prior to amending the FSP; and
(18) Ensure that all facility personnel are briefed of changes in
security conditions at the facility.
Sec. 105.210 Facility personnel with security duties.
Facility personnel responsible for security duties must have
knowledge, through training or equivalent job experience, in the
following, as appropriate:
(a) Knowledge of current security threats and patterns;
(b) Recognition and detection of dangerous substances and devices;
(c) Recognition of characteristics and behavioral patterns of
persons who are likely to threaten security;
(d) Techniques used to circumvent security measures;
(e) Crowd management and control techniques;
[[Page 39325]]
(f) Security related communications;
(g) Knowledge of emergency procedures and contingency plans;
(h) Operation of security equipment and systems;
(i) Testing, calibration, and maintenance of security equipment and
systems;
(j) Inspection, control, and monitoring techniques;
(k) Relevant provisions of the Facility Security Plan (FSP);
(l) Methods of physical screening of persons, personal effects,
baggage, cargo, and vessel stores; and
(m) The meaning and the consequential requirements of the different
MARSEC Levels.
Sec. 105.215 Security training for all other facility personnel.
All other facility personnel, including contractors, whether part-
time, full-time, temporary, or permanent, must have knowledge of,
through training or equivalent job experience, in the following:
(a) Relevant provisions of the Facility Security Plan (FSP);
(b) The meaning and the consequential requirements of the different
MARSEC Levels as they apply to them, including emergency procedures and
contingency plans;
(c) Recognition and detection of dangerous substances and devices;
(d) Recognition of characteristics and behavioral patterns of
persons who are likely to threaten security; and
(e) Techniques used to circumvent security measures.
Sec. 105.220 Drill and exercise requirements.
(a) General. Drills and exercises must test the proficiency of
facility personnel in assigned security duties at all MARSEC Levels and
the effective implementation of the Facility Security Plan (FSP). They
must enable the Facility Security Officer (FSO) to identify any related
security deficiencies that need to be addressed.
(b) Drills.--(1) The FSO must ensure that at least one security
drill is conducted every 3 months. Security drills may be held in
conjunction with non-security drills, where appropriate.
(2) Drills must test individual elements of the FSP, including
response to security threats and incidents. Drills should take into
account the types of operations of the facility, facility personnel
changes, the type of vessel the facility is serving, and other relevant
circumstances. Examples of drills include unauthorized entry to a
restricted area, response to alarms, and notification of law
enforcement authorities.
(3) If a vessel is moored at the facility on the date the facility
has planned to conduct any drills, the facility cannot require the
vessel or vessel personnel to be a part of or participate in the
facility's scheduled drill.
(c) Exercises.--(1) Exercises must be conducted at least once each
calendar year, with no more than 18 months between exercises.
(2) Exercises may be:
(i) Full scale or live;
(ii) Tabletop simulation or seminar;
(iii) Combined with other appropriate exercises; or
(iv) A combination of the elements in paragraphs (c)(2)(i) through
(iii) of this section.
(3) Exercises may be facility-specific or part of a cooperative
exercise program with applicable facility and vessel security plans or
comprehensive port exercises.
(4) Each exercise must test communication and notification
procedures, and elements of coordination, resource availability, and
response.
(5) Exercises are a full test of the security program and must
include substantial and active participation of FSOs, and may include
government authorities and vessels visiting the facility. Requests for
participation of Company and Vessel Security Officers in joint
exercises should consider the security and work implications for the
vessel.
Sec. 105.225 Facility recordkeeping requirements.
(a) Unless otherwise specified in this section, the Facility
Security Officer (FSO) must keep records of the activities as set out
in paragraph (b) of this section for at least 2 years and make them
available to the Coast Guard upon request.
(b) Records required by this section may be kept in electronic
format. If kept in an electronic format, they must be protected against
unauthorized deletion, destruction, or amendment. The following records
must be kept:
(1) Training. For each security training session, the date of each
session, duration of session, a description of the training, and a list
of attendees;
(2) Drills and exercises. For each drill or exercise, the date
held, description of drill or exercise, list of participants, and any
best practices or lessons learned which may improve the Facility
Security Plan (FSP);
(3) Incidents and breaches of security. For each incident or breach
of security, the date and time of occurrence, location within the
facility, description of incident or breaches, to whom it was reported,
and description of the response;
(4) Changes in MARSEC Levels. For each change in MARSEC Level, the
date and time of notification received, and time of compliance with
additional requirements;
(5) Maintenance, calibration, and testing of security equipment.
For each occurrence of maintenance, calibration, and testing, record
the date and time, and the specific security equipment involved;
(6) Security threats. For each security threat, the date and time
of occurrence, how the threat was communicated, who received or
identified the threat, description of threat, to whom it was reported,
and description of the response;
(7) Declaration of Security (DoS) A copy of each single-visit DoS
and a copy of each continuing DoS for at least 90 days after the end of
its effective period; and
(8) Annual audit of the FSP. For each annual audit, a letter
certified by the FSO stating the date the audit was completed.
(c) Any record required by this part must be protected from
unauthorized access or disclosure.
Sec. 105.230 Maritime Security (MARSEC) Level coordination and
implementation.
(a) The facility owner or operator must ensure the facility
operates in compliance with the security requirements in this part for
the MARSEC Level in effect for the port.
(b) When notified of an increase in the MARSEC Level, the facility
owner and operator must ensure:
(1) Vessels moored to the facility and vessels scheduled to arrive
at the facility within 96 hours of the MARSEC Level change are notified
of the new MARSEC Level and the Declaration of Security is revised as
necessary;
(2) The facility complies with the required additional security
measures within 12 hours; and
(3) The facility reports compliance or noncompliance to the COTP.
(c) For MARSEC Levels 2 and 3, the Facility Security Officer must
inform all facility personnel about identified threats, and emphasize
reporting procedures and stress the need for increased vigilance.
(d) An owner or operator whose facility is not in compliance with
the requirements of this section, must inform the COTP and obtain
approval prior to interfacing with a vessel or continuing operations.
(e) At MARSEC Level 3, in addition to the requirements in this
part, a
[[Page 39326]]
facility owner or operator may be required to implement additional
measures, pursuant to 33 CFR part 6, 160, or 165, as appropriate, which
may include but are not limited to:
(1) Use of waterborne security patrol;
(2) Use of armed security personnel to control access to the
facility and to deter, to the maximum extent practical, a
transportation security incident; and
(3) Examination of piers, wharves, and similar structures at the
facility for the presence of dangerous substances or devices underwater
or other threats.
Sec. 105.235 Communications.
(a) The Facility Security Officer must have a means to effectively
notify facility personnel of changes in security conditions at the
facility.
(b) Communication systems and procedures must allow effective and
continuous communications between the facility security personnel,
vessels interfacing with the facility, the cognizant COTP, and national
and local authorities with security responsibilities.
(c) At each active facility access point, provide a means of
contacting police, security control, or an emergency operations center,
by telephones, cellular phones, and/or portable radios, or other
equivalent means.
(d) Facility communications systems must have a backup means for
both internal and external communications.
Sec. 105.240 Procedures for interfacing with vessels.
The facility owner or operator must ensure that there are measures
for interfacing with vessels at all MARSEC Levels.
Sec. 105.245 Declaration of Security (DoS).
(a) Each facility owner or operator must ensure procedures are
established for requesting a DoS and for handling DoS requests from a
vessel.
(b) At MARSEC Level 1, a facility receiving a cruise ship or a
manned vessel carrying Certain Dangerous Cargo, in bulk, must comply
with the following:
(1) Prior to the arrival of a vessel to the facility, the Facility
Security Officer (FSO) and Master, Vessel Security Officer (VSO), or
their designated representatives must coordinate security needs and
procedures, and agree upon the contents of the DoS for the period of
time the vessel is at the facility; and
(2) Upon the arrival of the vessel at the facility, the FSO and
Master, VSO, or their designated representative, must sign the written
DoS.
(c) Neither the facility nor the vessel may embark or disembark
passengers, nor transfer cargo or vessel stores until the DoS has been
signed and implemented.
(d) At MARSEC Levels 2 and 3, the FSOs of facilities interfacing
with manned vessels subject to part 104 of this subchapter must sign
and implement DoSs.
(e) At MARSEC Levels 1 and 2, FSOs of facilities that frequently
interface with the same vessel may implement a continuing DoS for
multiple visits, provided that:
(1) The DoS is valid for a specific MARSEC Level;
(2) The effective period at MARSEC Level 1 does not exceed 90 days;
and
(3) The effective period at MARSEC Level 2 does not exceed 30 days.
(f) When the MARSEC Level increases beyond that contained in the
DoS, the continuing DoS is void and a new DoS must be executed in
accordance with this section.
(g) A copy of all currently valid continuing DoSs must be kept with
the Facility Security Plan.
(h) The COTP may require, at any time, at any MARSEC Level, any
facility subject to this part to implement a DoS with the VSO prior to
any vessel-to-facility interface when he or she deems it necessary.
Sec. 105.250 Security systems and equipment maintenance.
(a) Security systems and equipment must be in good working order
and inspected, tested, calibrated, and maintained according to
manufacturers' recommendations.
(b) Security systems must be regularly tested in accordance with
the manufacturers' recommendations; noted deficiencies corrected
promptly; and the results recorded as required in Sec. 105.225 of this
subpart.
(c) The FSP must include procedures for identifying and responding
to security system and equipment failures or malfunctions.
Sec. 105.255 Security measures for access control.
(a) General. The facility owner or operator must ensure the
implementation of security measures to:
(1) Deter the unauthorized introduction of dangerous substances and
devices, including any device intended to damage or destroy persons,
vessels, facilities, or ports;
(2) Secure dangerous substances and devices that are authorized by
the owner or operator to be on the facility; and
(3) Control access to the facility.
(b) The facility owner or operator must ensure that:
(1) The locations where restrictions or prohibitions that prevent
unauthorized access are applied for each MARSEC Level. Each location
allowing means of access to the facility must be addressed;
(2) The identification of the type of restriction or prohibition to
be applied and the means of enforcing them;
(3) The means of identification required to allow access to the
facility and for individuals and vehicles to remain on the facility
without challenge are established; and
(4) The identification of the locations where persons, personal
effects and vehicle screenings are to be conducted. The designated
screening areas should be covered to provide for continuous operations
regardless of the weather conditions.
(c) The facility owner or operator must ensure that an
identification system is established for checking the identification of
facility personnel or other persons seeking access to the facility
that:
(1) Allows identification of authorized and unauthorized persons at
any MARSEC Level;
(2) Is coordinated, when practicable, with identification systems
of vessels that use the facility;
(3) Is updated regularly;
(4) Uses disciplinary measures to discourage abuse;
(5) Allows temporary or continuing access for facility personnel
and visitors, including seafarers' chaplains and union representatives,
through the use of a badge or other system to verify their identity;
and
(6) Allows certain long-term, frequent vendor representatives to be
treated more as employees than as visitors.
(d) The facility owner or operator must establish in the approved
Facility Security Plan (FSP) the frequency of application of any access
controls, particularly if they are to be applied on a random or
occasional basis.
(e) MARSEC Level 1. The facility owner or operator must ensure the
following security measures are implemented at the facility:
(1) Screen persons, baggage (including carry-on items), personal
effects, and vehicles, including delivery vehicles for dangerous
substances and devices at the rate specified in the approved FSP;
(2) Conspicuously post signs that describe security measures
currently in effect and clearly state that:
(i) Entering the facility is deemed valid consent to screening or
inspection; and
(ii) Failure to consent or submit to screening or inspection will
result in denial or revocation of authorization to enter;
(3) Check the identification of any person seeking to enter the
facility,
[[Page 39327]]
including vessel passengers and crew, facility employees, vendors,
personnel duly authorized by the cognizant authority, and visitors.
This check includes confirming the reason for entry by examining at
least one of the following:
(i) Joining instructions;
(ii) Passenger tickets;
(iii) Boarding passes;
(iv) Work orders, pilot orders, or surveyor orders;
(v) Government identification; or
(vi) Visitor badges issued in accordance with an identification
system required in paragraph (c) of this section;
(4) Deny or revoke a person's authorization to be on the facility
if the person is unable or unwilling, upon the request of facility
personnel, to establish his or her identity or to account for his or
her presence. Any such incident must be reported in compliance with
this part;
(5) Designate restricted areas and provide appropriate access
controls for these areas;
(6) Identify access points that must be secured or attended to
deter unauthorized access;
(7) Deter unauthorized access to the facility and to designated
restricted areas within the facility;
(8) Screen by hand or device, such as x-ray, all unaccompanied
baggage prior to loading onto a vessel; and
(9) Secure unaccompanied baggage after screening in a designated
restricted area and maintain security control during transfers between
the facility and a vessel.
(f) MARSEC Level 2. In addition to the security measures required
for MARSEC Level 1 in this section, at MARSEC Level 2, the facility
owner or operator must also ensure the implementation of additional
security measures, as specified for MARSEC Level 2 in their approved
FSP. These additional security measures may include:
(1) Increasing the frequency and detail of the screening of
persons, baggage, and personal effects for dangerous substances and
devices entering the facility;
(2) X-ray screening of all unaccompanied baggage;
(3) Assigning additional personnel to guard access points and
patrol the perimeter of the facility to deter unauthorized access;
(4) Limiting the number of access points to the facility by closing
and securing some access points and providing physical barriers to
impede movement through the remaining access points;
(5) Denying access to visitors who do not have a verified
destination;
(6) Deterring waterside access to the facility, which may include,
using waterborne patrols to enhance security around the facility; or
(7) Screening vehicles and their contents for dangerous substances
and devices at the rate specified for MARSEC Level 2 in the approved
FSP.
(g) MARSEC Level 3. In addition to the security measures required
for MARSEC Level 1 and MARSEC Level 2, the facility owner or operator
must ensure the implementation of additional security measures, as
specified for MARSEC Level 3 in their approved FSP. These additional
security measures may include:
(1) Screening all persons, baggage, and personal effects for
dangerous substances and devices;
(2) Performing one or more of the following on unaccompanied
baggage:
(i) Screen unaccompanied baggage more extensively; for example, x-
raying from two or more angles;
(ii) Prepare to restrict or suspend handling unaccompanied baggage;
or
(iii) Refuse to accept unaccompanied baggage;
(3) Being prepared to cooperate with responders and facilities;
(4) Granting access to only those responding to the security
incident or threat thereof;
(5) Suspending access to the facility;
(6) Suspending cargo operations;
(7) Evacuating the facility;
(8) Restricting pedestrian or vehicular movement on the grounds of
the facility; or
(9) Increasing security patrols within the facility.
Sec. 105.260 Security measures for restricted areas.
(a) General. The facility owner or operator must ensure the
designation of restricted areas in order to:
(1) Prevent or deter unauthorized access;
(2) Protect persons authorized to be in the facility;
(3) Protect the facility;
(4) Protect vessels using and serving the facility;
(5) Protect sensitive security areas within the facility;
(6) Protect security and surveillance equipment and systems; and
(7) Protect cargo and vessel stores from tampering.
(b) Designation of Restricted Areas. The facility owner or operator
must ensure restricted areas are designated within the facility. They
must also ensure that all restricted areas are clearly marked and
indicate that access to the area is restricted and that unauthorized
presence within the area constitutes a breach of security. The facility
owner or operator may also designate the entire facility as a
restricted area. Restricted areas must include, as appropriate:
(1) Shore areas immediately adjacent to each vessel moored at the
facility;
(2) Areas containing sensitive security information, including
cargo documentation;
(3) Areas containing security and surveillance equipment and
systems and their controls, and lighting system controls; and
(4) Areas containing critical facility infrastructure, including:
(i) Water supplies;
(ii) Telecommunications;
(iii) Electrical system; and
(iv) Access points for ventilation and air-conditioning systems;
(5) Manufacturing or processing areas and control rooms;
(6) Locations in the facility where access by vehicles and
personnel should be restricted;
(7) Areas designated for loading, unloading or storage of cargo and
stores; and
(8) Areas containing cargo consisting of dangerous goods or
hazardous substances, including certain dangerous cargoes.
(c) The owner or operator must ensure that all restricted areas
have clearly established security measures to:
(1) Identify which facility personnel are authorized to have
access;
(2) Determine which persons other than facility personnel are
authorized to have access;
(3) Determine the conditions under which that access may take
place;
(4) Define the extent of any restricted area;
(5) Define the times when access restrictions apply;
(6) Clearly mark all restricted areas and indicate that access to
the area is restricted and that unauthorized presence within the area
constitutes a breach of security;
(7) Control the entry, parking, loading and unloading of vehicles;
(8) Control the movement and storage of cargo and vessel stores;
and
(9) Control unaccompanied baggage or personal effects.
(d) MARSEC Level 1. At MARSEC Level 1, the facility owner or
operator must ensure the implementation of security measures to prevent
unauthorized access or activities within the area. These security
measures may include:
(1) Restricting access to only authorized personnel;
(2) Securing all access points not actively used and providing
physical
[[Page 39328]]
barriers to impede movement through the remaining access points;
(3) Assigning personnel to control access to restricted areas;
(4) Verifying the identification and authorization of all persons
and all vehicles seeking entry;
(5) Patrolling or monitoring the perimeter of restricted areas;
(6) Using security personnel, automatic intrusion detection
devices, surveillance equipment, or surveillance systems to detect
unauthorized entry or movement within restricted areas;
(7) Directing the parking, loading, and unloading of vehicles
within a restricted area;
(8) Controlling unaccompanied baggage and or personal effects after
screening;
(9) Designating restricted areas for performing inspections of
cargo and vessel stores while awaiting loading; and
(10) Designating temporary restricted areas to accommodate facility
operations. If temporary restricted areas are designated, the FSP must
include a requirement to conduct a security sweep of the designated
temporary restricted area both before and after the area has been
established.
(e) MARSEC Level 2. In addition to the security measures required
for MARSEC Level 1 in this section, at MARSEC Level 2, the facility
owner or operator must also ensure the implementation of additional
security measures, as specified for MARSEC Level 2 in their approved
FSP. These additional security measures may include:
(1) Increasing the intensity and frequency of monitoring and access
controls on existing restricted access areas;
(2) Enhancing the effectiveness of the barriers or fencing
surrounding restricted areas, by the use of patrols or automatic
intrusion detection devices;
(3) Reducing the number of access points to restricted areas, and
enhancing the controls applied at the remaining accesses;
(4) Restricting parking adjacent to vessels;
(5) Further restricting access to the restricted areas and
movements and storage within them;
(6) Using continuously monitored and recorded surveillance
equipment;
(7) Enhancing the number and frequency of patrols, including
waterborne patrols undertaken on the boundaries of the restricted areas
and within the areas; or
(8) Establishing and restricting access to areas adjacent to the
restricted areas.
(f) MARSEC Level 3. In addition to the security measures required
for MARSEC Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility
owner or operator must ensure the implementation of additional security
measures, as specified for MARSEC Level 3 in their approved FSP. These
additional security measures may include:
(1) Restricting access to additional areas;
(2) Prohibiting access to restricted areas, or
(3) Searching restricted areas as part of a security sweep of all
or part of the facility.
Sec. 105.265 Security measures for handling cargo.
(a) General. The facility owner or operator must ensure that
security measures relating to cargo handling, some of which may have to
be applied in liaison with the vessel, are implemented in order to:
(1) Deter tampering;
(2) Prevent cargo that is not meant for carriage from being
accepted and stored at the facility;
(3) Identify cargo that is approved for loading onto vessels
interfacing with the facility;
(4) Include cargo control procedures at access points to the
facility;
(5) Identify cargo that is accepted for temporary storage in a
restricted area while awaiting loading or pick up;
(6) Restrict the entry of cargo to the facility that does not have
a confirmed date for loading, as appropriate;
(7) Ensure the release of cargo only to the carrier specified in
the cargo documentation;
(8) Coordinate security measures with the shipper or other
responsible party in accordance with an established agreement and
procedures;
(9) Create, update, and maintain a continuous inventory, including
location, of all dangerous goods or hazardous substances from receipt
to delivery within the facility, giving the location of those dangerous
goods or hazardous substances; and
(10) Be able to check cargo entering the facility for dangerous
substances and devices at the rate specified in the approved Facility
Security Plan (FSP). Means to check cargo include:
(i) Visual examination;
(ii) Physical examination;
(iii) Detection devices, such as scanners; or
(iv) Canines.
(b) MARSEC Level 1. At MARSEC Level 1, the facility owner or
operator must ensure the implementation of measures to:
(1) Routinely check cargo, cargo transport units, and cargo storage
areas within the facility prior to, and during, cargo handling
operations to deter tampering;
(2) Check that cargo, containers, or other cargo transport units
entering the facility match the delivery note or equivalent cargo
documentation;
(3) Screen vehicles; and
(4) Check seals and other methods used to prevent tampering upon
entering the facility and upon storage within the facility.
(c) MARSEC Level 2. In addition to the security measures required
for MARSEC Level 1 in this section, at MARSEC Level 2, the facility
owner or operator must also ensure the implementation of additional
security measures, as specified for MARSEC Level 2 in the approved FSP.
These additional security measures may include:
(1) Conducting check of cargo, containers or other cargo transport
units, and cargo storage areas within the port facility for dangerous
substances and devices to the facility and vessel;
(2) Intensifying checks, as appropriate, to ensure that only the
documented cargo enters the facility, is temporarily stored there, and
then loaded onto the vessel;
(3) Intensifying the screening of vehicles;
(4) Increasing frequency and detail in checking of seals and other
methods used to prevent tampering;
(5) Segregating inbound cargo, outbound cargo, and vessel stores;
(6) Increasing the frequency and intensity of visual and physical
inspections; or
(7) Limiting the number of locations where dangerous goods and
hazardous substances, including certain dangerous cargoes, can be
stored.
(d) MARSEC Level 3. In addition to the security measures required
for MARSEC Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility
owner or operator must ensure the implementation of additional security
measures, as specified for MARSEC Level 3 in the approved FSP. These
additional security measures may include:
(1) Restricting or suspending cargo movements or operations within
all or part of the facility or specific vessels;
(2) Being prepared to cooperate with responders and vessels; or
(3) Verifying the inventory and location of any dangerous goods and
hazardous substances, including certain dangerous cargoes, held within
the facility and their location.
Sec. 105.270 Security measures for delivery of vessel stores and
bunkers.
(a) General. The facility owner or operator must ensure that
security
[[Page 39329]]
measures relating to the delivery of vessel stores and bunkers are
implemented to:
(1) Check vessel stores for package integrity;
(2) Prevent vessel stores from being accepted without inspection;
(3) Deter tampering;
(4) For vessels that routinely use a facility, establish and
execute standing arrangements between the vessel, its suppliers, and a
facility regarding notification and the timing of deliveries and their
documentation; and
(5) Check vessel stores by the following means:
(i) Visual examination;
(ii) Physical examination;
(iii) Detection devices, such as scanners; or
(iv) Canines.
(b) MARSEC Level 1. At MARSEC Level 1, the facility owner or
operator must ensure the implementation of measures to:
(1) Screen vessel stores at the rate specified in the approved
Facility Security Plan (FSP);
(2) Require advance notification of vessel stores or bunkers
delivery, including a list of stores, delivery vehicle driver
information, and vehicle registration information;
(3) Screen delivery vehicles at the frequencies specified in the
approved FSP; and
(4) Escort delivery vehicles within the facility at the rate
specified by the approved FSP.
(c) MARSEC Level 2. In addition to the security measures required
for MARSEC Level 1 in this section, at MARSEC Level 2, the facility
owner or operator must also ensure the implementation of additional
security measures, as specified for MARSEC Level 2 in the approved FSP.
These additional security measures may include:
(1) Detailed screening of vessel stores;
(2) Detailed screening of all delivery vehicles;
(3) Coordinating with vessel personnel to check the order against
the delivery note prior to entry to the facility;
(4) Ensuring delivery vehicles are escorted within the facility; or
(5) Restricting or prohibiting the entry of vessel stores that will
not leave the facility within a specified period.
(d) MARSEC Level 3. In addition to the security measures for MARSEC
Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility owner and
operator must ensure implementation of additional security measures, as
specified for MARSEC Level 3 in the approved FSP. Examples of these
additional security measures may include:
(1) Checking all vessel stores more extensively;
(2) Restricting or suspending delivery of vessel stores; or
(3) Refusing to accept vessel stores on the facility.
Sec. 105.275 Security measures for monitoring.
(a) General. The facility owner or operator must ensure the
implementation of security measures in this section and have the
capability to continuously monitor, through a combination of lighting,
security guards, waterborne patrols, and automatic intrusion-detection
devices, or surveillance equipment, as specified in the approved
Facility Security Plan (FSP), the:
(1) Facility and its approaches, on land and water;
(2) Restricted areas within the facility; and
(3) Vessels at the facility and areas surrounding the vessels.
(b) MARSEC Level 1. At MARSEC Level 1, the facility owner or
operator must ensure the security measures in this section are
implemented at all times, including the period from sunset to sunrise
and periods of limited visibility. For each facility, ensure monitoring
capability that:
(1) When automatic intrusion-detection devices are used, activates
an audible or visual alarm, or both, at a location that is continuously
attended or monitored;
(2) Is able to function continually, including consideration of the
possible effects of weather or of a power disruption;
(3) Monitors the facility area, including shore and waterside
access to it;
(4) Monitors access points, barriers and restricted areas;
(5) Monitors access and movements adjacent to vessels using the
facility, including augmentation of lighting provided by the vessel
itself; and
(6) Limits lighting effects, such as glare, and their impact on
safety, navigation, and other security activities.
(c) MARSEC Level 2. In addition to the security measures for MARSEC
Level 1 in this section, at MARSEC Level 2, the facility owner or
operator must also ensure the implementation of additional security
measures, as specified for MARSEC Level 2 in the approved FSP. These
additional measures may include:
(1) Increasing the coverage and intensity of surveillance
equipment, including the provision of additional surveillance coverage;
(2) Increasing the frequency of foot, vehicle or waterborne
patrols;
(3) Assigning additional security personnel to monitor and patrol;
or
(4) Increasing the coverage and intensity of lighting, including
the provision of additional lighting and coverage.
(d) MARSEC Level 3. In addition to the security measures for MARSEC
Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility owner or
operator must also ensure implementation of additional security
measures, as specified for MARSEC Level 3 in the approved FSP. These
additional security measures may include:
(1) Switching on all lighting within, or illuminating the vicinity
of, the facility;
(2) Switching on all surveillance equipment capable of recording
activities within or adjacent to the facility;
(3) Maximizing the length of time such surveillance equipment can
continue to record; or
(4) Complying with the instructions issued by those responding to
the security incident.
Sec. 105.280 Security incident procedures.
For each MARSEC Level, the facility owner or operator must ensure
the Facility Security Officer and facility security personnel are able
to:
(a) Respond to security threats or breaches of security and
maintain critical facility and vessel-to-facility interface operations;
(b) Evacuate the facility in case of security threats or breaches
of security;
(c) Report security incidents as required in Sec. 101.305 of this
subchapter;
(d) Brief all facility personnel on possible threats and the need
for vigilance, soliciting their assistance in reporting suspicious
persons, objects, or activities; and
(e) Secure non-critical operations in order to focus response on
critical operations.
Sec. 105.285 Additional requirements-passenger and ferry facilities.
(a) At MARSEC Level 1, the owner or operator of a passenger or
ferry facility must ensure, in coordination with a vessel moored at the
facility, that the following security measures are implemented in
addition to the requirements of this part:
(1) In a facility with no public access area designated under Sec.
105.106, establish separate areas to segregate unchecked persons and
personal effects from checked persons and personal effects;
(2) Ensure that a defined percentage of vehicles to be loaded
aboard are
[[Page 39330]]
screened prior to loading, in accordance with a MARSEC Directive or
other orders issued by the Coast Guard;
(3) Ensure that all unaccompanied vehicles to be loaded on
passenger vessels are screened prior to loading;
(4) Deny passenger access to restricted areas unless supervised by
facility security personnel; and
(5) In a facility with a public access area designated under Sec.
105.106, provide sufficient security personnel to monitor all persons
within the area and conduct screening of persons and personal effects,
as needed.
(b) At MARSEC Level 2, in addition to the requirements for MARSEC
Level 1, the owner or operator of a passenger or ferry facility with no
public access area designated under Sec. 105.106 must ensure screening
of additional passengers, baggage, and vehicles prior to boarding the
vessel as specified in the approved FSP and Declaration of Security.
(c) At MARSEC Level 3, in addition to the requirements for MARSEC
Level 1 and MARSEC Level 2 and in coordination with the vessel moored
at the facility, the owner or operator of a passenger or ferry facility
with no public access area designated under Sec. 105.106 must ensure
the following security measures:
(1) Screen and identify all persons;
(2) Screen all baggage; and
(3) Assign additional security personnel and patrols.
Sec. 105.290 Additional requirements-cruise ship terminals.
At all MARSEC Levels, in coordination with a vessel moored at the
facility, the facility owner or operator must ensure the following
security measures:
(a) Screen all persons, baggage, and personal effects for dangerous
substances and devices;
(b) Check the identification of all persons seeking to board the
vessel. This includes confirming the reason for boarding by examining
joining instructions, passenger tickets, boarding passes, government
identification or visitor badges, or work orders;
(c) Designate holding, waiting, or embarkation areas to segregate
screened persons and their personal effects awaiting embarkation from
unscreened persons and their personal effects;
(d) Provide additional security personnel to designated holding,
waiting, or embarkation areas; and
(e) Deny passenger access to restricted areas unless supervised by
facility security personnel.
Sec. 105.295 Additional requirements-Certain Dangerous Cargo (CDC)
facilities.
(a) At all MARSEC Levels, owners or operators of CDC facilities
must ensure the implementation of the following security measures in
addition to the requirements of this part:
(1) Escort all visitors, contractors, vendors, and other non-
facility employees at all times while on the facility, if access
identification is not provided. Escort provisions do not apply to
prearranged cargo deliveries;
(2) Control the parking, loading, and unloading of vehicles within
a facility;
(3) Require security personnel to record or report their presence
at key points during their patrols;
(4) Search unmanned or unmonitored waterfront areas for dangerous
substances and devices prior to a vessel's arrival at the facility; and
(5) Provide an alternate or independent power source for security
and communications systems.
(b) At MARSEC Level 2, in addition to the requirements for MARSEC
Level 1, owners or operators of CDC facilities must ensure the
implementation of the following security measures:
(1) Release cargo only in the presence of the Facility Security
Officer (FSO) or a designated representative of the FSO; and
(2) Continuously guard or patrol restricted areas.
(c) At MARSEC Level 3, in addition to the requirements for MARSEC
Level 1 and MARSEC Level 2, owners or operators of CDC facilities must
ensure the facilities are continuously guarded and restricted areas are
patrolled.
Sec. 105.296 Additional requirements-barge fleeting facilities.
(a) At MARSEC Level 1, in addition to the requirements of this
part, an owner or operator of a barge fleeting facility must ensure the
implementation of the following security measures:
(1) Designate an area within the fleeting facility to segregate
those barges carrying Certain Dangerous Cargoes and cargoes listed in
46 CFR, subchapters D and O of chapter I, title 46, Code of Federal
Regulations or Certain Dangerous Cargoes from all other barges in the
fleeting facility;
(2) Maintain a current list of vessels and cargoes in the
designated restricted area; and
(3) Ensure that at least one towing vessel is available to service
the fleeting facility for every 100 barges within the facility.
(b) At MARSEC Level 2, in addition to the requirements of this part
and MARSEC Level 1 requirements, an owner or operator of a barge
fleeting facility must ensure security personnel are assigned to
monitor or patrol the designated restricted area within the barge
fleeting facility.
(c) At MARSEC Level 3, in addition to the requirements of this part
and MARSEC Level 2 requirements, an owner or operator of a barge
fleeting facility must ensure that both land and waterside perimeters
of the designated restricted area within the barge fleeting facility
are continuously monitored or patrolled.
Subpart C--Facility Security Assessment (FSA)
Sec. 105.300 General.
(a) The Facility Security Assessment (FSA) is a written document
that is based on the collection of background information, the
completion of an on-scene survey and an analysis of that information.
(b) A common FSA may be conducted for more than one similar
facility provided the FSA reflects any facility-specific
characteristics that are unique.
(c) Third parties may be used in any aspect of the FSA if they have
the appropriate skills and if the Facility Security Officer (FSO)
reviews and accepts their work.
(d) Those involved in a FSA must be able to draw upon expert
assistance in the following areas, as appropriate:
(1) Knowledge of current security threats and patterns;
(2) Recognition and detection of dangerous substances and devices;
(3) Recognition of characteristics and behavioral patterns of
persons who are likely to threaten security;
(4) Techniques used to circumvent security measures;
(5) Methods used to cause a security incident;
(6) Effects of dangerous substances and devices on structures and
facility services;
(7) Facility security requirements;
(8) Facility and vessel interface business practices;
(9) Contingency planning, emergency preparedness, and response;
(10) Physical security requirements;
(11) Radio and telecommunications systems, including computer
systems and networks;
(12) Marine or civil engineering; and
(13) Facility and vessel operations.
Sec. 105.305 Facility Security Assessment (FSA) requirements.
(a) Background. The facility owner or operator must ensure that the
following background information, if applicable, is provided to the
person or persons who will conduct the assessment:
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(1) The general layout of the facility, including:
(i) The location of each active and inactive access point to the
facility;
(ii) The number, reliability, and security duties of facility
personnel;
(iii) Security doors, barriers, and lighting;
(iv) The location of restricted areas;
(v) The emergency and stand-by equipment available to maintain
essential services;
(vi) The maintenance equipment, cargo spaces, storage areas, and
unaccompanied baggage storage;
(vii) Location of escape and evacuation routes and assembly
stations; and
(viii) Existing security and safety equipment for protection of
personnel and visitors;
(2) Response procedures for fire or other emergency conditions;
(3) Procedures for monitoring facility and vessel personnel,
vendors, repair technicians, and dock workers;
(4) Existing contracts with private security companies and existing
agreements with local or municipal agencies;
(5) Procedures for controlling keys and other access prevention
systems;
(6) Procedures for cargo and vessel stores operations;
(7) Response capability to security incidents;
(8) Threat assessments, including the purpose and methodology of
the assessment, for the port in which the facility is located or at
which passengers embark or disembark;
(9) Previous reports on security needs; and
(10) Any other existing security procedures and systems, equipment,
communications, and facility personnel.
(b) On-scene survey. The facility owner or operator must ensure
that an on-scene survey of each facility is conducted. The on-scene
survey examines and evaluates existing facility protective measures,
procedures, and operations to verify or collect the information
required in paragraph (a) of this section.
(c) Analysis and recommendations. In conducting the FSA, the
facility owner or operator must ensure that the FSO analyzes the
facility background information and the on-scene survey, and
considering the requirements of this part, provides recommendations to
establish and prioritize the security measures that should be included
in the FSP. The analysis must consider:
(1) Each vulnerability found during the on-scene survey including
but not limited to:
(i) Waterside and shore-side access to the facility and vessel
berthing at the facility;
(ii) Structural integrity of the piers, facilities, and associated
structures;
(iii) Existing security measures and procedures, including
identification systems;
(iv) Existing security measures and procedures relating to services
and utilities;
(v) Measures to protect radio and telecommunication equipment,
including computer systems and networks;
(vi) Adjacent areas that may be exploited during or for an attack;
(vii) Areas that may, if damaged or used for illicit observation,
pose a risk to people, property, or operations within the facility;
(viii) Existing agreements with private security companies
providing waterside and shore-side security services;
(ix) Any conflicting policies between safety and security measures
and procedures;
(x) Any conflicting facility operations and security duty
assignments;
(xi) Any enforcement and personnel constraints;
(xii) Any deficiencies identified during daily operations or
training and drills; and
(xiii) Any deficiencies identified following security incidents or
alerts, the report of security concerns, the exercise of control
measures, or audits;
(2) Possible security threats, including but not limited to:
(i) Damage to or destruction of the facility or of a vessel moored
at the facility;
(ii) Hijacking or seizure of a vessel moored at the facility or of
persons on board;
(iii) Tampering with cargo, essential equipment or systems, or
stores of a vessel moored at the facility;
(iv) Unauthorized access or use including the presence of
stowaways;
(v) Smuggling dangerous substances and devices to the facility;
(vi) Use of a vessel moored at the facility to carry those
intending to cause a security incident and their equipment;
(vii) Use of a vessel moored at the facility as a weapon or as a
means to cause damage or destruction;
(viii) Blockage of entrances, locks, and approaches; and
(ix) Nuclear, biological, radiological, explosive, and chemical
attack;
(3) Threat assessments by Government agencies;
(4) Vulnerabilities, including human factors, in the facility's
infrastructure, policies and procedures;
(5) Any particular aspects of the facility, including the vessels
using the facility, which make it likely to be the target of an attack;
(6) Likely consequences in terms of loss of life, damage to
property, and economic disruption, including disruption to
transportation systems, of an attack on or at the facility; and
(7) Locations where access restrictions or prohibitions will be
applied for each MARSEC Level.
(d) FSA report. (1) The facility owner or operator must ensure that
a written FSA report is prepared and included as part of the FSP. The
report must contain:
(i) A summary of how the on-scene survey was conducted;
(ii) A description of existing security measures, including
inspection, control and monitoring equipment, personnel identification
documents and communication, alarm, lighting, access control, and
similar systems;
(iii) A description of each vulnerability found during the on-scene
survey;
(iv) A description of security measures that could be used to
address each vulnerability;
(v) A list of the key facility operations that are important to
protect; and
(vi) A list of identified weaknesses, including human factors, in
the infrastructure, policies, and procedures of the facility.
(2) A FSA report must describe the following elements within the
facility:
(i) Physical security;
(ii) Structural integrity;
(iii) Personnel protection systems;
(iv) Procedural policies;
(v) Radio and telecommunication systems, including computer systems
and networks;
(vi) Relevant transportation infrastructure; and
(vii) Utilities.
Sec. 105.310 Submission requirements.
(a) A completed FSA report must be submitted with the Facility
Security Plan required in Sec. 105.415 of this part.
(b) A facility owner or operator may generate and submit a report
that contains the Facility Security Assessment for more than one
facility subject to this part, to the extent that they share
similarities in design and operations, if authorized and approved by
the cognizant COTP.
Subpart D--Facility Security Plan (FSP)
Sec. 5.400 General.
(a) The Facility Security Officer (FSO) must ensure a Facility
Security Plan (FSP) is developed and implemented for each facility for
which he or she is designated as FSO. The FSP:
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(1) Must identify the FSO by name and position, and provide 24-hour
contact information;
(2) Must be written in English;
(3) Must address each vulnerability identified in the Facility
Security Assessment (FSA);
(4) Must describe security measures for each MARSEC Level; and
(5) May cover more than one facility to the extent that they share
similarities in design and operations, if authorized and approved by
the cognizant COTP.
(b) The FSP must be submitted for approval to the cognizant COTP in
a written or electronic format. Format for submitting the FSP
electronically can be found at http://www.uscg.mil/HQ/MSC.
(c) The FSP is sensitive security information and must be protected
in accordance with 49 CFR part 1520.
(d) If the FSP is kept in an electronic format, procedures must be
in place to prevent its unauthorized deletion, destruction, or
amendment.
Sec. 105.405 Format and content of the Facility Security Plan (FSP).
(a) A facility owner or operator must ensure that the FSP consists
of the individual sections listed in this paragraph (a). If the FSP
does not follow the order as it appears in the list, the facility owner
or operator must ensure that the FSP contains an index identifying the
location of each of the following sections:
(1) Security administration and organization of the facility;
(2) Personnel training;
(3) Drills and exercises;
(4) Records and documentation;
(5) Response to change in MARSEC Level;
(6) Procedures for interfacing with vessels;
(7) Declaration of Security (DoS);
(8) Communications;
(9) Security systems and equipment maintenance;
(10) Security measures for access control, including designated
public access areas;
(11) Security measures for restricted areas;
(12) Security measures for handling cargo;
(13) Security measures for delivery of vessel stores and bunkers;
(14) Security measures for monitoring;
(15) Security incident procedures;
(16) Audits and security plan amendments;
(17) Facility Security Assessment (FSA) report; and
(18) Facility Vulnerability and Security Measures Summary (Form CG-
6025) in appendix A to part 105-Facility Vulnerability and Security
Measures Summary (CG-6025).
(b) The facility owner or operator must ensure that the FSP
describes in detail how each of the individual requirements of subpart
B of this part will be met.
(c) The Facility Vulnerability and Security Measures Summary (Form
CG-6025) must be completed using information in the FSA concerning
identified vulnerabilities and information in the FSP concerning
security measures in mitigation of these vulnerabilities.
Sec. 105.410 Submission and approval.
(a) On or before December 29, 2003, each facility owner or operator
must either:
(1) Submit one copy of their Facility Security Plan (FSP) for
review and approval to the cognizant COTP; or
(2) If implementing a Coast Guard approved Alternative Security
Program, meet the requirements in Sec. 101.120(b) of this subchapter.
(b) Facilities constructed on or after July 1, 2004, must comply
with the requirements in paragraph (a) of this section 60 days prior to
beginning operations.
(c) The cognizant COTP will examine each submission for compliance
with this part and either:
(1) Approve it and specify any conditions of approval, returning to
the submitter a letter stating its acceptance and any conditions, or
(2) Disapprove it, returning a copy to the submitter with a brief
statement of the reasons for disapproval.
(d) An FSP may be submitted and approved to cover more than one
facility where they share similarities in design and operations, if
authorized and approved by the cognizant COTP.
(e) Each facility owner or operator that submits one FSP to cover
two or more facilities of similar design and operation must address
facility-specific information that includes the design and operational
characteristics of each facility and must complete a separate Facility
Vulnerability and Security Measures Summary (Form CG-6025), in appendix
A to part 105--Facility Vulnerability and Security Measures Summary
(CG-6025), for each facility covered by the plan.
(f) A FSP that is approved by the cognizant COTP is valid for five
years from the date of its approval.
Sec. 105.415 Amendment and audit.
(a) Amendments. (1) Amendments to a FSP that is approved by the
cognizant COTP may be initiated by:
(i) The facility owner or operator; or
(ii) The cognizant COTP upon a determination that an amendment is
needed to maintain the facility's security. The cognizant COTP, who
will give the facility owner or operator written notice and request
that the facility owner or operator propose amendments addressing any
matters specified in the notice. The facility owner or operator will
have at least 60 days to submit its proposed amendments. Until
amendments are approved, the facility owner or operator shall ensure
temporary security measures are implemented to the satisfaction of the
COTP.
(2) Proposed amendments must be submitted to the cognizant COTP. If
initiated by the facility owner or operator, the proposed amendment
must be submitted at least 30 days before the amendment is to take
effect unless the cognizant COTP allows a shorter period. The cognizant
COTP will approve or disapprove the proposed amendment in accordance
with Sec. 105.415 of this subpart.
(3) If there is a change in the owner or operator, the Facility
Security Officer (FSO) must amend the Facility Security Plan (FSP) to
include the name and contact information of the new facility owner or
operator and submit the affected portion of the FSP for review and
approval in accordance with Sec. 105.415 if this subpart.
(b) Audits. (1) The FSO must ensure an audit of the FSP is
performed annually, beginning no later than one year from the initial
date of approval, and attach a letter to the FSP certifying that the
FSP meets the applicable requirements of this part.
(2) The FSP must be audited if there is a change in the facility's
ownership or operator, or if there have been modifications to the
facility, including but not limited to physical structure, emergency
response procedures, security measures, or operations.
(3) Auditing the FSP as a result of modifications to the facility
may be limited to those sections of the FSP affected by the facility
modifications.
(4) Unless impracticable due to the size and nature of the company
or the facility, personnel conducting internal audits of the security
measures specified in the FSP or evaluating its implementation must:
(i) Have knowledge of methods for conducting audits and
inspections, and security, control, and monitoring techniques;
(ii) Not have regularly assigned security duties; and
(iii) Be independent of any security measures being audited.
(5) If the results of an audit require amendment of either the FSA
or FSP, the FSO must submit, in accordance
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with Sec. 105.415 of this subpart, the amendments to the cognizant
COTP for review and approval no later than 30 days after completion of
the audit and a letter certifying that the amended FSP meets the
applicable requirements of this part.
Appendix A to Part 105--Facility Vulnerability and Security Measures
Summary (Form CG-6025)
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[FR Doc. 03-16189 Filed 6-27-03; 8:45 am]
BILLING CODE 4910-15-C