33 CFR Ch. I (7–1–20 Edition) § 104.260

Pt. 104 33 CFR Ch. I (7–1–20 Edition)

(b) Exercise documentation will be Subpart C—Vessel Security Assessment kept by the COTP for 2 years. (VSA) 104.300 General. PART 104—MARITIME SECURITY: 104.305 Vessel Security Assessment (VSA) VESSELS requirements. 104.310 Submission requirements. Subpart A—General Subpart D—Vessel Security Plan (VSP) Sec. 104.400 General. 104.100 Definitions. 104.405 Format of the Vessel Security Plan 104.105 Applicability. (VSP). 104.106 Passenger access area. 104.410 Submission and approval. 104.107 Employee access area. 104.415 Amendment and audit. 104.110 Exemptions. 104.115 Compliance. AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701; 50 U.S.C. 191; 33 CFR 1.05–1, 6.04– 104.120 Compliance documentation. 11, 6.14, 6.16, and 6.19; Department of Home- 104.125 Noncompliance. land Security Delegation No. 0170.1. 104.130 Waivers. 104.135 Equivalents. SOURCE: USCG–2003–14749, 68 FR 39302, July 104.140 Alternative Security Programs. 1, 2003, unless otherwise noted. 104.145 Maritime Security (MARSEC) Direc- tive. Subpart A—General 104.150 Right to appeal. § 104.100 Definitions. Subpart B—Vessel Security Requirements Except as specifically stated in this 104.200 Owner or operator. subpart, the definitions in part 101 of 104.205 Master. this subchapter apply to this part. 104.210 Company Security Officer (CSO). 104.215 Vessel Security Officer (VSO). § 104.105 Applicability. 104.220 Company or vessel personnel with (a) This part applies to the owner or security duties. operator of any: 104.225 Security training for all other vessel (1) Mobile Offshore Drilling Unit personnel. 104.230 Drill and exercise requirements. (MODU), cargo, or passenger vessel 104.235 Vessel recordkeeping requirements. subject to the International Conven- 104.240 Maritime Security (MARSEC) Level tion for Safety of Life at Sea, 1974, coordination and implementation. (SOLAS), Chapter XI–1 or Chapter XI– 104.245 Communications. 2; 104.250 Procedures for interfacing with fa- (2) Foreign cargo vessel greater than cilities and other vessels. 100 gross register tons; 104.255 Declaration of Security (DoS). (3) Self-propelled U.S. cargo vessel 104.260 Security systems and equipment greater than 100 gross register tons maintenance. subject to 46 CFR subchapter I, except 104.263 Risk Group classifications for ves- commercial fishing vessels inspected sels. under 46 CFR part 105; 104.265 Security measures for access control. (4) Vessel subject to 46 CFR chapter 104.267 Security measures for newly hired I, subchapter L; employees. (5) Passenger vessel subject to 46 CFR 104.270 Security measures for restricted chapter I, subchapter H; areas. (6) Passenger vessel certificated to 104.275 Security measures for handling carry more than 150 passengers; cargo. (7) Other passenger vessel carrying 104.280 Security measures for delivery of more than 12 passengers, including at vessel stores and bunkers. least one passenger-for-hire, that is en- 104.285 Security measures for monitoring. gaged on an international voyage; 104.290 Security incident procedures. (8) Barge subject to 46 CFR chapter I, 104.292 Additional requirements—passenger vessels and ferries. subchapters D or O; 104.295 Additional requirements—cruise (9) Barge carrying certain dangerous ships. cargo in bulk or barge that is subject 104.297 Additional requirements—vessels on to 46 CFR Chapter I, subchapter I, that international voyages. is engaged on an international voyage.

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(10) Tankship subject to 46 CFR chap- (2) Transit through the navigable water I, subchapters D or O; and ters of the U.S. that form a part of an (11) Towing vessel greater than eight international strait. meters in registered length that is en- [USCG–2003–14749, 68 FR 39302, July 1, 2003, as gaged in towing a barge or barges sub- amended at 68 FR 60513, Oct. 22, 2003; USCG– ject to this part, except a towing vessel 2004–18057, 69 FR 34925, June 23, 2004; USCG– that— 2004–19963, 70 FR 74669, Dec. 16, 2005; USCG– (i) Temporarily assists another vessel 2006–24196, 72 FR 3579, Jan. 25, 2007; USCG– engaged in towing a barge or barges 2007–28915, 81 FR 57710, Aug. 23, 2016] subject to this part; (ii) Shifts a barge or barges subject § 104.106 Passenger access area. to this part at a facility or within a (a) A ferry, passenger vessel, or fleeting facility; cruise ship may designate areas within (iii) Assists sections of a tow through the vessel as passenger access areas. a lock; or (b) A passenger access area is a de- (iv) Provides emergency assistance. fined space, within the area over which (b) An owner or operator of any ves- the owner or operator has implemented sel not covered in paragraph (a) of this security measures for access control, of section is subject to parts 101 through a ferry, passenger vessel, or cruise ship 103 of this subchapter. that is open to passengers. It is not a (c) Foreign Vessels that have on secure area and does not require a board a valid International Ship Secu- TWIC for unescorted access. rity Certificate that certifies that the (c) Passenger access areas may not verifications required by part A, Sec- include any areas defined as restricted tion 19.1, of the International Ship and areas in the VSP. Port Facility Security (ISPS) Code (In- [USCG–2006–24196, 72 FR 3579, Jan. 25, 2007, as corporated by reference, see § 101.115 of amended by USCG–2008–0179, 73 FR 35009, this subchapter) have been completed June 19, 2008] will be deemed in compliance with this part, except for §§ 104.240, 104.255, § 104.107 Employee access area. 104.292, and 104.295, as appropriate. This (a) A ferry or passenger vessel, ex- includes ensuring that the vessel meets cluding cruise ships, may designate the applicable requirements of SOLAS areas within the vessel as employee ac- Chapter XI–2 (Incorporated by ref- cess areas. erence, see § 101.115 of this subchapter) (b) An employee access area is a de- and the ISPS Code, part A, having fined space, within the area over which taken into account the relevant provi- the owner or operator has implemented sions of the ISPS Code, part B, and security measures for access control, of that the vessel is provided with an ap- a ferry or passenger vessel that is open proved security plan. only to employees and not to pas- (d) The TWIC requirements found in sengers. It is not a secure area and does parts 101 and 104 of this subchapter do not require a TWIC for unescorted ac- not apply to foreign vessels. cess. (e) The TWIC requirements found in (c) Employee access areas may not this part do not apply to mariners em- include any areas defined as restricted ployed aboard vessels moored at U.S. areas in the VSP. facilities only when they are working immediately adjacent to their vessels [USCG–2006–24196, 72 FR 3579, Jan. 25, 2007] in the conduct of vessel activities. (f) Except pursuant to international § 104.110 Exemptions. treaty, convention, or agreement to (a) This part does not apply to war- which the U.S. is a party, this part ships, naval auxiliaries, or other ves- does not apply to any foreign vessel sels owned or operated by a govern- that is not destined for, or departing ment and used only on government from, a port or place subject to the ju- non-commercial service. risdiction of the U.S. and that is in: (b) A vessel is not subject to this part (1) Innocent passage through the ter- while the vessel is laid up, dismantled, ritorial sea of the U.S.; or or otherwise out of commission.

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(c) Vessels with a minimum manning the TWIC provisions found within this requirement of 20 or fewer TWIC-hold- subchapter. ing crewmembers are exempt from the [USCG–2003–14749, 68 FR 60513, Oct. 22, 2003, requirements in 33 CFR 101.535(a)(1). as amended by USCG–2004–18057, 69 FR 34925, June 23, 2004; USCG–2004–19963, 70 FR 74669, [USCG–2003–14749, 68 FR 60513, Oct. 22, 2003, Dec. 16, 2005; USCG–2006–25150, 71 FR 39208, as amended by USCG–2007–28915, 81 FR 57710, July 12, 2006; USCG–2006–24196, 72 FR 3579, Aug. 23, 2016] Jan. 25, 2007; 73 FR 25565, May 7, 2008; USCG– 2007–28915, 81 FR 57710, Aug. 23, 2016] § 104.115 Compliance. (a) Vessel owners or operators must § 104.120 Compliance documentation. ensure their vessels are operating in (a) Each vessel owner or operator compliance with this part. subject to this part must ensure that (b) Owners or operators of foreign copies of the following documents are vessels must comply with the fol- carried on board the vessel and are lowing— made available to the Coast Guard (1) Vessels subject to the Inter- upon request: national Convention for Safety of Life (1) The approved Vessel Security at Sea, 1974, (SOLAS), Chapter XI–1 or Plan (VSP) and any approved revisions Chapter XI–2, must carry on board a or amendments thereto, and a letter of valid International Ship Security Cer- approval from the Commanding Offi- tificate that certifies that the cer, Marine Safety Center (MSC); (2) The VSP submitted for approval verifications required by part A, Sec- and a current acknowledgement letter tion 19.1, of the International Ship and from the Commanding Officer, MSC, Port Facility Security (ISPS) Code (In- stating that the Coast Guard is cur- corporated by reference, see § 101.115 of rently reviewing the VSP submitted this subchapter) have been completed. for approval, and that the vessel may This includes ensuring that the vessel continue to operate so long as the ves- meets the applicable requirements of sel remains in compliance with the SOLAS Chapter XI–2 (Incorporated by submitted plan; reference, see § 101.115 of this chapter) (3) For vessels operating under a and the ISPS Code, part A, having Coast Guard-approved Alternative Se- taken into account the relevant provi- curity Program as provided in § 104.140, sions of the ISPS Code, part B, and a copy of the Alternative Security Pro- that the vessel is provided with an ap- gram the vessel is using, including a proved security plan. vessel specific security assessment re- (2) Vessels not subject to SOLAS port generated under the Alternative Chapter XI–1 or Chapter XI–2, may Security Program, as specified in comply with this part through an Al- § 101.120(b)(3) of this subchapter, and a ternative Security Program or a bilat- letter signed by the vessel owner or op- eral arrangement approved by the erator, stating which Alternative Secu- Coast Guard. If not complying with an rity Program the vessel is using and approved Alternative Security Pro- certifying that the vessel is in full gram or bilateral arrangement, these compliance with that program; or (4) For foreign vessels, subject to the vessels must meet the requirements of International Convention for Safety of paragraph (b) of this section. Life at Sea, 1974, (SOLAS), Chapter XI– (c) By August 23, 2018, owners and op- 1 or Chapter XI–2, a valid International erators of vessels subject to this part Ship Security Certificate (ISSC) that must amend their Vessel Security attests to the vessel’s compliance with Plans to indicate how they will imple- SOLAS Chapter XI–2 and the ISPS ment the TWIC requirements in this Code, part A (Incorporated by ref- subchapter. By August 23, 2018, owners erence, see § 101.115 of this subchapter) and operators of vessels subject to this and is issued in accordance with the part must operate in accordance with ISPS Code, part A, section 19. As stated in Section 9.4 of the ISPS Code, part A requires that, in order for the ISSC to be issued, the provisions of part B of

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the ISPS Code need to be taken into Washington, DC 20593–7501. The Com- account. mandant (CG-5P) may require the ves- (b) Each owner or operator of an un- sel owner or operator to provide addi- manned vessel subject to this part tional data for determining the valid- must maintain the documentation de- ity of the requested waiver. The Com- scribed in paragraphs (a)(1), (2), or (3) mandant (CG-5P) may grant, in writ- of this section. The letter required by ing, a waiver with or without condi- each of those paragraphs must be car- tions only if the waiver will not reduce ried on board the vessel. The plan or the overall security of the vessel, its program required by each of those passengers, its crew, or its cargo, or fa- paragraphs must not be carried on board the vessel, but must be main- cilities or ports that the vessel may tained in a secure location. During visit. scheduled inspections, the plan or pro- [USCG–2003–14749, 68 FR 39302, July 1, 2003, as gram must be made available to the amended by USCG–2008–0179, 73 FR 35009, Coast Guard upon request. June 19, 2008; USCG–2010–0351, 75 FR 36282, (c) Each vessel owner or operator June 25, 2010; USCG–2013–0397, 78 FR 39173, who designates a passenger or em- July 1, 2013; USCG–2014–0410, 79 FR 38432, ployee access area (as those terms are July 7, 2014] defined in §§ 104.106 and 104.107 of this part) on their vessel must keep on § 104.135 Equivalents. board the vessel with their approved For any measure required by this VSP a clear, visual representation part, the vessel owner or operator may (such as a vessel schematic) of where propose an equivalent as provided in those designated areas fall. This need § 101.130 of this subchapter. not be submitted to the Coast Guard for approval until incorporated into § 104.140 Alternative Security Pro- the VSP at the next VSP submittal (ei- grams. ther renewal or amendment), but must be made available to the Coast Guard A vessel owner or operator may use upon request. an Alternative Security Program as approved under § 101.120 of this sub- [USCG–2003–14749, 68 FR 39302, July 1, 2003, as chapter if: amended at 68 FR 60513, Oct. 22, 2003; USCG– 2004–18057, 69 FR 34925, June 23, 2004; USCG– (a) The Alternative Security Pro- 2006–24196, 72 FR 3579, Jan. 25, 2007; USCG– gram is appropriate to that class of 2007–28915, 81 FR 57710, Aug. 23, 2016] vessel; (b) The vessel is not subject to the § 104.125 Noncompliance. International Convention for Safety of When a vessel must temporarily devi- Life at Sea, 1974; and ate from the requirements of this part, (c) The Alternative Security Pro- the vessel owner or operator must no- gram is implemented in its entirety. tify the cognizant COTP, and either suspend operations or request and re- [USCG–2003–14749, 68 FR 39302, July 1, 2003, as ceive permission from the COTP to amended at 68 FR 60513, Oct. 22, 2003] continue operating. § 104.145 Maritime Security (MARSEC) [USCG–2003–14749, 68 FR 60513, Oct. 22, 2003] Directive. § 104.130 Waivers. Each vessel owner or operator subject to this part must comply with any Any vessel owner or operator may instructions contained in a MARSEC apply for a waiver of any requirement Directive issued under § 101.405 of this of this part that the owner or operator subchapter. considers unnecessary in light of the nature or operating conditions of the § 104.150 Right to appeal. vessel. A request for a waiver must be submitted in writing with justification Any person directly affected by a de- to the Commandant (CG–5P), Attn: As- cision or action taken under this part, sistant Commandant for Prevention by or on behalf of the Coast Guard, Policy, U.S. Coast Guard Stop 7501, 2703 may appeal as described in § 101.420 of Martin Luther King Jr. Avenue SE., this subchapter.

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Subpart B—Vessel Security (11) Ensure that vessel access, includ- Requirements ing the embarkation of persons and their effects, is controlled; § 104.200 Owner or operator. (12) Ensure that TWIC procedures are (a) Each vessel owner or operator implemented as set forth in this sub- must ensure that the vessel operates in chapter, including; compliance with the requirements of (i) Ensuring that only individuals this part. who hold a TWIC and are authorized to (b) For each vessel, the vessel owner be in secure areas are permitted to es- or operator must: cort; (1) Define the security organizational (ii) Identifying what action is to be structure for each vessel and provide taken by an escort, or other authorized all personnel exercising security duties individual, should individuals under es- or responsibilities within that struc- cort engage in activities other than ture with the support needed to fulfill those for which escorted access was security obligations; granted; and (2) Designate, in writing, by name or (iii) Notifying vessel employees, and title, a Company Security Officer passengers if applicable, of what parts (CSO), a Vessel Security Officer (VSO) of the vessel are secure areas, em- for each vessel, and identify how those ployee access areas, and passenger ac- officers can be contacted at any time; cess areas, as applicable, and ensuring (3) Ensure personnel receive training, such areas are clearly marked. drills, and exercises enabling them to (13) Ensure that restricted areas are perform their assigned security duties; controlled and TWIC provisions are co- (4) Inform vessel personnel of their ordinated, if applied to such restricted responsibility to apply for and main- areas; tain a TWIC, including the deadlines (14) Ensure that protocols consistent and methods for such applications, and with § 101.550(a) of this subchapter, for of their obligation to inform TSA of dealing with individuals requiring ac- any event that would render them in- cess who report a lost, damaged, or sto- eligible for a TWIC, or which would in- len TWIC, or who have applied for and validate their existing TWIC; not yet received a TWIC, are in place; (5) Ensure vessel security records are (15) Ensure that cargo and vessel kept; stores and bunkers are handled in com- (6) Ensure that adequate coordina- pliance with this part; tion of security issues takes place be- (16) Ensure restricted areas, deck tween vessels and facilities; this in- areas, and areas surrounding the vessel cludes the execution of a Declaration are monitored; of Security (DoS); (17) Provide the Master, or for vessels (7) Ensure coordination of shore on domestic routes only, the CSO, with leave, transit, or crew change-out for the following information: vessel personnel, as well as access (i) Parties responsible for appointing through the facility of visitors to the vessel personnel, such as vessel man- vessel (including representatives of agement companies, manning agents, seafarers’ welfare and labor organiza- contractors, concessionaires (for exam- tions), with facility operators in ad- ple, retail sales outlets, casinos, etc.); vance of a vessel’s arrival. Vessel own- (ii) Parties responsible for deciding ers or operators may refer to treaties the employment of the vessel, includ- of friendship, commerce, and naviga- ing time or bareboat charters or any tion between the U.S. and other na- other entity acting in such capacity; tions in coordinating such leave; and (8) Ensure security communication is (iii) In cases when the vessel is em- readily available; ployed under the terms of a charter (9) Ensure coordination with and im- party, the contract details of those plementation of changes in Maritime documents, including time or voyage Security (MARSEC) Level; charters; and (10) Ensure that security systems and (18) Give particular consideration to equipment are installed and main- the convenience, comfort, and personal tained; privacy of vessel personnel and their

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ability to maintain their effectiveness or for vessels on international voyages, over long periods; and the Commandant (CG-5P), and that the (19) If applicable, ensure that proto- possibility of recurrence is minimized. cols consistent with § 104.267 of this [USCG–2003–14749, 68 FR 39302, July 1, 2003, as part, for dealing with newly hired em- amended at 68 FR 60513, Oct. 22, 2003; USCG– ployees who have applied for and not 2006–25150, 71 FR 39208, July 12, 2006; USCG– yet received a TWIC, are in place. 2008–0179, 73 FR 35009, June 19, 2008; USCG– [USCG–2003–14749, 68 FR 39302, July 1, 2003, as 2013–0397, 78 FR 39173, July 1, 2013] amended by USCG–2003–14749, 68 FR 60513, Oct. 22, 2003; USCG–2006–24196, 72 FR 3579, § 104.210 Company Security Officer Jan. 25, 2007; USCG–2013–0397, 78 FR 39173, (CSO). July 1, 2013; USCG–2007–28915, 81 FR 57710, (a) General. (1) Each vessel owner or Aug. 23, 2016] operator must designate in writing a CSO. § 104.205 Master. (2) A vessel owner or operator may (a) Nothing in this part is intended to designate a single CSO for all its ves- permit the Master to be constrained by sels to which this part applies, or may the Company, the vessel owner or oper- designate more than one CSO, in which ator, or any other person, from taking case the owner or operator must clear- or executing any decision which, in the ly identify the vessels for which each professional judgment of the Master, is CSO is responsible. necessary to maintain the safety and (3) A CSO may perform other duties security of the vessel. This includes de- within the owner or operator’s organi- nial of access to persons—except those zation, including the duties of a Vessel identified as duly authorized by the Security Officer, provided he or she is cognizant government authority—or able to perform the duties and respon- their effects, and refusal to load cargo, sibilities required of a CSO. including containers or other closed (4) The CSO may delegate duties re- cargo transport units. quired by this part, but remains re- (b) If, in the professional judgment of sponsible for the performance of those the Master, a conflict between any duties. safety and security requirements appli- (5) The CSO must maintain a TWIC. cable to the vessel arises during its op- (b) Qualifications. (1) The CSO must erations, the Master may give prece- have general knowledge, through train- dence to measures intended to main- ing or equivalent job experience, in the tain the safety of the vessel, and take following: such temporary security measures as seem best under all circumstances. In (i) Security administration and orga- such cases: nization of the company’s vessel(s); (1) The Master must, as soon as prac- (ii) Vessel, facility, and port oper- ticable, inform the nearest COTP. If ations relevant to that industry; the vessel is on a foreign voyage, the (iii) Vessel and facility security Master must promptly inform the measures, including the meaning and Coast Guard via the NRC at 1–800–424– the consequential requirements of the 8802, direct telephone at 202–267–2675; different Maritime Security (MARSEC) Fax: 202–267–1322, TDD at 202–267–4477, Levels; or E-mail at HQS-DG-lst- (iv) Emergency preparedness and re- [email protected] and if subject to the sponse and contingency planning; jurisdiction of a foreign government, (v) Security equipment and systems the relevant maritime authority of and their operational limitations; that foreign government; (vi) Methods of conducting audits, in- (2) The temporary security measures spection and control and monitoring must, to the highest possible degree, be techniques; and commensurate with the prevailing (vii) Techniques for security training Maritime Security (MARSEC) Level; and education, including security and measures and procedures. (3) The owner or operator must en- (2) In addition to knowledge and sure that such conflicts are resolved to training in paragraph (b)(1) of this sec- the satisfaction of the cognizant COTP, tion, the CSO must have general

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knowledge through training or equiva- (8) Enhance security awareness and lent job experience in the following, as vigilance within the owner’s or opera- appropriate: tor’s organization; (i) Relevant international conven- (9) Ensure relevant personnel receive tions, codes, and recommendations; adequate security training; (ii) Relevant government legislation (10) Ensure communication and co- and regulations; operation between the vessel and the (iii) Responsibilities and functions of port and facilities with which the ves- other security organizations; sel interfaces; (iv) Methodology of Vessel Security (11) Ensure consistency between secu- Assessment; rity requirements and safety require- (v) Methods of vessel security sur- ments; veys and inspections; (12) Ensure that when sister-vessel or (vi) Instruction techniques for secu- fleet security plans are used, the plan rity training and education, including for each vessel reflects the vessel-spe- security measures and procedures; cific information accurately; (vii) Handling sensitive security in- (13) Ensure compliance with an Alter- formation and security related commu- native Security Program or equiva- nications; lents approved under this subchapter, (viii) Knowledge of current security if appropriate; and threats and patterns; (14) Ensure security measures give (ix) Recognition and detection of particular consideration to the conven- dangerous substances and devices; ience, comfort, and personal privacy of (x) Recognition of characteristics and vessel personnel and their ability to behavioral patterns of persons who are maintain their effectiveness over long likely to threaten security; periods. (xi) Techniques used to circumvent (15) Ensure the TWIC program is security measures; being properly implemented. (xii) Methods of physical screening [USCG–2003–14749, 68 FR 39302, July 1, 2003, as and non-intrusive inspections; amended at 68 FR 60513, Oct. 22, 2003; USCG– (xiii) Security drills and exercises, 2006–24196, 72 FR 3580, Jan. 25, 2007] including drills and exercises with facilities; and § 104.215 Vessel Security Officer (VSO). (xiv) Assessment of security drills (a) General. (1) A VSO may perform and exercises. other duties within the owner’s or op- (xv) Knowledge of TWIC require- erator’s organization, provided he or ments she is able to perform the duties and (c) Responsibilities. In addition to responsibilities required of the VSO for those responsibilities and duties speci- each such vessel. fied elsewhere in this part, the CSO (2) For manned vessels, the VSO must, for each vessel for which he or must be the Master or a member of the she has been designated: crew. (1) Keep the vessel apprised of poten- (3) For unmanned vessels, the VSO tial threats or other information rel- must be an employee of the company, evant to its security; and the same person may serve as the (2) Ensure a Vessel Security Assess- VSO for more than one unmanned ves- ment (VSA) is carried out; sel. If a person serves as the VSO for (3) Ensure a Vessel Security Plan more than one unmanned vessel, the (VSP) is developed, approved, and name of each unmanned vessel for maintained; which he or she is the VSO must be (4) Ensure the VSP is modified when listed in the Vessel Security Plan necessary; (VSP). (5) Ensure vessel security activities (4) The VSO of any unmanned barge are audited; and the VSO of any towing vessel (6) Arrange for Coast Guard inspec- interfacing with the barge must coordi- tions under 46 CFR part 2; nate and ensure the implementation of (7) Ensure the timely or prompt cor- security measures applicable to both rection of problems identified by audits vessels during the period of their inter- or inspections; face.

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(5) The VSO may assign security du- (B) Have approved sea service of not ties to other vessel personnel; however, less than 6 months on any vessel sub- the VSO remains responsible for these ject to § 104.105 of this part, credited in duties. accordance with 46 CFR 10.205(b), 10.211, (6) The VSO must maintain a TWIC. and/or 10.213, and have knowledge of (b) Qualifications. The VSO must have vessel operations. general knowledge, through training or (2) To qualify as a Coast Guard-ac- equivalent job experience, in the fol- cepted course a VSO course under para- lowing: graph (d)(1)(iv) of this section must re- (1) Those items listed in § 104.210 quire candidates to demonstrate (b)(1) and (b)(2) of this part; knowledge, understanding, and pro- (2) Vessel layout; ficiency in the following competencies: (3) The VSP and related procedures, (i) Maintaining and supervising the including scenario-based response implementation of a vessel security training; plan; (4) Crowd management and control (ii) Assessing security risk, threat techniques; and vulnerability; (5) Operations of security equipment (iii) Undertaking regular inspections and systems; of the vessel to ensure that appropriate (6) Testing and calibration of secu- security measures are implemented rity equipment and systems, and their and maintained; maintenance while at sea; and (iv) Ensuring that security equip- (7) TWIC. ment and systems, if any, are properly (c) Certification required. After July 1, operated, tested and calibrated; 2009, persons performing duties as VSO (v) Encouraging security awareness on-board a seagoing vessel subject to and vigilance; and the International Convention on (vi) Ensuring compliance with the Standards of Training, Certification TWIC program requirements. and Watchkeeping for Seafarers, 1978, (3) Candidates meeting the knowl- as amended, must hold a valid Coast edge of vessel operations requirement Guard-issued credential with a Vessel under paragraph (d)(1)(v)(B) of this sec- Security Officer endorsement. The Coast Guard will issue this endorse- tion must provide evidence through ment only if the person meets the re- training or equivalent job experience, quirements in paragraph (d) of this sec- in the following areas: tion. This endorsement serves as proof (i) Basic vessel layout and construc- that the person meets the ship security tion: officer requirements of Regulation VI/5 (A) Understanding layout, including of the STCW. decks, rooms and space numbering; and (d) Requirements for Coast Guard En- (B) Understanding of various vessel dorsement: (1) To qualify for a VSO en- types; and working knowledge of nau- dorsement, a person must: tical terms and definitions, especially (i) Be at least 18 years of age; those used to describe areas and parts (ii) Be able to speak and understand of a vessel. the English language as would be rel- (ii) Shipboard organization: famili- evant to the duties of a VSO; arity with the various departments and (iii) Hold any valid Coast Guard- related functions, the titles used for issued credential under the regulations personnel, the roles and responsibil- specified in 46 CFR Subchapter B; ities of these persons, and the chain of (iv) Successfully complete a Coast command. Guard-accepted VSO course; (iii) Shipboard safety: (v) Sea Service. Fulfill one of the fol- (A) Understanding of the importance lowing: of creating and maintaining safe work- (A) Have approved sea service of not ing and living conditions for passengers less than 12 months on any vessel sub- and crew alike; ject to § 104.105 of this part, credited in (B) General shipboard safety rules, accordance with 46 CFR 10.205(e), 10.211, emergency alarms and signals, and re- and/or 10.213; or sponses to and reporting of accidents;

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(C) Proper usage of protective equip- cepted by the Coast Guard under 46 ment and general knowledge of proce- CFR 10.309 as meeting the require- dures for entering enclosed spaces; ments of paragraphs (d)(1)(iv) and (d)(2) (D) Proper usage of lifesaving equip- of this section. ment and where such equipment is nor- (7) Persons who hold a valid ‘‘Vessel mally stowed aboard various vessel Security Officer’’ endorsement may types; serve as vessel or company personnel (E) Understanding of the operating with security duties (33 CFR 104.220), principles of and proper use of water- and as all other vessel personnel (33 tight and fire screen doors; and CFR 104.225), without meeting any ad- (F) Understanding where it is safe to ditional requirements. smoke and not safe to smoke on board and in port. (e) Responsibilities. In addition to (iv) Protection of the marine envi- those responsibilities and duties speci- ronment: fied elsewhere in this part, the VSO (A) Understanding of vessel person- must, for each vessel for which he or nel’s responsibility to preserve the ma- she has been designated: rine environment; and (1) Regularly inspect the vessel to en- (B) Basic working knowledge of pol- sure that security measures are main- lution prevention regulations and tech- tained; niques. (2) Ensure maintenance and super- (v) Familiarity with key definitions, vision of the implementation of the terminology, and operational practices VSP, and any amendments to the VSP; employed in the maritime industry. (3) Ensure the coordination and han- (4)(i) Persons meeting the criteria in dling of cargo and vessel stores and paragraphs (d)(4)(i)(A) and (B) of this bunkers in compliance with this part; section prior to the effective date of (4) Propose modifications to the VSP this regulation may successfully com- to the Company Security Officer (CSO); plete a refresher Coast Guard-accepted (5) Ensure that any problems identi- VSO course no later than July 1, 2009, fied during audits or inspections are re- to fulfill (d)(1)(iv) of this section. Per- sons must have: ported to the CSO, and promptly imple- (A) At least six months of VSO expe- ment any corrective actions; rience during the preceding three (6) Ensure security awareness and years; or vigilance on board the vessel; (B) Successfully completed a VSO (7) Ensure adequate security training course that was not approved by the for vessel personnel; Maritime Administration (MARAD) on (8) Ensure the reporting and record- behalf of the Coast Guard. Maritime ing of all security incidents; Administration approves VSO courses (9) Ensure the coordinated implemen- under section 109 of the Maritime tation of the VSP with the CSO and Transportation Security Act of 2002, the relevant Facility Security Officer, Public Law 107–295. when applicable; (ii) To be eligible to take a refresher (10) Ensure security equipment is Coast Guard-accepted VSO course, a properly operated, tested, calibrated person must present to the course pro- and maintained; and vider documentary evidence that he or (11) Ensure consistency between secu- she meets the criteria in (d)(4)(i) of this section. rity requirements and the proper treat- (5) Vessel Security Officer courses ment of vessel personnel affected by meeting the training requirements in those requirements. paragraphs (d)(2) and (d)(4) of this sec- (12) Ensure TWIC programs are in tion are subject to Coast Guard accept- place and implemented appropriately. ance under 46 CFR 10.309(a)(10)(ii). [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (6) Vessel Security Officer courses amended at 68 FR 60513, Oct. 22, 2003; USCG– approved by MARAD on behalf of the 2006–24196, 72 FR 3580, Jan. 25, 2007; USCG– Coast Guard under section 109 of the 2008–0028, 73 FR 29070, May 20, 2008; 73 FR Maritime Transportation Security Act 34191, June 17, 2008; USCG–2007–28915, 81 FR of 2002, Public Law 107–295 will be ac- 57710, Aug. 23, 2016]

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§ 104.220 Company or vessel personnel (c) Recognition and detection of dan- with security duties. gerous substances and devices; Company and vessel personnel re- (d) Recognition of characteristics and sponsible for security duties must behavioral patterns of persons who are maintain a TWIC, and must have likely to threaten security; and knowledge, through training or equiva- (e) Techniques used to circumvent se- lent job experience, in the following, as curity measures. appropriate: (f) Relevant aspects of the TWIC pro- (a) Knowledge of current security gram and how to carry them out. threats and patterns; [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (b) Recognition and detection of dan- amended at 68 FR 60513, Oct. 22, 2003; USCG– gerous substances and devices; 2006–24196, 72 FR 3580, Jan. 25, 2007] (c) Recognition of characteristics and behavioral patterns of persons who are § 104.230 Drill and exercise require- likely to threaten security; ments. (d) Techniques used to circumvent se- (a) General. (1) Drills and exercises curity measures; must test the proficiency of vessel per- (e) Crowd management and control sonnel in assigned security duties at techniques; all Maritime Security (MARSEC) Lev- (f) Security related communications; els and the effective implementation of (g) Knowledge of emergency proce- the Vessel Security Plan (VSP). They dures and contingency plans; must enable the Vessel Security Offi- (h) Operation of security equipment cer (VSO) to identify any related secu- and systems; rity deficiencies that need to be ad- (i) Testing and calibration of security dressed. equipment and systems, and their (2) A drill or exercise required by this maintenance while at sea; section may be satisfied with the im- (j) Inspection, control, and moni- plementation of security measures re- toring techniques; quired by the Vessel Security Plan as (k) Relevant provisions of the Vessel the result of an increase in the Security Plan (VSP); MARSEC Level, provided the vessel re- (l) Methods of physical screening of ports attainment to the cognizant persons, personal effects, baggage, COTP. cargo, and vessel stores; and (b) Drills. (1) The VSO must ensure (m) The meaning and the consequen- that at least one security drill is con- tial requirements of the different Mari- ducted at least every 3 months, except time Security (MARSEC) Levels. when a vessel is out of service due to (n) Relevant aspects of the TWIC pro- repairs or seasonal suspension of oper- gram and how to carry them out. ation provided that in such cases a [USCG–2003–14749, 68 FR 39302, July 1, 2003, as drill must be conducted within one amended by USCG–2006–24196, 72 FR 3580, week of the vessel’s reactivation. Secu- Jan. 25, 2007] rity drills may be held in conjunction with non-security drills where appro- § 104.225 Security training for all priate. other vessel personnel. (2) Drills must test individual ele- All other vessel personnel, including ments of the VSP, including response contractors, whether part-time, full- to security threats and incidents. time, temporary, or permanent, must Drills should take into account the have knowledge of, through training or types of operations of the vessel, vessel equivalent job experience in the fol- personnel changes, and other relevant lowing, as appropriate: circumstances. Examples of drills in- (a) Relevant provisions of the Vessel clude unauthorized entry to a re- Security Plan (VSP); stricted area, response to alarms, and (b) The meaning and the consequen- notification of law enforcement au- tial requirements of the different Mari- thorities. time Security (MARSEC) Levels, in- (3) If the vessel is moored at a facil- cluding emergency procedures and con- ity on the date the facility has planned tingency plans; to conduct any drills, the vessel may,

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but is not required to, participate in kept in an electronic format, they the facility’s scheduled drill. must be protected against unauthor- (4) Drills must be conducted within ized deletion, destruction, or amend- one week from whenever the percent- ment. The following records must be age of vessel personnel with no prior kept: participation in a vessel security drill (1) Training. For training under on that vessel exceeds 25 percent. § 104.225, the date of each session, dura- (5) Not withstanding paragraph (b)(4) tion of session, a description of the of this section, vessels not subject to training, and a list of attendees; SOLAS may conduct drills within 1 (2) Drills and exercises. For each drill week from whenever the percentage of or exercise, the date held, description vessel personnel with no prior partici- of drill or exercise, list of participants; pation in a vessel security drill on a and any best practices or lessons vessel of similar design and owned or learned which may improve the Vessel operated by the same company exceeds Security Plan (VSP); 25 percent. (3) Incidents and breaches of security. (c) Exercises. (1) Exercises must be Date and time of occurrence, location conducted at least once each calendar within the port, location within the year, with no more than 18 months be- vessel, description of incident or tween exercises. breaches, to whom it was reported, and (2) Exercises may be: (i) Full scale or live; description of the response; (ii) Tabletop simulation or seminar; (4) Changes in Maritime Security (iii) Combined with other appropriate (MARSEC) Levels. Date and time of no- exercises; or tification received, and time of compli- (iv) A combination of the elements in ance with additional requirements; paragraphs (c)(2)(i) through (iii) of this (5) Maintenance, calibration, and test- section. ing of security equipment. For each oc- (3) Exercises may be vessel-specific currence of maintenance, calibration, or part of a cooperative exercise pro- and testing, the date and time, and the gram to exercise applicable facility and specific security equipment involved; vessel security plans or comprehensive (6) Security threats. Date and time of port exercises. occurrence, how the threat was com- (4) Each exercise must test commu- municated, who received or identified nication and notification procedures, the threat, description of threat, to and elements of coordination, resource whom it was reported, and description availability, and response. of the response; (5) Exercises are a full test of the se- (7) Declaration of Security (DoS). curity program and must include the Manned vessels must keep on board a substantial and active participation of copy of the last 10 DoSs and a copy of relevant company and vessel security each continuing DoS for at least 90 personnel, and may include facility se- days after the end of its effective pe- curity personnel and government au- riod; thorities depending on the scope and (8) Annual audit of the VSP. For each the nature of the exercises. annual audit, a letter certified by the [USCG–2003–14749, 68 FR 39302, July 1, 2003, as Company Security Officer or the VSO amended at 68 FR 60513, Oct. 22, 2003] stating the date the audit was completed; and § 104.235 Vessel recordkeeping re- (9) Electronic Reader/Physical Access quirements. Control System (PACS). For each indi- (a) Unless otherwise specified in this vidual granted unescorted access to a section, the Vessel Security Officer secure area, the: FASC–N; date and must keep records of the activities as time that unescorted access was grant- set out in paragraph (b) of this section ed; and, if captured, the individual’s for at least 2 years and make them name. Additionally, documentation to available to the Coast Guard upon re- demonstrate that the owner or oper- quest. ator has updated the Canceled Card (b) Records required by this section List with the frequency required in may be kept in electronic format. If § 101.525 of this subchapter.

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(c) Any records required by this part (e) For MARSEC Level 3, in addition must be protected from unauthorized to the requirements in this part, a ves- access or disclosure. TWIC reader sel owner or operator may be required records and similar records in a PACS to implement additional measures, are sensitive security information and pursuant to 33 CFR part 6, 160 or 165, as must be protected in accordance with appropriate, which may include but are 49 CFR part 1520. not limited to: (1) Arrangements to ensure that the [USCG–2003–14749, 68 FR 39302, July 1, 2003, as vessel can be towed or moved if deemed amended at 68 FR 60514, Oct. 22, 2003; USCG– 2007–28915, 81 FR 57710, Aug. 23, 2016] necessary by the Coast Guard; (2) Use of waterborne security patrol; § 104.240 Maritime Security (MARSEC) (3) Use of armed security personnel Level coordination and implemen- to control access to the vessel and to tation. deter, to the maximum extent prac- (a) The vessel owner or operator tical, a TSI; or must ensure that, prior to entering a (4) Screening the vessel for the pres- port or visiting an Outer Continental ence of dangerous substances and de- Shelf (OCS) facility, all measures are vices underwater or other threats. taken that are specified in the Vessel [USCG–2003–14749, 68 FR 39302, July 1, 2003, as Security Plan (VSP) for compliance amended at 68 FR 60514, Oct. 22, 2003] with the MARSEC Level in effect for the port or the OCS facility. § 104.245 Communications. (b) When notified of an increase in (a) The Vessel Security Officer must the MARSEC Level, the vessel owner have a means to effectively notify ves- or operator must ensure: sel personnel of changes in security (1) If a higher MARSEC Level is set conditions on board the vessel. for the port in which the vessel is lo- (b) Communications systems and pro- cated or is about to enter, the vessel cedures must allow effective and con- complies, without undue delay, with all tinuous communication between the measures specified in the VSP for com- vessel security personnel, facilities pliance with that higher MARSEC interfacing with the vessel, vessels Level; interfacing with the vessel, and na- (2) The COTP is notified as required tional or local authorities with secu- by § 101.300(c) when compliance with rity responsibilities. the higher MARSEC Level has been im- (c) Communication systems and pro- plemented; cedures must enable vessel personnel (3) For vessels in port, that compli- to notify, in a timely manner, shore ance with the higher MARSEC Level side authorities or other vessels of a se- has taken place within 12 hours of the curity threat or incident on board. notification; and (4) If a higher MARSEC Level is set § 104.250 Procedures for interfacing for the OCS facility with which the with facilities and other vessels. vessel is interfacing or is about to (a) The vessel owner or operator visit, the vessel complies, without must ensure that there are measures undue delay, with all measures speci- for interfacing with facilities and other fied in the VSP for compliance with vessels at all MARSEC Levels. that higher MARSEC Level. (b) For each U.S. flag vessel that (c) For MARSEC Levels 2 and 3, the calls on foreign ports or facilities, the Vessel Security Officer must brief all vessel owner or operator must ensure vessel personnel of identified threats, procedures for interfacing with those emphasize reporting procedures, and ports and facilities are established. stress the need for increased vigilance. (d) An owner or operator whose ves- § 104.255 Declaration of Security sel is not in compliance with the re- (DoS). quirements of this section must inform (a) Each vessel owner or operator the COTP and obtain approval prior to must ensure procedures are established entering any port, prior to interfacing for requesting a DoS and for handling with another vessel or with a facility DoS requests from a facility or other or to continuing operations. vessel.

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(b) At MARSEC Level 1, the Master transfer operation, the respective FSO or Vessel Security Officer (VSO), or and Master, VSO, or designated rep- their designated representative, of any resentatives must sign the written cruise ship or manned vessel carrying DoS. Certain Dangerous Cargoes, in bulk, (e) At MARSEC Levels 1 and 2, VSOs must complete and sign a DoS with the of vessels that frequently interface VSO or Facility Security Officer with the same facility may implement (FSO), or their designated representa- a continuing DoS for multiple visits, tive, of any vessel or facility with provided that: which it interfaces. (1) The DoS is valid for the specific (1) For a vessel-to-facility interface, MARSEC Level; prior to arrival of a vessel to a facility, (2) The effective period at MARSEC the FSO and Master, VSO, or their des- Level 1 does not exceed 90 days; and ignated representatives must coordi- (3) The effective period at MARSEC nate security needs and procedures, Level 2 does not exceed 30 days. and agree upon the contents of the DoS (f) When the MARSEC Level in- for the period of time the vessel is at creases beyond the level contained in the facility. Upon a vessel’s arrival to the DoS, the continuing DoS becomes a facility and prior to any passenger void and a new DoS must be signed and embarkation or disembarkation or implemented in accordance with this cargo transfer operation, the FSO or section. Master, VSO, or designated representa- (g) The COTP may require at any tives must sign the written DoS. time, at any MARSEC Level, any (2) For a vessel engaging in a vessel- manned vessel subject to this part to to-vessel activity, prior to the activity, implement a DoS with the VSO or FSO the respective Masters, VSOs, or their prior to any vessel-to-vessel activity or designated representatives must co- vessel-to-facility interface when he or ordinate security needs and procedures, she deems it necessary. and agree upon the contents of the DoS for the period of the vessel-to-vessel [USCG–2003–14749, 68 FR 39302, July 1, 2003, as activity. Upon the vessel-to-vessel ac- amended at 68 FR 60514, Oct. 22, 2003] tivity and prior to any passenger em- § 104.260 Security systems and equip- barkation or disembarkation or cargo ment maintenance. transfer operation, the respective Mas- ters, VSOs, or designated representa- (a) Security systems and equipment tives must sign the written DoS. must be in good working order and in- (c) At MARSEC Levels 2 and 3, the spected, tested, calibrated and main- Master, VSO, or designated representa- tained according to the manufacturer’s tive of any manned vessel required to recommendation. comply with this part must coordinate (b) The results of testing completed security needs and procedures, and under paragraph (a) of this section agree upon the contents of the DoS for must be recorded in accordance with the period of the vessel-to-vessel activ- § 104.235. Any deficiencies must be ity. Upon the vessel-to-vessel activity promptly corrected. and prior to any passenger embar- (c) The Vessel Security Plan (VSP) kation or disembarkation or cargo must include procedures for identifying transfer operation, the respective Mas- and responding to security system and ters, VSOs, or designated representa- equipment failures or malfunctions. tives must sign the written DoS. [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (d) At MARSEC Levels 2 and 3, the amended by USCG–2007–28915, 81 FR 57710, Master, VSO, or designated representa- Aug. 23, 2016] tive of any manned vessel required to comply with this part must coordinate § 104.263 Risk Group classifications for security needs and procedures, and vessels. agree upon the contents of the DoS for (a) For purposes of the Transpor- the period the vessel is at the facility. tation Worker Identification Creden- Upon the vessel’s arrival to a facility tial requirements of this subchapter, and prior to any passenger embar- the following vessels subject to this kation or disembarkation or cargo part are in Risk Group A:

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(1) Vessels that carry Certain Dan- applied. ‘‘Means of access’’ include, but gerous Cargoes in bulk. are not limited, to all: (2) Vessels certificated to carry more (i) Access ladders; than 1,000 passengers. (ii) Access gangways; (3) Any vessel engaged in towing a (iii) Access ramps; vessel subject to paragraph (a)(1) or (iv) Access doors, side scuttles, win- (a)(2) of this section. dows, and ports; (b) Vessels may move from one Risk (v) Mooring lines and anchor chains; Group classification to another, based and on the cargo they are carrying or han- (vi) Cranes and hoisting gear; dling at any given time. An owner or (2) The identification of the types of operator expecting a vessel to move be- restriction or prohibition to be applied tween Risk Groups must explain, in the and the means of enforcing them; Vessel Security Plan, the timing of (3) The means used to establish the such movements, as well as how the identity of individuals not in posses- vessel will move between the require- sion of a TWIC and procedures for es- ments of the higher and lower Risk corting, in accordance with § 101.515 of Groups, with particular attention to this subchapter; and the security measures to be taken mov- (4) Procedures for identifying author- ing from a lower Risk Group to a high- ized and unauthorized persons at any er Risk Group. MARSEC level. [USCG–2007–28915, 81 FR 57711, Aug. 23, 2016] (c) The vessel owner or operator must establish in the approved VSP the fre- § 104.265 Security measures for access quency of application of any security control. measures for access control, particu- (a) General. The vessel owner or oper- larly if these security measures are ap- ator must ensure the implementation plied on a random or occasional basis. of security measures to: (d) MARSEC Level 1. The vessel owner (1) Deter the unauthorized introduc- or operator must ensure security meas- tion of dangerous substances and de- ures in this paragraph are implemented vices, including any device intended to to: damage or destroy persons, vessels, fa- (1) Implement a TWIC Program as set cilities, or ports; out in subpart E of part 101 of this sub- (2) Secure dangerous substances and chapter, as applicable, and in accord- devices that are authorized by the ance with the vessel’s assigned Risk owner or operator to be on board; Group, as set out in § 104.263; (3) Control access to the vessel; and (2) Screen persons, baggage (includ- (4) Prevent an unescorted individual ing carry-on items), personal effects, from entering an area of the vessel and vehicles for dangerous substances that is designated as a secure area un- and devices at the rate specified in the less the individual holds a duly issued approved VSP, except for government- TWIC and is authorized to be in the owned vehicles on official business area. Individuals seeking unescorted when government personnel present access to a secure area on a vessel in identification credentials for entry; Risk Group A must pass electronic (3) Conspicuously post signs that de- TWIC inspection and those seeking scribe security measures currently in unescorted access to a secure area on a effect and clearly state that: vessel not in Risk Group A must pass (i) Boarding the vessel is deemed either electronic TWIC inspection or valid consent to screening or inspec- visual TWIC inspection. tion; and (b) The vessel owner or operator (ii) Failure to consent or submit to must ensure that the following are screening or inspection will result in specified: denial or revocation of authorization (1) The locations providing means of to board; access to the vessel where access re- (4) Check the identification of any strictions or prohibitions are applied person not holding a TWIC and seeking for each Maritime Security (MARSEC) to board the vessel, including vessel Level, including those points where passengers, vendors, personnel duly au- TWIC access control provisions will be thorized by the cognizant government

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authorities, and visitors. This check be loaded aboard passenger vessels are includes confirming the reason for screened prior to loading at the rate boarding by examining at least one of specified in the approved VSP; the following: (16) Ensure, in liaison with the facil- (i) Joining instructions; ity, all unaccompanied vehicles to be (ii) Passenger tickets; loaded on passenger vessels are (iii) Boarding passes; screened prior to loading; and (iv) Work orders, pilot orders, or sur- (17) Respond to the presence of unau- veyor orders; thorized persons on board, including re- (v) Government identification; or pelling unauthorized boarders. (vi) Visitor badges issued in accord- (e) MARSEC Level 2. In addition to ance with an identification system im- the security measures required for plemented under paragraph (d) of this MARSEC Level 1 in this section, at section. MARSEC Level 2, the vessel owner or (5) Deny or revoke a person’s author- operator must ensure the implementa- ization to be on board if the person is tion of additional security measures, as unable or unwilling, upon the request specified for MARSEC Level 2 in the of vessel personnel or a law enforce- approved VSP. These additional secu- ment officer, to establish his or her rity measures may include: identity in accordance with this part (1) Increasing the frequency and de- or to account for his or her presence on tail of screening of people, personal ef- board. Any such incident must be re- fects, and vehicles being embarked or ported in compliance with this part; loaded onto the vessel as specified for (6) Deter unauthorized access to the MARSEC Level 2 in the approved VSP, vessel; except for government-owned vehicles (7) Identify access points that must on official business when government be secured or attended to deter unau- personnel present identification cre- thorized access; dentials for entry; (8) Lock or otherwise prevent access (2) X-ray screening of all unaccom- to unattended spaces that adjoin areas panied baggage; to which passengers and visitors have (3) Assigning additional personnel to access; patrol deck areas during periods of re- (9) Provide a designated area on duced vessel operations to deter unau- board, within the secure area, or in li- thorized access; aison with a facility, for conducting inspections and screening of people, bag- (4) Limiting the number of access gage (including carry-on items), per- points to the vessel by closing and se- sonal effects, vehicles and the vehicle’s curing some access points; contents; (5) Denying access to visitors who do (10) Ensure vessel personnel are not not have a verified destination; subjected to screening, of the person or (6) Deterring waterside access to the of personal effects, by other vessel per- vessel, which may include, in liaison sonnel, unless security clearly requires with the facility, providing boat pa- it; trols; (11) Conduct screening in a way that (7) Establishing a restricted area on takes into full account individual the shore side of the vessel, in close co- human rights and preserves the indi- operation with the facility; or vidual’s basic human dignity; (8) Implementing additional elec- (12) Ensure the screening of all unac- tronic TWIC inspection requirements, companied baggage; as required by § 104.263, and by subpart (13) Ensure checked persons and their E of part 101 of this subchapter, if rel- personal effects are segregated from evant. unchecked persons and their personal (f) MARSEC Level 3. In addition to the effects; security measures required for (14) Ensure embarking passengers are MARSEC Level 1 and MARSEC Level 2, segregated from disembarking pas- the vessel owner or operator must en- sengers; sure the implementation of additional (15) Ensure, in liaison with the facil- security measures, as specified for ity, a defined percentage of vehicles to MARSEC Level 3 in the approved VSP.

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The additional security measures may (b) Newly-hired vessel employees include: may be granted the access provided for (1) Screening all persons, baggage, in paragraph (a) of this section only if: and personal effects for dangerous sub- (1) The new hire has applied for a stances and devices; TWIC in accordance with 49 CFR part (2) Performing one or more of the fol- 1572 by completing the full enrollment lowing on unaccompanied baggage: process, paying the user fee, and is not (i) Screen unaccompanied baggage currently engaged in a waiver or appeal more extensively, for example, x- process. The vessel owner or operator raying from two or more angles; or Vessel Security Officer (VSO) must (ii) Prepare to restrict or suspend have the new hire sign a statement af- handling unaccompanied baggage; or firming this, and must retain the (iii) Refuse to accept unaccompanied signed statement until the new hire re- baggage on board; ceives a TWIC; (3) Being prepared to cooperate with (2) The vessel owner or operator or responders and facilities; the VSO enters the following informa- (4) Limiting access to the vessel to a tion on the new hire into the Coast single, controlled access point; Guard’s Homeport website (http://home- (5) Granting access to only those report.uscg.mil): sponding to the security incident or (i) Full legal name, including middle threat thereof; name if one exists; (6) Suspending embarkation and/or (ii) Date of birth; disembarkation of personnel; (iii) Social security number (op- (7) Suspending cargo operations; tional); (8) Evacuating the vessel; (iv) Employer name and 24 hour con- (9) Moving the vessel; tact information; and (10) Preparing for a full or partial (v) Date of TWIC enrollment; search of the vessel; or (3) The new hire presents an identi- (11) Implementing additional elec- fication credential that meets the re- tronic TWIC inspection requirements, quirements of § 101.515 of this sub- as required by § 104.263, and by subchapter; chapter E of part 101 of this subchapter, if relevant. (4) There are no other circumstances that would cause reasonable suspicion [USCG–2006–24196, 72 FR 3580, Jan. 25, 2007, as regarding the new hire’s ability to ob- amended by USCG–2007–28915, 81 FR 57711, tain a TWIC, and the vessel owner or Aug. 23, 2016] operator or VSO have not been in- § 104.267 Security measures for newly formed by the cognizant COTP that the hired employees. new hire poses a security threat; and (5) There would be an adverse impact (a) Newly-hired vessel employees to vessel operations if the new hire is may be granted entry to secure areas not allowed access. of the vessel for up to 30 consecutive calendar days prior to receiving their (c) This section does not apply to any TWIC provided all of the requirements individual being hired as a Company in paragraph (b) of this section are Security Officer (CSO) or VSO, or any met, and provided that the new hire is individual being hired to perform ves- accompanied by an individual with a sel security duties. TWIC while within the secure areas of (d) The new hire may not begin work- the vessel. If TSA does not act upon a ing on board the vessel under the provi- TWIC application within 30 days, the sions of this section until the owner, cognizant Coast Guard COTP may fur- operator, or VSO receives notification, ther extend access to secure areas for via Homeport or some other means, the another 30 days. The Coast Guard will new hire has passed an initial name determine whether, in particular cir- check. cumstances, certain practices meet the [USCG–2006–24196, 72 FR 3581, Jan. 25, 2007, as condition of a new hire being accom- amended by USCG–2013–0397, 78 FR 39173, panied by another individual with a July 1, 2013; USCG–2007–28915, 81 FR 57711, TWIC. Aug. 23, 2016]

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§ 104.270 Security measures for re- ence within the area constitutes a stricted areas. breach of security. (a) General. The vessel owner or oper- (d) Maritime Security (MARSEC) Level ator must ensure the designation of re- 1. The vessel owner or operator must stricted areas in order to: ensure the implementation of security (1) Prevent or deter unauthorized ac- measures to prevent unauthorized access; cess or activities within the area. (2) Protect persons authorized to be These security measures may include: on board; (1) Locking or securing access points; (3) Protect the vessel; (2) Monitoring and using surveillance (4) Protect sensitive security areas equipment; within the vessel; (3) Using guards or patrols; and (5) Protect security and surveillance (4) Using automatic intrusion detec- equipment and systems; and tion devices, which if used must acti- (6) Protect cargo and vessel stores vate an audible and/or visual alarm at from tampering. a location that is continuously at- (b) Designation of Restricted Areas. The tended or monitored, to alert vessel vessel owner or operator must ensure personnel to unauthorized access. restricted areas are designated on (e) MARSEC Level 2. In addition to board the vessel, as specified in the ap- the security measures required for proved plan. Restricted areas must in- MARSEC Level 1 in this section, at clude, as appropriate: MARSEC Level 2, the vessel owner or (1) Navigation bridge, machinery operator must also ensure the imple- spaces and other control stations; mentation of additional security meas- (2) Spaces containing security and ures, as specified for MARSEC Level 2 surveillance equipment and systems in the approved VSP. These additional and their controls and lighting system security measures may include: controls; (1) Increasing the frequency and in- (3) Ventilation and air-conditioning tensity of monitoring and access con- systems and other similar spaces; trols on existing restricted access (4) Spaces with access to potable areas; water tanks, pumps, or manifolds; (2) Restricting access to areas adja- (5) Spaces containing dangerous cent to access points; goods or hazardous substances; (3) Providing continuous monitoring (6) Spaces containing cargo pumps of each area, using surveillance equip- and their controls; ment; and (7) Cargo spaces and spaces containing vessel stores; (4) Dedicating additional personnel (8) Crew accommodations; and to guard or patrol each area. (9) Any other spaces or areas vital to (f) MARSEC Level 3. In addition to the the security of the vessel. security measures required for (c) The vessel owner or operator must MARSEC Level 1 and MARSEC Level 2, ensure that security measures and poli- at MARSEC Level 3, the vessel owner cies are established to: or operator must ensure the implemen- (1) Identify which vessel personnel tation of additional security measures, are authorized to have access; as specified for MARSEC Level 3 in the (2) Determine which persons other approved VSP. These additional secu- than vessel personnel are authorized to rity measures may include: have access; (1) Restricting access to additional (3) Determine the conditions under areas; and which that access may take place; (2) Searching restricted areas as part (4) Define the extent of any restricted of a security sweep of the vessel. area; (5) Define the times when access re- § 104.275 Security measures for han- strictions apply; and dling cargo. (6) Clearly mark all restricted areas (a) General. The vessel owner or oper- and indicate that access to the area is ator must ensure that security meas- restricted and that unauthorized pres- ures relating to cargo handling, some

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of which may have to be applied in liai- (4) In liaison with the facility, in- son with the facility or another vessel, creasing frequency and detail in check- are specified in order to: ing seals or other methods used to pre- (1) Deter tampering; vent tampering; (2) Prevent cargo that is not meant (5) Increasing the frequency and in- for carriage from being accepted and tensity of visual and physical inspec- stored on board the vessel; tions; or (3) Identify cargo that is approved for (6) Coordinating enhanced security loading onto the vessel; measures with the shipper or other re- (4) Include inventory control proce- sponsible party in accordance with an dures at access points to the vessel; established agreement and procedures. and (d) MARSEC Level 3. In addition to (5) When there are regular or re- the security measures for MARSEC peated cargo operations with the same Level 1 and MARSEC Level 2, at shipper, coordinate security measures MARSEC Level 3, the vessel owner or with the shipper or other responsible operator must ensure the implementa- party in accordance with an estab- tion of additional security measures, as lished agreement and procedures. specified for MARSEC Level 3 in the (b) Maritime Security (MARSEC) Level approved VSP. These additional secu- 1. At MARSEC Level 1, the vessel rity measures may include: owner or operator must ensure the im- (1) Suspending loading or unloading plementation of measures to: of cargo; (1) Unless unsafe to do so, routinely (2) Being prepared to cooperate with check cargo and cargo spaces prior to responders, facilities, and other ves- and during cargo handling for evidence sels; or of tampering; (3) Verifying the inventory and loca- (2) Check that cargo to be loaded tion of any hazardous materials carried matches the cargo documentation, or on board. that cargo markings or container num- [USCG–2003–14749, 68 FR 39302, July 1, 2003, as bers match the information provided amended at 68 FR 60514, Oct. 22, 2003] with shipping documents; (3) Ensure, in liaison with the facil- § 104.280 Security measures for deliv- ity, that vehicles to be loaded on board ery of vessel stores and bunkers. car carriers, RO-RO, and passenger (a) General. The vessel owner or oper- ships are subjected to screening prior ator must ensure that security meas- to loading, in accordance with the fre- ures relating to the delivery of vessel quency required in the VSP; and stores and bunkers are implemented to: (4) Check, in liaison with the facility, (1) Check vessel stores for package seals or other methods used to prevent integrity; tampering. (2) Prevent vessel stores from being (c) MARSEC Level 2. In addition to accepted without inspection; the security measures required for (3) Deter tampering; and MARSEC Level 1 in this section, at (4) Prevent vessel stores and bunkers MARSEC Level 2, the vessel owner or from being accepted unless ordered. operator must also ensure the imple- For vessels that routinely use a facil- mentation of additional security meas- ity, a vessel owner or operator may es- ures, as specified for MARSEC Level 2 tablish and implement standing ar- in the approved Vessel Security Plan rangements between the vessel, its sup- (VSP). These additional security meas- pliers, and a facility regarding notifi- ures may include: cation and the timing of deliveries and (1) Increasing the frequency and de- their documentation. tail of checking cargo and cargo spaces (b) Maritime Security (MARSEC) Level for evidence of tampering; 1. At MARSEC Level 1, the vessel (2) Intensifying checks to ensure that owner or operator must ensure the im- only the intended cargo, container, or plementation of measures to: other cargo transport units are loaded; (1) Check vessel stores before being (3) Intensifying screening of vehicles accepted; to be loaded on car-carriers, RO-RO, (2) Check that vessel stores and and passenger vessels; bunkers match the order prior to being

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brought on board or being bunkered; (ii) Coverage should facilitate per- and sonnel identification at access points; (3) Ensure that vessel stores are con- (iii) Coverage may be provided trolled or immediately and securely through coordination with the port or stowed following delivery. facility; and (c) MARSEC Level 2. In addition to (iv) Lighting effects, such as glare, the security measures required for and its impact on safety, navigation, MARSEC Level 1 in this section, at and other security activities. MARSEC Level 2, the vessel owner or (b) Maritime Security (MARSEC) Level operator must also ensure the imple- 1. At MARSEC Level 1, the vessel mentation of additional security meas- owner or operator must ensure the im- ures, as specified for MARSEC Level 2 plementation of security measures, in the approved Vessel Security Plan which may be done in coordination (VSP). These additional security meas- with a facility, to: ures may include: (1) Monitor the vessel, particularly (1) Intensifying inspection of the ves- vessel access points and restricted sel stores during delivery; or areas; (2) Checking vessel stores prior to re- (2) Be able to conduct emergency ceiving them on board. searches of the vessel; (d) MARSEC Level 3. In addition to (3) Ensure that equipment or system the security measures for MARSEC failures or malfunctions are identified Level 1 and MARSEC Level 2, at and corrected; MARSEC Level 3, the vessel owner or (4) Ensure that any automatic intru- operator must ensure the implementa- sion detection device sets off an audi- tion of additional security measures, as ble or visual alarm, or both, at a loca- specified for MARSEC Level 3 in the tion that is continuously attended or approved VSP. These additional secu- monitored; rity measures may include: (5) Light deck and vessel access (1) Checking all vessel stores more points during the period between sun- extensively; set and sunrise and periods of limited (2) Restricting or suspending delivery visibility sufficiently to allow visual of vessel stores and bunkers; or identification of persons seeking access (3) Refusing to accept vessel stores to the vessel; and on board. (6) Use maximum available lighting § 104.285 Security measures for moni- while underway, during the period be- toring. tween sunset and sunrise, consistent (a) General. (1) The vessel owner or with safety and international regula- operator must ensure the implementa- tions. tion of security measures and have the (c) MARSEC Level 2. In addition to capability to continuously monitor, the security measures required for through a combination of lighting, MARSEC Level 1 in this section, at watchkeepers, security guards, deck MARSEC Level 2, the vessel owner or watches, waterborne patrols, auto- operator must also ensure the imple- matic intrusion-detection devices, or mentation of additional security meas- surveillance equipment, as specified in ures, as specified for MARSEC Level 2 their approved Vessel Security Plan in the approved VSP. These additional (VSP), the— security measures may include: (i) Vessel; (1) Increasing the frequency and de- (ii) Restricted areas on board the ves- tail of security patrols; sel; and (2) Increasing the coverage and inten- (iii) Area surrounding the vessel. sity of lighting, alone or in coordina- (2) The following must be considered tion with the facility; when establishing the appropriate level (3) Using or increasing the use of se- and location of lighting: curity and surveillance equipment; (i) Vessel personnel should be able to (4) Assigning additional personnel as detect activities on and around the ves- security lookouts; sel, on both the shore side and the wa- (5) Coordinating with boat patrols, terside; when provided; and

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(6) Coordinating with shoreside foot (d) Briefing all vessel personnel on or vehicle patrols, when provided. possible threats and the need for vigi- (d) MARSEC Level 3. In addition to lance, soliciting their assistance in re- the security measures for MARSEC porting suspicious persons, objects, or Level 1 and MARSEC Level 2, at activities; and MARSEC Level 3, the vessel owner or (e) Securing non-critical operations operator must ensure the implementa- in order to focus response on critical tion of additional security measures, as operations. specified for MARSEC Level 3 in the approved VSP. These additional secu- § 104.292 Additional requirements— rity measures may include: passenger vessels and ferries. (1) Cooperating with responders and (a) At all Maritime Security facilities; (MARSEC) Levels, the vessel owner or (2) Switching on all lights; operator must ensure security sweeps (3) Illuminating the vicinity of the are performed, prior to getting under- vessel; way, after any period the vessel was (4) Switching on all surveillance unattended. equipment capable of recording activi- (b) As an alternative to the identi- ties on, or in the vicinity of, the vessel; fication checks and passenger screen- (5) Maximizing the length of time ing requirements in § 104.265(d)(2), such surveillance equipment can con- (d)(4), and (d)(9), the owner or operator tinue to record; of a passenger vessel or ferry may en- (6) Preparing for underwater inspec- sure security measures are imple- tion of the hull; and mented that include— (7) Initiating measures, including the (1) Searching selected areas prior to slow revolution of the vessel’s propel- embarking passengers and prior to sail- lers, if practicable, to deter underwater ing; and access to the hull of the vessel. (2) Implementing one or more of the [USCG–2003–14749, 68 FR 39302, July 1, 2003, as following: amended at 68 FR 60514, Oct. 22, 2003] (i) Performing routine security patrols; § 104.290 Security incident procedures. (ii) Providing additional closed-cir- For each Maritime Security cuit television to monitor passenger (MARSEC) Level, the vessel owner or areas; or operator must ensure the Vessel Secu- (iii) Securing all non-passenger rity Officer (VSO) and vessel security areas. personnel are able to: (c) Passenger vessels certificated to (a) Respond to security threats or carry more than 2000 passengers, work- breaches of security and maintain crit- ing in coordination with the terminal, ical vessel and vessel-to-facility inter- may be subject to additional vehicle face operations, to include: screening requirements in accordance (1) Prohibiting entry into affected with a MARSEC Directive or other or- area; ders issued by the Coast Guard. (2) Denying access to the vessel, ex- (d) Owners and operators of passenger cept to those responding to the emer- vessels and ferries covered by this part gency; that use public access facilities, as that (3) Implementing MARSEC Level 3 term is defined in § 101.105 of this sub- security measures throughout the ves- chapter, must address security meas- sel; ures for the interface of the vessel and (4) Stopping cargo-handling oper- the public access facility, in accord- ations; and ance with the appropriate Area Mari- (5) Notifying shoreside authorities or time Security Plan. other vessels of the emergency; (e) At MARSEC Level 2, a vessel (b) Evacuating the vessel in case of owner or operator must ensure, in addi- security threats or breaches of secu- tion to MARSEC Level 1 measures, the rity; implementation of the following: (c) Reporting security incidents as (1) Search selected areas prior to em- required in § 101.305; barking passengers and prior to sailing;

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(2) Passenger vessels certificated to that security briefs to passengers carry less than 2000 passengers, work- about the specific threat are provided. ing in coordination with the terminal, may be subject to additional vehicle [USCG–2003–14749, 68 FR 39302, July 1, 2003, as amended by USCG–2006–23846, 83 FR 12102, screening requirements in accordance Mar. 19, 2018] with a MARSEC Directive or other orders issued by the Coast Guard; and § 104.297 Additional requirements— (3) As an alternative to the identi- vessels on international voyages. fication and screening requirements in § 104.265(d)(4) and (e)(1), intensify pa- (a) An owner or operator of a U.S. trols, security sweeps and monitoring flag vessel, which is subject to the identified in paragraph (b) of this sec- International Convention for Safety of tion. Life at Sea, 1974, (SOLAS), must be in (f) At MARSEC Level 3, a vessel compliance with the applicable re- owner or operator may, in addition to quirements of SOLAS Chapter XI–1, MARSEC Levels 1 and 2 measures, as SOLAS Chapter XI–2 and the ISPS an alternative to the identification Code, part A (Incorporated by ref- checks and passenger screening re- erence, see § 101.115 of this subchapter). quirements in § 104.265(d)(4) and (f)(1), (b) Owners or operators of U.S. flag ensure that random armed security pa- vessels that are required to comply trols are conducted, which need not with SOLAS, must ensure an Inter- consist of vessel personnel. national Ship Security Certificate (ISSC) as provided in 46 CFR § 2.01–25 is [USCG–2003–14749, 68 FR 39302, July 1, 2003, as amended at 68 FR 60514, Oct. 22, 2003; USCG– obtained for the vessel. This certificate 2008–0179, 73 FR 35009, June 19, 2008; USCG– must be issued by the Coast Guard. 2007–28915, 81 FR 57711, Aug. 23, 2016] (c) Owners or operators of vessels that require an ISSC in paragraph (b) § 104.295 Additional requirements— of this section must request an inspec- cruise ships. tion in writing, at least 30 days prior to (a) At all MARSEC Levels, the owner the desired inspection date to the Offi- or operator of a cruise ship must en- cer in Charge, Marine Inspection for sure the following: the Marine Inspection Office or Sector (1) Screen all persons, baggage, and Office of the port where the vessel will personal effects for dangerous sub- be inspected to verify compliance with stances and devices prior to entering this part and applicable SOLAS re- the sterile or secure portion of a cruise quirements. The inspection must be ship in accordance with the qualifica- completed and the initial ISSC must be tion, training, and equipment require- issued on or before July 1, 2004. ments of §§ 105.530, 105.535, and 105.545 of this subchapter. [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (2) The vessel owner or operator may amended at 68 FR 60515, Oct. 22, 2003; USCG– work with the owner or operator of 2006–25556, 72 FR 36328, July 2, 2007] each cruise ship terminal or port of call at which that vessel embarks or Subpart C—Vessel Security disembarks passengers to meet the re- Assessment (VSA) quirements of this section. The owner or operator of a cruise ship need not § 104.300 General. duplicate any provisions fulfilled by (a) The Vessel Security Assessment the cruise ship terminal or port of call. (VSA) is a written document that is When a provision is fulfilled by the based on the collection of background cruise ship terminal or port of call, the information and the completion and applicable section of the Vessel Secu- rity Plan must refer to that fact. analysis of an on-scene survey. (3) Perform security patrols; and (b) A single VSA may be performed and applied to more than one vessel to (4) Search selected areas prior to embarking passengers and prior to sailing. the extent that they share physical characteristics and operations. (b) At MARSEC Level 3, the owner or operator of a cruise ship must ensure

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(c) Third parties may be used in any ment, for the area or areas in which aspect of the VSA if they have the ap- the vessel operates or at which pas- propriate skills and if the Company Se- sengers embark or disembark; curity Officer (CSO) reviews and ac- (3) The previous VSA, if any; cepts their work. (4) Emergency and stand-by equip- (d) Those involved in a VSA should ment available to maintain essential be able to draw upon expert assistance services; in the following areas: (5) Number of vessel personnel and (1) Knowledge of current security any existing security duties to which threats and patterns; they are assigned; (2) Recognition and detection of dan- (6) Existing personnel training re- gerous substances and devices; quirement practices of the vessel; (3) Recognition of characteristics and (7) Existing security and safety behavioral patterns of persons who are equipment for the protection of per- likely to threaten security; sonnel, visitors, passengers, and vessels (4) Techniques used to circumvent se- personnel; curity measures; (8) Escape and evacuation routes and (5) Methods used to cause a security assembly stations that have to be incident; maintained to ensure the orderly and (6) Effects of dangerous substances safe emergency evacuation of the ves- and devices on vessel structures and sel; equipment; (9) Existing agreements with private (7) Vessel security requirements; security companies providing water- (8) Vessel-to-vessel activity and ves- side or vessel security services; and sel-to-facility interface business prac- (10) Existing security measures and tices; procedures, including: (9) Contingency planning, emergency (i) Inspection and control procedures; preparedness and response; (ii) Identification systems; (10) Physical security requirements; (iii) Surveillance and monitoring (11) Radio and telecommunications equipment; systems, including computer systems (iv) Personnel identification docu- and networks; ments; (12) Marine engineering; and (v) Communication systems; (13) Vessel and port operations. (vi) Alarms; [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (vii) Lighting; amended at 68 FR 60515, Oct. 22, 2003] (viii) Access control systems; and (ix) Other security systems. § 104.305 Vessel Security Assessment (b) On-scene survey. The vessel owner (VSA) requirements. or operator must ensure that an on- (a) Background. The vessel owner or scene survey of each vessel is con- operator must ensure that the fol- ducted. The on-scene survey is to lowing background information is pro- verify or collect information required vided to the person or persons who will in paragraph (a) of this section. It con- conduct the on-scene survey and assists of an actual survey that examines sessment: and evaluates existing vessel protec- (1) General layout of the vessel, in- tive measures, procedures, and oper- cluding the location of: ations for: (i) Each actual or potential point of (1) Ensuring performance of all secu- access to the vessel and its function; rity duties; (ii) Spaces that should have re- (2) Controlling access to the vessel, stricted access; through the use of identification sys- (iii) Essential maintenance equip- tems or otherwise; ment; (3) Controlling the embarkation of (iv) Cargo spaces and storage; vessel personnel and other persons and (v) Storage of unaccompanied bag- their effects, including personal effects gage; and and baggage whether accompanied or (vi) Vessel stores; unaccompanied; (2) Threat assessments, including the (4) Supervising the handling of cargo purpose and methodology of the assess- and the delivery of vessel stores;

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(5) Monitoring restricted areas to en- (10) Evaluating the potential of each sure that only authorized persons have identified point of access, including access; open weather decks, for use by individ- (6) Monitoring deck areas and areas uals who might seek to breach secu- surrounding the vessel; and rity, whether or not those individuals (7) The ready availability of security legitimately have access to the vessel. communications, information, and (d) VSA report. (1) The vessel owner or equipment. operator must ensure that a written (c) Analysis and recommendations. In VSA report is prepared and included as conducting the VSA, the Company Se- part of the VSP. The VSA report must curity Officer (CSO) must analyze the contain: vessel background information and the (i) A summary of how the on-scene on-scene survey, and while considering survey was conducted; the requirements of this part, provide (ii) Existing security measures, pro- recommendations for the security cedures, and operations; measures the vessel should include in (iii) A description of each vulner- the Vessel Security Plan (VSP). This ability found during the assessment; includes but is not limited to the fol- (iv) A description of security coun- lowing: termeasures that could be used to ad- (1) Restricted areas; dress each vulnerability; (2) Response procedures for fire or (v) A list of the key vessel operations other emergency conditions; that are important to protect; (3) Security supervision of vessel per- (vi) The likelihood of possible threats sonnel, passengers, visitors, vendors, to key vessel operations; and repair technicians, dock workers, etc.; (vii) A list of identified weaknesses, (4) Frequency and effectiveness of se- including human factors, in the infra- curity patrols; structure, policies, and procedures of (5) Access control systems, including the vessel. identification systems; (2) The VSA report must address the (6) Security communication systems following elements on board or within and procedures; the vessel: (7) Security doors, barriers, and (i) Physical security; lighting; (ii) Structural integrity; (8) Any security and surveillance (iii) Personnel protection systems; equipment and systems; (iv) Procedural policies; (9) Possible security threats, includ- (v) Radio and telecommunication ing but not limited to: systems, including computer systems (i) Damage to or destruction of the and networks; and vessel or an interfacing facility or ves- (vi) Other areas that may, if damaged sel by dangerous substances and de- or used illicitly, pose a risk to people, vices, arson, sabotage, or vandalism; property, or operations on board the (ii) Hijacking or seizure of the vessel vessel or within a facility. or of persons on board; (3) The VSA report must list the per- (iii) Tampering with cargo, essential sons, activities, services, and oper- vessel equipment or systems, or vessel ations that are important to protect, stores; in each of the following categories: (iv) Unauthorized access or use, in- (i) Vessel personnel; cluding presence of stowaways; (ii) Passengers, visitors, vendors, re- (v) Smuggling dangerous substances pair technicians, facility personnel, and devices; etc.; (vi) Use of the vessel to carry those (iii) Capacity to maintain safe navi- intending to cause a security incident gation and emergency response; and/or their equipment; (iv) Cargo, particularly dangerous (vii) Use of the vessel itself as a goods and hazardous substances; weapon or as a means to cause damage (v) Vessel stores; or destruction; (vi) Any vessel security communica- (viii) Attacks from seaward while at tion and surveillance systems; and berth or at anchor; and (vii) Any other vessel security sys- (ix) Attacks while at sea; and tems, if any.

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(4) The VSA report must account for updated, each time the VSP is sub- any vulnerabilities in the following mitted for reapproval or revisions. areas: [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (i) Conflicts between safety and secu- amended at 68 FR 60515, Oct. 22, 2003] rity measures; (ii) Conflicts between vessel duties and security assignments; Subpart D—Vessel Security Plan (iii) The impact of watch-keeping du- (VSP) ties and risk of fatigue on vessel personnel alertness and performance; § 104.400 General. (iv) Security training deficiencies; (a) The Company Security Officer and (CSO) must ensure a Vessel Security (v) Security equipment and systems, Plan (VSP) is developed and imple- including communication systems. mented for each vessel. The VSP: (5) The VSA report must discuss and (1) Must identify the CSO and VSO by evaluate key vessel measures and oper- name or position and provide 24-hour ations, including: contact information; (i) Ensuring performance of all secu- (2) Must be written in English, al- rity duties; though a translation of the VSP in the (ii) Controlling access to the vessel, working language of vessel personnel through the use of identification sys- may also be developed; tems or otherwise; (3) Must address each vulnerability (iii) Controlling the embarkation of identified in the Vessel Security As- vessel personnel and other persons and sessment (VSA); their effects (including personal effects (4) Must describe security measures and baggage whether accompanied or for each MARSEC Level; unaccompanied); (5) Must state the Master’s authority (iv) Supervising the handling of cargo as described in § 104.205; and and the delivery of vessel stores; (6) May cover more than one vessel to (v) Monitoring restricted areas to en- the extent that they share similarities sure that only authorized persons have in physical characteristics and oper- access; ations, if authorized and approved by (vi) Monitoring deck areas and areas the Commanding Officer, Marine Safe- surrounding the vessel; and ty Center. (vii) The ready availability of secu- (b) The VSP must be submitted to rity communications, information, and the Commanding Officer, Marine Safe- equipment. ty Center, U.S. Coast Guard, 4200 Wil- (e) The VSA must be documented and son Boulevard Suite 400, Arlington, VA the VSA report retained by the vessel 22203 for visitors. Send all mail to: owner or operator with the VSP. The Commanding Officer (MSC), Attn: Ma- VSA, the VSA report, and VSP must be rine Safety Center, U.S. Coast Guard protected from unauthorized access or Stop 7430, 2703 Martin Luther King Jr. disclosure. Avenue SE., Washington, DC 20593–7430, [USCG–2003–14749, 68 FR 39302, July 1, 2003, as in a written or electronic format. In- amended at 68 FR 60515, Oct. 22, 2003] formation for submitting the VSP elec- tronically can be found at http:// § 104.310 Submission requirements. www.uscg.mil/HQ/MSC. Owners or opera- (a) A completed Vessel Security As- tors of foreign flag vessels that are sub- sessment (VSA) report must be subject to SOLAS Chapter XI–1 or Chapter mitted with the Vessel Security Plan XI–2 must comply with this part by (VSP) required in § 104.410 of this part. carrying on board a valid International (b) A vessel owner or operator may Ship Security Certificate that certifies generate and submit a report that con- that the verifications required by Sec- tains the VSA for more than one vessel tion 19.1 of part A of the ISPS Code (In- subject to this part, to the extent that corporated by reference, see § 101.115 of they share similarities in physical this subchapter) have been completed. characteristics and operations. As stated in Section 9.4 of the ISPS (c) The VSA must be reviewed and re- Code, part A requires that, in order for validated, and the VSA report must be the ISSC to be issued, the provisions of

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part B of the ISPS Code need to be (b) The VSP must describe in detail taken into account. how the requirements of subpart B of (c) The VSP is sensitive security in- this part will be met. formation and must be protected in accordance with 49 CFR part 1520. [USCG–2003–14749, 68 FR 39302, July 1, 2003, as amended by USCG–2006–24196, 72 FR 3582, (d) If the VSP is kept in an electronic Jan. 25, 2007; USCG–2007–28915, 81 FR 57711, format, procedures must be in place to Aug. 23, 2016] prevent its unauthorized deletion, destruction, or amendment. § 104.410 Submission and approval. [USCG–2003–14749, 68 FR 39302, July 1, 2003, as (a) In accordance with § 104.115, each amended at 68 FR 60515, Oct. 22, 2003; USCG– vessel owner or operator must either— 2004–18057, 69 FR 34925, June 23, 2004; USCG– (1) Submit one copy of their Vessel 2007–26953, 72 FR 5931, Feb. 8, 2007; USCG– 2010–0351, 75 FR 36282, June 25, 2010; USCG– Security Plan (VSP), in English, for re- 2014–0410, 79 FR 38432, July 7, 2014; USCG– view and approval to the Commanding 2016–0498, 82 FR 35080, July 28, 2017] Officer, Marine Safety Center (MSC) and a letter certifying that the VSP § 104.405 Format of the Vessel Security meets applicable requirements of this Plan (VSP). part; or (a) A vessel owner or operator must (2) If intending to operate under an ensure that the VSP consists of the in- Approved Alternative Security Pro- dividual sections listed in this para- gram, a letter signed by the vessel graph (a). If the VSP does not follow owner or operator stating which ap- the order as it appears in the list, the proved Alternative Security Program vessel owner or operator must ensure the owner or operator intends to use. that the VSP contains an index identi- (b) Owners or operators of vessels not fying the location of each of the fol- in service on or before December 31, lowing sections: 2003, must comply with the require- (1) Security organization of the ves- ments in paragraph (a) of this section sel; 60 days prior to beginning operations. (2) Personnel training; (c) The Commanding Officer, Marine (3) Drills and exercises; Safety Center (MSC), will examine (4) Records and documentation; each submission for compliance with (5) Response to change in MARSEC Level; this part, and either— (6) Procedures for interfacing with fa- (1) Approve it and specify any condi- cilities and other vessels; tions of approval, returning to the sub- (7) Declarations of Security (DoS); mitter a letter stating its acceptance (8) Communications; and any conditions; (9) Security systems and equipment (2) Return it for revision, returning a maintenance; copy to the submitter with brief de- (10) Security measures for access con- scriptions of the required revisions; or trol, including the vessel’s TWIC Pro- (3) Disapprove it, returning a copy to gram, designated passenger access the submitter with a brief statement of areas and employee access areas; the reasons for disapproval. (11) Security measures for restricted (d) A VSP may be submitted and ap- areas; proved to cover more than one vessel (12) Security measures for handling where the vessel design and operations cargo; are similar. (13) Security measures for delivery of (e) Each company or vessel, owner or vessel stores and bunkers; operator, that submits one VSP to (14) Security measures for moni- cover two or more vessels of similar de- toring; sign and operation must address vessel- (15) Security incident procedures; specific information that includes the (16) Audits and Vessel Security Plan physical and operational characteris- (VSP) amendments; and tics of each vessel. (17) Vessel Security Assessment (VSA) Report.

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(f) A plan that is approved by the Plan (VSP) to include the name and MSC is valid for 5 years from the date contact information of the new vessel of its approval. owner or operator and submit the affected portion of the VSP for review [USCG–2003–14749, 68 FR 39302, July 1, 2003, as amended at 68 FR 60515, Oct. 22, 2003; USCG– and approval in accordance with 2004–19963, 70 FR 74669, Dec. 16, 2005; USCG– § 104.410 of this part. 2013–0397, 78 FR 39173, July 1, 2013; USCG– (b) Audits. (1) The CSO or VSO must 2007–28915, 81 FR 57711, Aug. 23, 2016] ensure an audit of the VSP is performed annually, beginning no later § 104.415 Amendment and audit. than one year from the initial date of (a) Amendments. (1) Amendments to a approval and attach a letter to the Vessel Security Plan that are approved VSP certifying that the VSP meets the by the Marine Safety Center (MSC) applicable requirements of this part. may be initiated by: (2) The VSP must be audited if there (i) The vessel owner or operator; or is a change in the company’s or vessel’s (ii) The Coast Guard upon a deter- ownership or operator, or if there have mination that an amendment is needed been modifications to the vessel, in- to maintain the vessel’s security. The cluding but not limited to physical Coast Guard will give the vessel owner structure, emergency response proce- or operator written notice and request dures, security measures, or oper- that the vessel owner or operator pro- ations. pose amendments addressing any mat- (3) Auditing the VSP as a result of ters specified in the notice. The com- modifications to the vessel may be lim- pany owner or operator will have at ited to those sections of the VSP af- least 60 days to submit its proposed fected by the vessel modifications. amendments. Until amendments are (4) Unless impracticable due to the approved, the company owner or oper- size and nature of the company or the ator shall ensure temporary security vessel, personnel conducting internal measures are implemented to the satis- audits of the security measures speci- faction of the Coast Guard. fied in the VSP or evaluating its imple- (2) Proposed amendments must be mentation must: sent to the MSC at the address shown (i) Have knowledge of methods of in § 104.400(b) of this part. If initiated conducting audits and inspections, and by the company or vessel, owner or op- control and monitoring techniques; erator, the proposed amendment must (ii) Not have regularly assigned secu- be submitted at least 30 days before the rity duties; and amendment is to take effect unless the (iii) Be independent of any security MSC allows a shorter period. The MSC measures being audited. will approve or disapprove the proposed (5) If the results of an audit require amendment in accordance with § 104.410 amendment of either the VSA or VSP, of this part. the VSO or CSO must submit, in ac- (3) Nothing in this section should be cordance with § 104.410 of this part, the construed as limiting the vessel owner amendments to the MSC for review and or operator from the timely implemen- approval no later than 30 days after tation of such additional security completion of the audit and a letter measures not enumerated in the ap- certifying that the amended VSP proved VSP as necessary to address ex- meets the applicable requirements of igent security situations. In such this part. cases, the owner or operator must no- [USCG–2003–14749, 68 FR 39302, July 1, 2003; 68 tify the MSC by the most rapid means FR 41915, July 16, 2003, as amended at 68 FR practicable as to the nature of the ad- 60515, Oct. 22, 2003] ditional measures, the circumstances that prompted these additional meas- PART 105—MARITIME SECURITY: ures, and the period of time these additional measures are expected to be in FACILITIES place. (4) If the owner or operator has Subpart A—General changed, the Vessel Security Officer Sec. (VSO) must amend the Vessel Security 105.100 Definitions.

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