NVIC 03-03: MTSA implementation guidance for facilities

U.S. Department of Commandant 21 00 2" ST SW Homeland United States Coast Guard Washington DC 20593-0001 Staff Symbol: (CG-544) United States Phone: (202) 372-1 000 Coast Guard COMDTPUB P 16700.4 NVIC 03-03 Change 2 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 03-03, Change 2 Subj: CH-2 to 03-03, IMPLEMENTATION GUIDANCE FOR THE REGULATIONS MANDATED BY THE MARITIME TRANSPORTATION SECURITY ACT OF 2002 (MTSA) FOR FACILITIES Ref: (a) Title 33 Code of Federal Regulation, Part 101 (b) Title 33 Code of Federal Regulation, Part 105 (c) International Ship & Port Facility Security (ISPS) Code (d) Title 49 Code of Federal Regulation, Part 1520 (e) Navigation and Vessel Inspection Circular NO. 03-07 (f) Navigation and Vessel Inspection Circular NO. 10-04 (g) 46 USC 70103 (h) 46 USC 701 19 (i) Safe Port Act Message of 07 JUL 2007 (j)Maritime Transportation Security Act Facilities and the Chemical Facility Anti- Terrorism Standards (CFATS) Message -R26 1428 Dec 07 (k) Maritime Security Risk Assessment Model (MSRAM)

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — PURPOSE. This document revises Navigation and Vessel Inspection Circular (NVIC) No. 03-03,

Change 1. It is designed to provide fbrther clarity and guidance for the implementation of the maritime security regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA). This document also introduces the process of submitting security plans and security plan amendments by way of HOMEPORT, information regarding the new Transportation Worker Identification Credential (TWIC) rule and its applicability to regulated facilities and requirements of the Safe Port Act including scheduled and non-scheduled facility inspections. DISTRIBUTION -SDL NO. 150 A B C D E F G ,,H l l l l l l l l l l l l I I I I I I I I I I I I I NAVIGATION ANDVESSEL DVSPECTION CIRCULAR NO. 03-03, CH-2 This NVIC details Facility Security Plan implementation, the plan review process, provides guidance to successfully execute compliance inspections, adds information for guidance for the purposes of performing Facility Security Assessments, and provides clarification on the applicability of MTSA mandated regulations found in 33 CFR part 105.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — ACTION. Captains of the Port (COTP) and Officers in Charge, Marine Inspection (OCMI) are

encouraged to bring this circular to the attention of marine interests within their zones of responsibility. This circular will be distributed by electronic means only. It is available through HOMEPORT at http:lkomeport.usca.mil. Facility owners and operators are encouraged to use this circular as guidance in preparation for MTSA compliance inspections of their facilities by Coast Guard personnel and to examine the process of submitting facility security plan documents by way of HOMEPORT. It is also an aid to Coast Guard personnel and facility owner/operators in gaining the necessary information for the successful implementation of TWIC.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — DIRECTIVES AFFECTED. NVIC 03-03, Change 1 is superseded. Change 2 provides

additional clarity and guidance on the Final Rules on Maritime Security, 33 CFR Subchapter H, and the Maritime Transportation Security Act (MTSA) of 2002. Enclosures (1) & (2) were combined by placing the Plan Review Guidance Flowchart into Enclosure (2) and renaming it as Enclosure (1). An additional flowchart was added illustrating the use of H~MEPORTfor the submission of FSPs. Enclosures (3) and (4b) were removed to reflect the elimination of Stage 1 & Stage 2 reviews of Facility Security Plans. Enclosure (7) was updated to include the TWIC program, Safe Port Act 2006 requirements, and areas of emphasis for security spot checks. Enclosure (8) was added to provide guidance for those who perform security audits. Enclosure (10) was added regarding training standards of explosive dog teams. The remainder of NVIC 03-03 is unchanged. Enclosure (1 1) was added to provide guidance for those who perform only security spot checks.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — BACKGROUND. NVIC 03-03, Change I was published to assist COTP personnel as well as

owners and operators of affected facilities in complying with the maritime security regulations in , MTSA. Change 2 makes available information regarding ongoing amendments and clarifications in the implementation of the requirements found in 33 CFR 105, as a result of the mandates from Safe Port Act.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — DISCUSSION. Captain of the Port (COTP) personnel will conduct examinations of affected

facilities to determine compliance with 33 CFR 105 and their approval. Enclosure (7) MTSA Facility Compliance Guide and Enclosure (8) Facility Security Audits, provide detailed guidance for facility inspectors and outline specific performance criteria based on the regulatory requirements of 33 CFR 105. Once completed, examination checklists shall be treated as Sensitive Security Information (SSI) and handled accordingly. Enclosure (8), Facility Security Audits, was added to provide more in depth information for both facility ownerloperators and Coast Guard personnel regarding annual security audits. This enclosure describes the intent of the regulation and the purpose of performing an annual audit. It provides guidance for the process of performing and evaluating annual security audits. Included is a sample audit report form which may be used by an auditor to assist in the preparation and documentation of audit findings NAVIGATION AND VESSEL INSPECTION CIRCULAR NO.0 3-03, CH-2 As additional guidance and clarifications continue to be developed, the HOMEPORT website httr,:/homeport.uscg.milshould be regularly consulted for the most up-to-date policy guidance and information. MTSA regulations do not mandate specific equipment or procedures, but call for performance-based criteria to ensure the security measures are satisfactorily implemented at a facility. The MTSA Facility Compliance Guide, Enclosure (7), is designed to assess not only the facilities compliance with their approved FSP, but the adequacy of the FSP in addressing the performance criteria outlined in the regulations.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — INFORMATION SECURITY. Security assessments, security plans and their amendments contain

information that, if released to the general public, would compromise the safety or security of the port , and its users. This information is known as Sensitive Security Information (SSI), and the Transportation Security Administration (TSA) governs the handling of SSI materials through 49 CFR 1520, titled "Protection of Sensitive Security Information". These regulations allow the Coast Guard to maintain national security by sharing unclassified information with various vessel and facility personnel without releasing SSI to the public. Vessel and facility owners and operators must follow procedures stated in 49 CFR 1520 for the marking, storing, distributing, and destroying of SSI materials, which includes many documents that discuss screening processes and detection procedures. Under these regulations, only persons with a "need to know," as defined in 49 CFR 1520.1 1, will have access to security assessments, plans and amendments. Vessel and facility owners or operators must determine which of their employees have a need to know the provisions of the security plans and assessments and restrict dissemination of these documents accordingly. To ensure that access is restricted only to authorized personnel, SSI material will not be disclosed under the Freedom of Information Act (FOIA) for most circumstances. When SSI is released to unauthorized persons, a report must be filed with the Department of Homeland Security. Such unauthorized release is grounds for a civil penalty and other enforcement or corrective action.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — DISCLAIMER. While the guidance contained in this document may assist the industry, the public, the

Coast Guard, and other Federal and State agencies responsible for enforcing statutory and regulatory requirements, the guidance is not a substitute for applicable legal requirements, nor is it a rule. Thus, it is not intended to nor does it impose legally binding requirements on any party, including the Coast Guard, other Federal agencies, the States, or the regulated community.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — CHANGES. This NVIC will be posted on the HOMEPORT at htt~://homeport.usca.mil. Changes to

this circular will be issued as necessary. Time-sensitive amendments will be issued as "urgent change" messages by ALDIST/ALCOAST and posted on the website for the benefit of industry, pending their inclusion in the next change to this circular.

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATION. Environmental considerations

were examined in the development of this manual and have been determined to be not applicable NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 03-03, CH-2

Ch-2 to 03-03, Implementation guidance for the regulations mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities. — FORMSIREPORTS. None.

/ AMES A.

WATSON x Rear Admiral, U.S.

Coast Guard Director of Prevention Policy Encl: Navigation and Vessel Inspection Circular No. 03-03, Change 2 NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2 IMPLEMENTATION GUIDANCE FOR THE REGULATIONS MANDATED BY THE MARITIME TRANSPORTATION SECURITY ACT OF 2002 (MTSA) FOR FACILITIES TABLE OF CONTENTS Enclosure (1) – MTSA Facility Security Plan (FSP) Implementation Process Methodology 1.1 Enclosure Contents .........................................................................................................1-1 1.2 Facility Security Plan (FSP) Review Process – General ................................................ 1-1 1.3 FSP Submissions ............................................................................................................ 1-1 1.4 Review of FSPs .............................................................................................................. 1-1 1.5 COTP Review and Approval of FSPs ............................................................................ 1-2 1.6 Implementation of Inspection Cycles ............................................................................ 1-3 1.7 Enforcement Strategies – Plan Submission ................................................................... 1-3 Addendum (1) – FSP, Submission, Review Approval, Denial Chart .................................. 1-5 Addendum (2) – Homeport FSP Submission, Review, Approval, Denial Chart ................ 1-6 Addendum (3) – Examples of Major and Minor Deficiencies ............................................... 1-7 Enclosure (2) – General Guidance for FSP Preparers and Reviewers 2.1 Security Administration and Organization of the Facility ............................................. 2-1 2.2 Personnel Training ......................................................................................................... 2-1 2.3 Drills and Exercises ....................................................................................................... 2-1 2.4 Records and Documentation .......................................................................................... 2-1 2.5 Response to Change in MARSEC Level ....................................................................... 2-1 2.6 Communications ............................................................................................................ 2-1 2.7 Procedures for Interfacing with Vessels ........................................................................ 2-1 2.8 Declaration of Security (DoS) ........................................................................................ 2-1 2.9 Security Systems and Equipment Maintenance ............................................................. 2-1

2.10 Security Measures for Access Control, including designated public access areas ........ 2-2 2.11 Security Measures for Restricted Areas ......................................................................... 2-2 2.12 Security Measures for Handling Cargo .......................................................................... 2-2 2.13 Security Measures for Delivery of Vessel Stores and Bunkers ..................................... 2-2 2.14 Security Measures for Monitoring ................................................................................. 2-2 2.15 Security Incident Procedures ......................................................................................... 2-2 2.16 Audit and Security Plan Amendments ........................................................................... 2-2 i NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2 2.17 Facility Security Assessment (FSA) Report ................................................................... 2-2 2.18 Facility Vulnerability and Security Measures Summary (Form CG-6025) ................... 2-3 2.19 Additional Requirements for Passenger and Ferry Facilities ........................................... 2-3 2.20 Additional Requirements for Cruise Ship Terminals....................................................... 2-3 2.21 Additional Requirements for CDC Facilities................................................................... 2-3 2.22 Additional Requirements for Barge Fleeting Facilities ................................................... 2-3 Enclosure (3) – FSP Review Checklist for Preparers and Reviewers.................................. 3-1 Enclosure (4) – Sample Plan Review-Related Letters ........................................................... 4-1 Enclosure (5) – Additional Applicability Guidance............................................................... 5-1 Enclosure (6) – Sample Declaration of Security (DOS)......................................................... 6-1 Enclosure (7) – MTSA Facility Compliance Guide ............................................................... 7-1 Enclosure (8) – Facility Security Audits ................................................................................. 8-1 Enclosure (9) – Guidance for Submission of Alternative Security Programs, Equivalency and Waiver Requests .............................................................. 9-1 Enclosure (10) – Guidance for Training, Standards, and Auditing of Explosive Detection Dog Teams ................................................................................. 10-1 Enclosure (11) – USCG Facility Security Spot Check Guide ............................................. 11-1 ii