NVIC 03-07: TWIC Program implementation in the maritime sector

Commandant 2100 Second Street, S.W. United States Coast Guard Washington, DC 20593-0001 Staff Symbol: CG-3PCP Phone: (202) 372-1092 Fax: (202) 372-1906 COMDTPUB 16700.40 NVIC 03-07 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 03-07 Subj: GUIDANCE FOR THE IMPLEMENTATION OF THE TRANSPORTATION WORKER IDENTIFICATION CREDENTIAL (TWIC) PROGRAM IN THE MARITIME SECTOR Ref: a. Title 33 of the Code of Federal Regulations (33 CFR) Parts 101-106 b. Title 49 of the Code of Federal Regulations (49 CFR) Part 1515, 1540, 1570, and 1572 c. NVIC 03-03 Change 1 – Implementation of MTSA Regulations for Facilities d. NVIC 04-03 Change 2 – Verification of Vessel Security Plans for domestic vessels in accordance with MTSA Regulations and ISPS Code e. NVIC 05-03 – Implementation of MTSA Regulations for Outer Continental Shelf Facilities

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — PURPOSE. This Navigation and Inspection Circular (NVIC) provides guidance on implementation

of the Final Rule – Transportation Worker Identification Credential Implementation in the Maritime Sector; Hazardous Material Endorsement for a Commercial Driver’s License (72 FR 3492) (referred to as the TWIC rule) − which made major changes to 33 CFR Chapter I Subchapter H, 46 CFR Chapter I Subchapter B, and 49 CFR Chapter XII Subchapter D. The Transportation Worker Identification Credential (TWIC) will satisfy the requirement for a biometric credential as mandated by 46 U.S.C. § 70105, which was enacted by the Maritime Transportation Security Act of 2002 (MTSA) and then amended by the Security and Accountability For Every (SAFE) Port Act of 2006. The information in this NVIC details the enrollment and issuance process, provides guidance for successful execution of compliance requirements, provides clarification of the regulations found in references (a) and (b), and includes a more detailed discussion of the actions required by those regulations, with examples, to increase understanding and promote nationwide consistency. These guidelines are intended to help industry comply with the new regulations and the Coast Guard Captains of the Port (COTP) implement the TWIC Program.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — ACTION.

a.

The following individuals must obtain a TWIC (as stated in 46 U.S.C. § 70105): DISTRIBUTION – SDL No. 147 a b c d e f g h i j k l m n o p q r s t u v w x y z A B C D E F G H NON-STANDARD DISTRIBUTION: 1) All credentialed U.S. merchant mariners with active credentials (hereafter referred to as mariners).

This includes all persons holding a Coast Guard-issued Merchant Mariner License, Merchant Mariner Document, or Certificate of Registry; 2) Anyone allowed unescorted access to secure areas of U.S.-flagged vessels, facilities, and Outer Continental Shelf (OCS) facilities subject to 33 CFR Parts 104, 105, and 106 respectively (hereafter referred to as vessels and facilities); 3) A vessel pilot;1 4) All individuals working aboard towing vessels that push, pull or haul alongside tank vessels.2 b.

Vessel and facility owners/operators, mariners, and maritime transportation workers are encouraged to use this circular as guidance for the enrollment and receipt of TWICs. c.

Vessel and facility owners/operators are also encouraged to use this guidance to assist in ensuring that they meet TWIC Program requirements.

These include but are not limited to: informing personnel of TWIC responsibilities, escorting procedures, and management of access control.

This guidance will also assist in preparation for annual Coast Guard compliance inspections and spot checks of their vessels and facilities. d.

COTPs shall use this guidance in addition to Coast Guard internal direction to assist industry in implementing the TWIC Program and preparing for annual compliance inspections and spot checks of vessels and facilities. e.

COTPs are encouraged to bring this circular to the attention of maritime transportation interests within their COTP zones.

This circular will be distributed by electronic means only.

It is available on the World Wide Web at http://www.uscg.mil/hq/g-m/nvic/index00.htm. f.

The Marine Safety Center, COTPs, and district offices can use this guidance to review Vessel Security Plan (VSP) and Facility Security Plan (FSP) submissions.

Though no vessels are required to submit amendments to their VSP by the TWIC rule, some may choose to do so as allowed by reference (a).

The only facilities that are required to submit an amendment to their 1 Note: This population is incorporated into the requirement for all credentialed U.S.

Merchant Mariners to possess a TWIC and is not specifically addressed in the regulatory text of the TWIC final rule.

At this time, we have not extended this requirement to address the issue of non-Federal pilots (those few pilots holding only state commissions or credentials, who do not also hold a Federally-issued merchant mariner license or document).

The requirements of 46 U.S.C. 70105(b)(2)(C) [all vessel pilots] will be further addressed in a future notice and comment rulemaking.

Note: This population is incorporated into the requirement for all vessels subject to 33 CFR Part 104 to comply with TWIC and is not specifically addressed in the regulatory text of the TWIC final rule.

At this time, we have not extended this requirement to address the issue of all individuals working aboard non-Subchapter H regulated towing vessels that push, pull or haul alongside tank vessels (towing vessels less than or equal to eight meters in registered length and some larger towing vessels that meet the exemptions listed in 33 CFR 104.105).

The requirements of 46 U.S.C. 70105(b)(2)(D) [all towing vessels] will be further addressed in a future notice and comment rulemaking.

Navigation and Vessel Inspection Circular 03-07 FSP are those that have a significant non-maritime transportation portion and voluntarily desire to redefine their secure area.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — DIRECTIVES AFFECTED. This NVIC provides the guidance needed to implement the new TWIC

Program. The information contained herein supplements the guidance contained in previously issued MTSA NVICs and will be incorporated into references (c), (d), and (e) in the future.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — BACKGROUND.

a. 46 U.S.C. § 70105, which was enacted by the MTSA, requires the Secretary of DHS to promulgate regulations to prevent an individual from gaining access to a secure area of a vessel or facility which has a security plan unless he/she is authorized to be in the area and holds a “transportation security card” or he/she is “accompanied by another individual who holds a transportation security card.” The law further states who must comply (as listed in Action above), that the individual must be determined not to pose a terrorism security risk, and general requirements for how the terrorism security risk determination must be made.

The TWIC regulations were developed from this law. b.

The TWIC rule, which amended the regulations found in references (a) and (b), requires standardized identification procedures for personnel needing unescorted access to secure areas of facilities and vessels in order to reduce risk and mitigate the effects of a transportation security incident (TSI).

This is a joint rulemaking with the Transportation Security Administration (TSA) and the Coast Guard.

Reference (a) includes the Coast Guard portions of the TWIC rule and reference (b) includes the TSA portions of the rule. c.

The TWIC Program aims to ensure that only persons who successfully undergo a security threat assessment are able to receive a TWIC.

The credential will include a reference biometric - fingerprint template that positively links the credential holder to the identity of the individual to whom the credential was issued.

TWIC holders will be required to choose and remember a Personal Identification Number (PIN).

TWIC holders will be asked by a vessel or facility owner/operator to produce the TWIC before being granted unescorted access or during Coast Guard inspections or spot checks.

In addition, an individual’s credential can be revoked by TSA if disqualifying information is discovered by, or presented to, TSA or if the credential is lost, stolen, or damaged.

Once revoked, the credential should not be used to obtain unescorted access to secure areas.

While an owner/operator is not currently required to verify if a TWIC is revoked, if he/she has knowledge that a TWIC is revoked, that TWIC cannot be accepted for unescorted access.

TSA has designed the TWIC process to maintain strict privacy controls so that a holder’s biographic and biometric information are securely protected. d.

The Coast Guard and TSA are currently conducting screening of facility employees and longshoremen, known as the interim vetting program, pursuant to a Federal Register Notice on April 28, 2006.

For this program, facility operators and longshore unions have submitted names of employees and long-term contractors for vetting through select Federal databases.

We anticipate that this requirement will continue to be in force until TWIC initial enrollment has been completed.

A Federal Register notice will be published when this program is cancelled.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — DISCUSSION.

a.

Vessels and facilities must be in compliance with the TWIC regulations as discussed in paragraphs 6 b., c., and d. below, but in no case later than September 25, 2008, , which is 20 months after the publication date of the final rule.

A detailed implementation plan is contained in Enclosure (5) to this NVIC. b.

The regulations implementing TWIC require that the TWIC be used initially as a visual identification badge.

This means that for normal use at a vessel or facility, the holder’s facial features will be compared to the photo imprinted on the card, the expiration date will be checked, and the unique identifying surface features of the card will be examined for signs of tampering to identify fraudulent or altered cards.

This type of use is more commonly known as a “flash pass”, and is the method that is currently used for checking identification as required by reference (a).

During Coast Guard inspections and spot checks, handheld biometric readers will be used to electronically verify that the card is valid (e.g. has not been revoked) and to match the individual to the biometric template stored on the card. c.

Possession of a TWIC is required for an individual to be eligible for unescorted access to secure areas of vessels and facilities.

The term “secure area” is defined as “the area over which the owner/operator has implemented security measures for access control in accordance with their security plan.” The terms “secure area” and “restricted area” have different definitions and purposes.

Regulations at 33 CFR 101.105 define restricted area as “a location requiring a higher degree of security protection” which is used in a number of regulatory requirements.

A secure area covers a broader space encompassing restricted areas and includes everything within an access control boundary, as defined in existing security plans.

For vessels, the secure area encompasses the entire vessel, with a few exceptions such as passenger access areas and employee access areas.

For facilities, the secure area encompasses the entire facility footprint as described in their currently approved facility security plan, with the exception of public access areas and those facilities with significant non-maritime transportation portions who submit an amendment to redefine their secure area.

All of these provisions are explained in Enclosure (3)

(section 3.3 b). d.

An individual with a TWIC who is authorized to be in a secure area by the vessel or facility owner/operator is not required to be escorted.

An individual who does not have a TWIC must be escorted.

Individuals covered under the new hire provision must be accompanied, as opposed to escorted, as explained in Enclosure (3) (section 3.3 h (3)(d)). e.

Company, vessel, and facility security officers and company, vessel, and facility personnel responsible for security duties are required by regulation to obtain a TWIC.

We expect that individuals who frequently access secure areas in the course of their employment will obtain TWICs.

These populations include: non-credentialed mariners in vessel crew; longshoremen; drayage truckers; facility employees who work in a secure area; truckers bringing cargo onto a facility or picking up cargo at a facility; surveyors; agents; chandlers; port chaplains; and other maritime professionals.

This list is not exhaustive and other populations may be included.

Casual laborers who frequently access secure areas in the course of their employment would also be expected to obtain a TWIC.

Casual laborers who only occasionally access secure areas and Navigation and Vessel Inspection Circular 03-07 therefore do not have a TWIC would need to be escorted.

Additional details are provided in Enclosure (2) (section 2.1). f.

Escort requirements differ within secure areas depending on whether the area is also a restricted area or not.

An individual not in possession of a TWIC who is authorized escorted access to a restricted area requires physical, side-by-side accompaniment by a TWIC holder.

An individual not in possession of a TWIC who is authorized escorted access by the vessel or facility owner or operator to a secure area that is not also a restricted area requires monitoring in a manner sufficient to identify whether the individual is engaged in activities other than those for which escorted access was granted and that allows for quick response.

Additional details are provided in Enclosure (3) (section 3.3 c). g.

Newly hired employees (new hires) are able to gain accompanied access to secure areas for up to 30 consecutive days while awaiting issuance of their TWIC, with an additional 30 days at COTP discretion.

Owners/operators must complete additional steps before new hires may be granted accompanied access.

Additional details on this provision are provided in Enclosure (3) (section 3.3 h(1)). h.

Two non-secure areas have been carved out of the secure area for vessels: the passenger access area and the employee access area.

Within these areas, individuals will not be required to possess a TWIC to be eligible for unescorted access.

The rest of the vessel remains a secure area for which a TWIC is required for unescorted access.

Additional details are provided in Enclosure (3) (section 3.5 b). i.

The TWIC may be incorporated into existing physical access control systems.

If this is done individuals must still always have their TWIC in their possession or readily available and the existing systems should be updated so that they deny access when the TWIC expires or if the TWIC holder no longer requires unescorted access to a secure area.

Additional details on this provision are provided in Enclosure (3) (section3.3 f). j.

Amplification of the knowledge requirements for Company, Vessel, and Facility Security Officers, for personnel with security duties, and for all other personnel is provided in Enclosure

(3) (section 3.3 g). k. If an individual’s TWIC is lost, stolen, or damaged, unescorted access to secure areas may be granted for seven consecutive calendar days while the individual awaits a replacement. Additional steps must be completed by both the individual and the Company Security Officer

(CSO), Vessel Security Officer (VSO), or Facility Security Officer (FSO). These additional details are provided in Enclosure (3) (section 3.3 h (2)). l. All vessel personnel may apply for a TWIC at any enrollment center at any time during the 18 month implementation period, but they all must obtain a TWIC to be eligible for unescorted access to secure areas by September 25, 2008. Until this date, all mariners will be eligible for unescorted access to secure areas of facilities by providing alternative identification, in lieu of a TWIC. The list of alternative identifications and additional details on this provision are provided in Enclosure (3) (section 3.3 h (3)). m. Area Maritime Security (AMS) Committee members are not required to obtain a TWIC. However, if they have access to Sensitive Security Information (SSI), they will be required to undergo name-based security checks if they do not already possess a TWIC. Additional details are provided in Enclosure (3) (section 3.3 i). n. Owners or operators of facilities containing both a maritime transportation portion and a non- maritime transportation portion, such as areas devoted to manufacturing or refining operations, may voluntarily request a redefinition of their secure area through an amendment to their FSP. COTPs will review and approve these amendments, as appropriate. Additional details on this option are provided in Enclosure (3) (section 3.4). o. The preamble to the TWIC rule provides additional information regarding the intent of the regulations and is available on the Coast Guard’s Homeport website under the Missions/Maritime Security/TWIC heading at http://homeport.uscg.mil.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — IMPLEMENTATION.

a. Enrollment and issuance of the TWIC will be carried out by TSA. Enforcement of the TWIC as an access control measure in the maritime sector will be carried out by the Coast Guard. TWIC enrollment will begin in selected ports and will expand nationwide to provide ample opportunity for individuals to apply for and receive their TWIC. The requirement to use the TWIC as an access control credential will be based on location and type of operation as explained below. b. Compliance with this rule for facilities will be phased in by COTP zone in accordance with the following process:

(1) A notice will be published in the Federal Register to announce when enrollment begins in each COTP zone.

(2) A notice of the compliance date for each COTP zone will be published in the Federal Register. Each notice will be published at least 90 days in advance of the compliance date for its respective COTP zone. In addition, COTPs and the TWIC enrollment contractor will work with port stakeholders to provide notice of the compliance date. This notice may be published in conjunction with the notice which announces the beginning of enrollment.

(3) The published compliance date will be the day that all facilities within the specific COTP zone must be in compliance with the requirements in the TWIC rule. It is also the day that Coast Guard enforcement within that COTP zone may begin. In no case will the compliance date be later than September 25, 2008 in any COTP zone.

(4) A rollout plan, describing implementation across all COTP zones, is provided in Enclosure

(5).

(5) The Coast Guard and TSA will also work with AMS Committees and other local forums to communicate compliance dates, enrollment center locations, and other vital information to maximize the availability of this information to stakeholders. Navigation and Vessel Inspection Circular 03-07 c. Compliance for OCS facilities is no later than September 25, 2008. Federal Register notices for enrollment dates will be published for port areas as described above. OCS facility employees requiring TWICs should apply while centers are open in their local areas, despite the later compliance date. d. Compliance with this rule for vessels is no later than September 25, 2008. On this date, all individuals must present a TWIC to be eligible for unescorted access to secure areas of vessels. e. Also by September 25, 2008, all mariners will be required to hold a TWIC in order for their license, MMD, COR, or STCW endorsement to remain valid. Until then, if the vessel or facility has started TWIC compliance and enforcement, mariners may present an alternate identification to be eligible for unescorted access to secure areas of the vessel or facility. Alternative mariner identifications are listed along with additional details in Enclosure (3) (section 3.3 h (3)). f. A vessel or facility not implementing a TWIC Program after the published compliance dates is subject to civil penalty action and may be subject to additional control and compliance measures, including suspension of facility or vessel operations [see Enclosure (4)]. g. Enclosure (1) is a TSA flowchart of the TWIC enrollment and issuance process. h. Enclosure (2) is a TSA publication that provides more detail and guidance for the enrollment and issuance process. i. Enclosure (3) provides guidance on facility and vessel implementation. j. Enclosure (4) provides guidance on enforcement of the TWIC requirements. k. Enclosure (5) is the implementation schedule for enrollment nationwide.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — INFORMATION SECURITY. TWIC credentials and associated databases contain sensitive

personal information that, if released to the general public or improperly accessed or used by personnel executing their official duties, could compromise the privacy of an individual. This information shall be protected under the requirements of the Privacy Act, 5 U.S.C. 552a.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — DISCLAIMER. While the guidance contained in this document may assist the industry, the public,

the Coast Guard, and other Federal and State agencies in understanding the TWIC statutory and regulatory requirements, this guidance is not a substitute for the applicable legal requirements, nor is it in itself a regulation. 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.

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — CHANGES. This NVIC will be posted on the web at www.uscg.mil/hq/g-m/nvic/index00.htm and

Homeport at http://homeport.uscg.mil. Changes to this circular will be issued as necessary. Time- sensitive amendments will be issued as “urgent change” messages to COTPs and posted on the website for the benefit of industry, pending their inclusion in the next change to this circular. Suggestions for improvement of this circular should be submitted in writing to Commandant (CG-3PC).

Guidance for the implementation of the Transportation Worker Identification Credential (TWIC) Program in the Maritime Sector. — FORMS AND REPORTS. None.

Encl: (1) TWIC Enrollment and Issuance Process Flowchart (2) Enrollment and Issuance Process Description (3) TWIC Program Implementation for Vessels and Facilities (4) Enforcement Guidance (5) Implementation Schedule