NVIC 04-02: Security for passenger vessels and terminals

NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 4 02 Subj: SECURITY FOR PASSENGER VESSELS AND PASSENGER TERMINALS Ref: (a) Title 33 CFR part 120 and 33 CFR part 128 (b) Marine Safety Manual Vol. VII, Port Security, COMDTINST M16000.12 (Series) (c) International Maritime Organization MSC/Circ. 443, "Measures to Prevent Unlawful Acts Against Passengers and Crews On Board Ships"

Security for passenger vessels and passenger terminals. — PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) establishes new guidelines for developing security plans and implementing security measures for passenger vessels and passenger terminals that must comply with 33 CFR part 120 and 33 CFR part 128. These guidelines accompany and interpret the requirements in current regulations and are for use in achieving the appropriate level of security for passenger vessels and passenger te

1. PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) establishes new guidelines for developing security plans and implementing security measures for passenger vessels and passenger terminals that must comply with 33 CFR part 120 and 33 CFR part 128. These guidelines accompany and interpret the requirements in current regulations and are for use in achieving the appropriate level of security for passenger vessels and passenger terminals per ref (a), (b), and (c).

Security for passenger vessels and passenger terminals. — ACTION.

a. Owners and operators of passenger vessels and/or passenger terminals who must comply with 33 CFR part 120 and 33 CFR part 128 should revise their security programs to reflect the security measures and performance standards identified in enclosure (1). Security plans should be amended within 30 days of the publication date for this NVIC. Commanding Officers of Marine Safety Offices, Captains of the Port (COTPs) and the Commanding Officer Marine Safety Center may extend the amendment date to allow for adequate time for proper notification, however the amendment date should not be extended more than 60 days past the publication date. b. Commanding Officers of Marine Safety Offices, COTPs and the Commanding Officer Marine Safety Center should utilize the guidelines in this circular when examining security programs required by 33 CFR part 120 and 33 CFR part 128. COTPs are directed to validate vessel plan arrangements upon approval by the MSC. 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/index.htm. c. Enclosure (1) to this NVIC contains Sensitive Security Information (SSI), which is controlled under the provisions of 49 CFR Part 1520. A public version of enclosure (1) that does not contain SSI material will be available for viewing or download from the US Coast Guard's Internet site. The SSI material in enclosure (1) will be distributed separately via electronic means to the Area(m), District(m), COTPs, the Commanding Officer Marine Safety Center, and the Commanding Officer of the Marine Safety Center. Members of the maritime industry, members of federal, state, or local law enforcement, and other parties that can demonstrate a need to know may submit a written request for the SSI material to the cognizant COTP, the Commanding Officer Marine Safety Center, or Commandant (G-MP). Written requests for this information must contain the following statement: "I ACKNOWLEDGE THAT SSI MATERIAL SHALL NOT BE RELEASED WITHOUT THE WRITTEN PERMISSION OF THE UNDER SECRETARY OF TRANSPORTATION FOR SECURITY, WASHINGTON, DC 20590. FURTHER, I ACKNOWLEDGE THAT THE UNAUTHORIZED RELEASE OF SSI MATERIAL MAY RESULT IN CIVIL PENALTY OR OTHER LEGAL ACTION."

Security for passenger vessels and passenger terminals. — DIRECTIVES AFFECTED. COMDTPUB P16601, NVIC 3-96, CH-1 is canceled. Marine Safety Manual Vol. VII, Port Security, COMDTINST M16000.12, Section 2-C.1.b, "Physical Security Assessments," and Section 2-D, "Physical Security Standards" remain in effect, but will be revised in the future to reflect the information contained in this NVIC.

DIRECTIVES AFFECTED. COMDTPUB P16601, NVIC 3-96, CH-1 is canceled. Marine Safety Manual Vol. VII, Port Security, COMDTINST M16000.12, Section 2-C.1.b, "Physical Security Assessments," and Section 2-D, "Physical Security Standards" remain in effect, but will be revised in the future to reflect the information contained in this NVIC.

Security for passenger vessels and passenger terminals. — BACKGROUND.

a. The September 11, 2001 terrorist attacks on the United States demonstrated the ability of international terrorists to attack the U.S. Through existing regulatory and industry requirements, the cruise ship industry was better prepared than other segments of the maritime industry, but the response to the threat showed improvements are necessary. This NVIC builds upon the pre- September 11 standards and provides a more comprehensive security program to protect against future threats. b. This NVIC is a compilation of the existing regulations, NVIC 3-96, Change 1, and the International Maritime Organization's Maritime Safety Committee Circular 443, "Measures To Prevent Unlawful Acts Against Passengers and Crews On Board Ships" [reference (c)]. It is intended to serve as a single point of information for developing, implementing, and evaluating security programs required by 33 CFR part 120 and 33 CFR part 128. c. This NVIC renames and redefines the existing security levels, adds a fourth security level, identifies new definitions, and provides additional security measures with the expected performance standard for each measure. It elevates the baseline security standards to meet the threat of terrorism and sets consistent national security measures aboard passenger ships and passenger terminals.

Security for passenger vessels and passenger terminals. — DISCUSSION.

a. Enclosure (1) establishes guidance on the new national security standard for passenger vessels and terminals regulated under 33 CFR part 120 and 33 CFR part 128. The policy outlined in these guidelines addresses security gaps in the implementation of the current regulations. It would be unlikely for a COTP to require additional security measures for a passenger vessel and/or terminal regulated by either 33 CFR part 120 or 33 CFR part 128, unless that COTP is aware of a specific threat against a particular vessel, terminal or port complex. b. The guidelines provide examples of criteria that will be considered by the Coast Guard during review and examination of security programs required by 33 CFR part 120 and 33 CFR part 128. In evaluating compliance with these new guidelines, the Coast Guard may recognize equivalent standards or alternatives. As an example, the benefit that may be gained by having installed baggage-screening equipment removed from the vessel at each port may be minimal when compared to the damage incurred to the equipment. Other operational measures, such as maintaining the equipment in a minimally manned room, may achieve the desired results less intrusively. c. The U.S. is working closely with our international partners through the International Maritime Organization (IMO) to improve vessel, port, facility, and offshore platform security guidelines. A number of additional security measures are currently being considered by IMO, and may result in additional security requirements in the future.

Security for passenger vessels and passenger terminals. — APPLICABILITY.

a. Passenger Vessels: The guidance in the enclosures applies to all passenger vessels over 100 gross tons, carrying more than 12 passengers for hire; making voyages lasting more than 24 hours, any part of which is on the high seas; and for which passengers are embarked or disembarked in the United States or its territories. It does not apply to ferries that hold Coast Guard Certificates of Inspection endorsed for "Lakes, Bays, and Sounds", and that transit international waters for only short periods of time, on frequent schedules. b. Passenger Terminals: The guidance in the enclosures applies to all passenger terminals in the United States or its territories when being used for the assembling, processing, embarking, or disembarking of passengers or baggage for passenger vessels over 100 gross tons, carrying more than 12 passengers for hire; making a voyage lasting more than 24 hours, any part of which is on the high seas. It does not apply to terminals when serving ferries that hold Coast Guard Certificates of Inspection endorsed for "Lakes, Bays, and Sounds", and that transit international waters for only short periods of time, on frequent schedules.

Security for passenger vessels and passenger terminals. — PROCEDURES.

a. Passenger vessel/terminal owners should amend their plans to reflect security measures and performance standards in Enclosure (1). In accordance with the current plan review procedures, amended vessel security plans shall be submitted to the Commanding Officer of the Marine Safety Center for review; amended terminal plans shall be submitted to the cognizant Captain of the Port for review. b. To expedite the review process, the Coast Guard will review the plans in two stages. The preliminary review will ensure basic updates are completed to the plans. Enclosure (2) identifies those items that need to be addressed for an operator to receive preliminary approval. If a plan does not meet the items addressed in Enclosure (2), the plan must be returned for immediate correction. Once preliminary approval is completed, the plan holder will be allowed to operate pending final approval of the plan. c. Final approval will be completed pursuant to normal review procedures. Discrepancies identified during the final review should be returned for revision while providing adequate time for correction. The Marine Safety Center review process (Procedure H2-27) can be found at: http://www.uscg.mil/hq/msc/PRGuidance/h2-27.pdf. PAUL J. PLUTA ASSISTANT COMMANDANT FOR MARINE SAFETY, SECURITY & ENVIRONMENTAL PROTECTION Encl: (1) Detailed Security Guidelines (2) Interim Review Checklist