NVIC 04-03: Verifying vessel security officer qualifications guidance

Last reviewed: October 14, 2026

NVIC 04-03, Change 3 is Coast Guard guidance on documentary evidence that a Vessel Security Officer (VSO) has met qualification and training requirements. It revises enclosure (3) and the Table of Contents. It is guidance, not a rule.

Applies toThe text addresses vessel owners, operators, and masters, and asks Coast Guard Captains of the Port and Officers in Charge, Marine Inspection to share the circular with marine interests.

What it says

This change gives guidance on the acceptable documentary evidence that a person serving as a Vessel Security Officer (VSO) has met the qualification requirements in 33 CFR 104.215 and the ISPS Code training requirements.
“provides guidance on the acceptable documentary evidence to show that an individual serving as a Vessel Security Officer (VSO) has met the qualification requirements in 33 CFR 104.215”
Vessel owners, operators, and masters should become familiar with the documentary evidence needed to show compliance with the vessel security officer requirements.
NVIC 04-03 a.“Vessel owners, operators, and masters should become familiar with the documentary evidence necessary to show compliance with the requirements for vessel security officers.”
The circular is encouraged to be brought to the attention of marine interests by Coast Guard Captains of the Port (COTP) and Officers in Charge, Marine Inspection (OCMI).
NVIC 04-03 b.“Coast Guard Captains of the Port (COTP) and Officers in Charge, Marine Inspection (OCMI) are encouraged to bring this circular to the attention of marine interests”
The revised circular clarifies for marine inspectors which documentation may be accepted to confirm that VSO qualifications meet 33 CFR 104.215 and the ISPS Code training requirements.
NVIC 04-03 a.“provides marine inspectors with clarification on the documentation that may be accepted to confirm that the qualifications of the VSO meet the requirements”
The VSP must contain information on the VSO qualifications, as required in 33 CFR 104.405 and the ISPS Code.
NVIC 04-03 b.“The VSP must contain information on the VSO qualifications, as required in 33 CFR 104.405 and the ISPS Code.”
This circular revises NVIC 04-03, enclosure (3), by amending section 9, adding a new section 28, and adding a new section 31.
NVIC 04-03 c.“this circular revises NVIC 04-03, enclosure (3), by amending section 9 - Vessel Security Officer (VSO), adding a new section 28 – Vessel Security Plan, and adding a new section 31”
The guidance is not a rule and does not impose legally-binding requirements, and an alternative approach may be used if it satisfies the applicable statutes and regulations.
“You can use an alternative approach for complying with these requirements if the approach satisfies the requirements of the applicable statutes and regulations.”

Common questions

What does NVIC 04-03 Change 3 cover?

It gives guidance on acceptable documentary evidence that a Vessel Security Officer has met the qualification requirements in 33 CFR 104.215 and the ISPS Code training requirements.

“provides guidance on the acceptable documentary evidence to show that an individual serving as a Vessel Security Officer (VSO) has met the qualification requirements in 33 CFR 104.215”

Is NVIC 04-03 a binding regulation?

No. The text says it is not itself a rule and does not impose legally-binding requirements on any party.

“It is not intended to nor does it impose legally-binding requirements on any party.”

Must the vessel security plan include VSO qualifications?

Yes. The text says the VSP must contain information on the VSO qualifications, as required in 33 CFR 104.405 and the ISPS Code.

“The VSP must contain information on the VSO qualifications, as required in 33 CFR 104.405 and the ISPS Code.”

Where is NVIC 04-03 Change 3 available?

It is distributed by electronic means only and is available on the HOMEPORT internet website at http://homeport.uscg.mil.

“This circular will be distributed by electronic means only.”

The text of NVIC 04-03

U.S. Coast Guard, NVIC 04-03 (main body; enclosures not shown)

Ch-3 to 04-03, Guidance for verification of vessel security plans on domestic vessels in accordance with the regulations mandated by the Maritime Transportation Security Act (MTSA) Regulations and International Ship & Port Facility Security (ISPS) code.

Commandant 2100 Second Street SW U n it e d S t a te s C o a s t G u a rd W a s h i n g t o n , D C 20593-0001 Staff Symbol: CG-543 Phone: 202-372-1224 Facsimile: 202-372-1918 fldr-g-pcv@comdt.uscg.mil COMDTPUB 16700.4 NVIC 04-03, CH-3 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 04-03, CHANGE 3 Subj: CH-3 to GUIDANCE FOR VERIFICATION OF VESSEL SECURITY PLANS ON DOMESTIC VESSELS IN ACCORDANCE WITH THE MARITIME TRANSPORTATION SECURITY ACT (MTSA) REGULATIONS AND INTERNATIONAL SHIP & PORT FACILITY SECURITY (ISPS) CODE Ref: (a) 33 CFR Part 101 (b) 33 CFR Part 104 (c) International Ship & Port Facility Security (ISPS) Code

provides guidance on the acceptable documentary evidence to show that an individual serving as a Vessel Security Officer (VSO) has met the qualification requirements in 33 CFR 104.215 and the training requirements in the International Ship and Port Facility Security (ISPS) Code.

a. Vessel owners, operators, and masters should become familiar with the documentary evidence necessary to show compliance with the requirements for vessel security officers. b. Coast Guard 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 on the HOMEPORT internet website at: http://homeport.uscg.mil. DISTRIBUTION – SDL No. 141 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 8 * 5 150 1 1 2 5 C * * D 1 2 1* 1 1* * E 2 * F 1 1 G H NON-STANDARD DISTRIBUTION: See Page 3 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 04-03, CHANGE 3

NVIC 04-03, Change 3 Table of Contents. Also, remove NVIC 04-03, enclosure (3), and insert NVIC 04-03, Change 3, enclosure (3).

assist the Coast Guard and industry in complying with the requirements for developing and submitting a VSP. The focus of the original circular was to assist in the development of a VSP. NVIC 04-03, Change 1 provided the Domestic Vessel Security Plan Verification Guide for MTSA/ISPS Code and provided additional policy guidance. NVIC 04-03, Change 2 provided additional guidance regarding Ship Security Alert Systems (SSAS) and vessel audit procedures.

a. This revised circular provides marine inspectors with clarification on the documentation that may be accepted to confirm that the qualifications of the VSO meet the requirements set out in 33 CFR 104.215 and the training requirements in the International Ship and Port Facility Security (ISPS) Code. b. The VSP must contain information on the VSO qualifications, as required in 33 CFR 104.405 and the ISPS Code. c. To provide guidance on the verification process of ensuring a VSO has met the qualification requirements in 33 CFR 104.215, this circular revises NVIC 04-03, enclosure (3), by amending section 9 - Vessel Security Officer (VSO), adding a new section 28 – Vessel Security Plan, and adding a new section 31 – Format of the Vessel Security Plan. d. This circular also updates NVIC 04-03 Table of Contents to reflect new sections 28 and 31 of the revised enclosure (3) to NVIC 04-03. e. We have also revised NVIC 04-03, Change 3, enclosure (3) by correcting non-substantive inconsistencies and/or grammatical errors.

itself a rule. It is not intended to nor does it impose legally-binding requirements on any party. It represents the Coast Guard’s current thinking on this topic and may assist industry, mariners, the general public, and the Coast Guard, as well as other federal and state regulators, in applying statutory and regulatory requirements. You can use an alternative approach for complying with these requirements if the approach satisfies the requirements of the applicable statutes and regulations. If you want to discuss an alternative approach (you are not required to do so), you may contact the vessel security program manager at the office of vessel activities who is responsible for implementing this guidance.

NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 04-03, CHANGE 3

improvements to this Circular should be submitted in writing to Commandant (CG-5431) at the address specified in the header on the first page. Enclosures: (1) CH-3 to Navigation and Inspection Circular 04-03 Table of Contents

(2) CH-3 to Navigation and Inspection Circular 04-03 Enclosure (3) Discussion of Specific Requirements of 33 CFR 104 Non-Standard Distribution: DOJ Torts Branch (Washington, DC; New York; San Francisco only) (1) MARAD (MRG 4700) (1) MSC (M-24) (1) NOAA Fleet Inspector (1) NTSB (Marine Accident Division) (1) World Maritime University (1) U.S.

Merchant Marine Academy, Kings Point, NY (1) State University of New York Maritime College (1) California Maritime Academy (1) Maine Maritime Academy (1) Massachusetts Maritime Academy (1) Table of Contents Guidance for Verification of Vessel Security Plans on Domestic Vessels in Accordance with the Regulations Mandated by the Maritime Transportation Security Act (MTSA) of 2002 and International Ship and Port Facility Security (ISPS) Code Enclosure (1) Plan Review Guidance Overview.......................................................................................................................................1 Vessel Security Plan Review........................................................................................................2 How Vessel Security Plans Will Be Triaged/Prioritized for Review...........................................3 Alternatives to Facilitate VSP Review by MSC...........................................................................3 Option to Submit One VSP for Multiple Similar Type Vessels...................................................4 Vessels Operating under an Approved Alternative Security Program (ASP)..............................5 Submission of Plans for Foreign Vessels Subject to SOLAS.......................................................3 Enclosure (2) 33 CFR 104: General Policy Discussion 1.

Overview.................................................................................................................................2 2.

Verification Process................................................................................................................3 3.

Verification Cycle...................................................................................................................4 4.

Verification Personnel............................................................................................................5 5.

Deficiencies.............................................................................................................................5 6.

Documentation........................................................................................................................6 7.

Appeals...................................................................................................................................7 8.

International Voyages.............................................................................................................7 Uninspected Towing Vessel (UTV) Examination Report......................................................8 Enclosure (3) Discussion of Specific Requirements of 33 CFR 104 1.

Instructions for Using the Guide.............................................................................................2 2.

Compliance Documentation....................................................................................................2 3.

Non-compliance......................................................................................................................4 4.

Waivers...................................................................................................................................4 5.

Equivalents..............................................................................................................................5 6.

Alternative Security Programs................................................................................................5 7.

Maritime Security (MARSEC) Directive...............................................................................6 8.

Company Security Officer (CSO)...........................................................................................7 9.

Vessel Security Officer (VSO)...............................................................................................8 10.

Company and Vessel Personnel with Security Duties............................................................8 11.

Security Training for all Other Vessel Personnel...................................................................9 12.

Drill and Exercise Requirements............................................................................................9 13.

Vessel Record Keeping Requirements..................................................................................10 14.

Maritime Security (MARSEC) Level Coordination and Implementation............................10 15.

Communications...................................................................................................................11 16.

Declaration of Security.........................................................................................................11 17.

Security Systems and Equipment Maintenance....................................................................12 CH-3 i 18.

Security Measures for Access Control..................................................................................12 19.

Security Measures for Restricted Areas................................................................................12 20.

Security Measures for Handling Cargo.................................................................................13 21.

Security Measures for Delivery of Vessel Stores and Bunkers............................................13 22.

Security Measures for Monitoring........................................................................................14 23.

Security Incident Procedures................................................................................................14 24.

Additional Requirements – Passenger vessels and Ferries...................................................15 25.

Additional Requirements – Cruise Ships..............................................................................15 26.

Additional Requirements – Vessels on International Voyages.............................................16 27.

Assessment............................................................................................................................16 28.

Vessel Security Plan………………………………………………………………………..16 29.

Amend and Audit..................................................................................................................17 30.

Ship Security Alert System (ISPS) Only..............................................................................18 31.

Format of the Vessel Security Plan (VSP)............................................................................18 Enclosure (4) Excerpts of the Preamble of 33 CFR 104 1.

Introduction.............................................................................................................................2 2.

Index.....................................................................................................................................14 Enclosure (5) Ship Security Alert Systems 1.

Introduction.............................................................................................................................2 2.

Definitions...............................................................................................................................3 3.

Compliance Dates...................................................................................................................4 4.

Voluntary Compliance............................................................................................................4 5.

Competent Authority..............................................................................................................4 6.

Submission of System Details for Appraisal..........................................................................5 7.

Installation of SSAS aboard SOLAS Vessels.........................................................................6 8.

System Requirements..............................................................................................................6 9.

Equipment Registration..........................................................................................................8 10.

Ship Security Alerts Messages................................................................................................8 11.

Ship Security Alert Follow Up Reports..................................................................................7 12.

Inadvertent Ship Security Alerts.............................................................................................8 13.

Communications Service Providers........................................................................................8 14.

SSAS Inspection and Testing..................................................................................................9 Enclosure (6) Guidance for Submission of Alternative Security Program (ASP), Waivers and Equivalencies 1.

Introduction.............................................................................................................................2 2.

General Guidance....................................................................................................................2 3.

ASP Application Requirements..............................................................................................3 4.

Action Upon Receipt of an ASP Submission.........................................................................3 5.

ASP Compliance.....................................................................................................................5 6.

Equivalency and Waiver Application Requirements..............................................................5 7.

Action Upon Receipt of a Waiver or Equivalency Request...................................................6 CH-3 ii Enclosure (7) Domestic Vessel Security Plan Verification Guide For MTSA/ISPS Code 1.

Introduction.............................................................................................................................4 2.

Section A: Certificates/Equipment Data/ Records Information..............................................5 3.

Section B: U.S.

Flag Vessel MTSA/ISPS Code Exam Booklet.............................................6 4.

Section C: Additional Information........................................................................................11 5.

Glossary of Terms/Acronyms...............................................................................................18 Enclosure (8) Additional Policy Guidance 1.

Introduction.............................................................................................................................2 2.

Plan Submission......................................................................................................................2 3.

Plan Review............................................................................................................................2 4.

Certificates and Verification Examinations for U.S.

Flagged Vessels Subject to SOLAS Chapter XI-2 And ISPS.............................................................................................3 5.

Compliance Documentation for U.S.

Flagged Vessels Operating Domestically...................4 6.

Enforcement Philosophy.........................................................................................................5 7.

Enforcement Cycle and Control Actions for U.S.

Flagged Vessels that Operate Domestically...........................................................................................................................7 8.

Suspending Operations...........................................................................................................9 9.

Intermittent Operations...........................................................................................................9 10.

Declaration of Security (DoS) Applicability and Interfacing with Non-Compliant Foreign Ports.........................................................................................................................10 11.

Statements of Voluntary Compliance (SOVC).....................................................................13 12.

Continuous Synopsis Record (CSR).....................................................................................13 13.

Ship Identification Number (SIN)........................................................................................14 14.

Checking Identification and Performing Passenger, Baggage, Vehicle Screening..............14 Enclosure (9) Guidance for Conducting Security Audits 1.

Vessel Security Audits............................................................................................................2 2.

Sample Audit Report Form.....................................................................................................3 CH-3 iii

Sections it refers to

33 CFR 104.215 ↗
33 CFR 104.405 ↗
33 CFR Part 101
33 CFR Part 104

The plain-English explanation on this page was written with AI from the regulation text above and checked automatically before publishing: every quote appears in the text, every number comes from it, and a second model confirmed each statement adds nothing the text doesn't say. The regulation text governs. RegKnot is not affiliated with the U.S. Coast Guard.