NVIC 05-03: Security guidance for OCS facilities

Commandant 2100 Second Street, S.W. United States Coast Guard Washington, DC 20593-0001 Staff Symbol: G-MOC-2 Phone: (202) 267-0495 Fax: (202) 267-0506 Email: fldr-g-moc@comdt.uscg.mil COMDTPUBP16700.4 NVIC 05 03 15 DECEMBER 2003 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 05 03 Subj: IMPLEMENTATION GUIDANCE FOR THE MARITIME SECURITY REGULATONS MANDATED BY THE MARITIME TRANSPORTATION SECURITY ACT OF 2002 FOR OUTER CONTINENTAL SHELF FACILITIES Ref: (a) 33 CFR Part 106 (MARITIME SECURITY: OUTER CONTINENTAL SHELF FACILITIES) (b) 33 CFR Part 104 (MARITIME SECURITY: VESSELS)

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) introduces guidelines

for the implementation of the maritime security regulations mandated by the Maritime Transportation Security Act of 2002. The guidance contained herein details the plan review process and is intended to assist inspectors in the performance of their duties while conducting security examinations. This guidance is also intended for owners and operators of affected outer continental shelf (OCS) facilities as an aid for complying with reference (a).

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — ACTION.

a. Captains of the Port (COTP) and Officers in Charge, Marine Inspection (OCMI) are encuraged to bring this circular to the attention of marine interests within their areas of responsibility. This circular will be distributed by electronic means only. It is available on the World Wide Web through http://www.uscg.mil/hq/g-m/nvic/index00.htm. b. OCS facility owners and operators may use this circular as guidance during verification and compliance inspections. These guidelines may be applied to verify compliance with the Facility Security Plans (FSP) and during drills or exercises conducted to ensure crew competency. DISTRIBUTION SDL NO. 05 03 140 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 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 05 03

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — DIRECTIVES AFFECTED. No current directives are affected.

DIRECTIVES AFFECTED. No current directives are affected.

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — BACKGROUND.

a. The purpose of the maritime security regulations found in the Code of Federal Regulations (CFR) Part 106 of Title 33 is to require security measures for OCS facilities in order to reduce the risk and mitigate the results of an act that threatens the security of personnel, the OCS facility, the environment, and the public. The Coast Guard is responsible for verifying that each affected OCS facility complies with the maritime security regulations. b. 33 CFR Part 106 requires the owner or operator of each affected OCS facility to comply with an approved FSP or Alternative Security Program (ASP). Due to the variety of facility types to which these requirements apply, the methods used in the security plan to reach compliance may vary. It is important to recognize that OCS facilities have unique characteristics unto themselves and, as a result, varying security needs.

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — DISCUSSION.

a. This circular is designed to provide guidance to both Coast Guard and industry personnel on all aspects of the implementation policies for OCS facilities. Mobile Offshore Drilling Units (MODUs) that are not specifically regulated under reference (a) may be required to meet Reference (b) and the vessel security NVIC. See Enclosure (1) for applicability guidance. b. From this point forward, “facility” or “OCS facility” will be used as a generic term for all facilities that meet the applicability requirements, including MODUs. Where necessary to specifically address the unique issues of MODUs, they will be specifically referenced as such. c. The Coast Guard does, and will continue to, work with the Minerals Management Service in the area of compliance enforcement on the OCS.

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — IMPLEMENTATION.

• Enclosure (1) is an expanded discussion on the applicability of the security regulations for OCS facilities. • Enclosure (2) is a flowchart, which guides the user through the FSP submission, review, and validation process. • Enclosure (3) is an overview of the implementation & submission process. • Enclosure (4) is a checklist for the Stage I general review of the OCS facility FSP. • Enclosure (5) is a checklist for the Stage II detailed review of the OCS facility FSP. • Enclosure (6) is a checklist for the Compliance Verification inspection performed by the COTP. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 05 03 . • Enclosure (7) contains sample letters from the USCG unit to OCS owners and operators. • Enclosure (8) contains guidance for submission of Alternative Security Program (ASP)

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — INFORMATION SECURITY.

a. 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’s (TSA) regulations that govern SSI are found in 49 CFR Part 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 the 49 CFR Part 1520 for the marking, storing, distributing and destroying of SSI material, which also includes many documents that discuss screening processes and detection procedures. b. Under these regulations, only persons with a “need to know,” as defined in 49 CFR Part 1520.11, will have access to security plans and assessments. Vessel and facility owners or operators must determine which of their employees need to know which provisions of the security plans and assessments and the owners and operators must restrict dissemination of these documents accordingly. To ensure that access is restricted to only authorized personnel, in almost all circumstances, SSI material will not to be disclosed under the Freedom of Information Act. c. 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.

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — DISCLAIMER. While the guidance contained in this document may assist the industry, the public,

the Coast Guard, and other Federal and State regulators in applying statutory and regulatory requirements, this guidance is not a substitute for applicable legal requirements, nor is it in itself 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. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 05 03

Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities. — CHANGES. This NVIC will be posted on the web at http://www.uscg.mil/hq/g-m/nvic/index00.htm.

Changes to this circular will be issued as necessary. Time-sensitive amendments will be issued as “urgent change” messages by ALDIST/ALCOAST, and posted in the website for the benefit of industry pending their inclusion to the next change to this circular. Suggestions for improvement of this circular should be submitted in writing to Commandant (G-MOC). THOMAS H. GILMOUR Rear Admiral, U.S. Coast Guard Assistant Commandant for Marine Safety, Security And Environmental Protection Encl: (1) Applicability Discussion

(2) OCS Facilities Plan Review Process Methodology Flowchart

(3) Plan Review Guidelines and Implementation Policies

(4) Stage I (Preliminary Review) Guidance

(5) Stage II (Detailed FSP Review) Guidance

(6) Compliance Verification Procedures

(7) Sample Correspondence

(8) Guidance for Submission of Alternative Security Program (ASP) Table of Contents Implementation Guidance for the Maritime Security Regulations Mandated by the Maritime Transportation Security Act of 2002 For Outer Continental Shelf Facilities Enclosure (1)—Applicability Discussion 1 Applicability Discussion................................................................................................2 1.1 Personnel Standard.............................................................................................2 1.2 Production Standards.........................................................................................3 1.3 OCS Facility Type Guidelines...........................................................................3 2 Operational Impacts on Applicability............................................................................5 2.1 Facilities Changing Operations Between Cost Guard Districts.........................6 2.2 Facilities Changing Locations Within a Cost Guard District............................6 2.3 Facilities Departing U.S.

OCS for Foreign Service or Taken Out of Service.....................................................................................7 2.4 Return of Facilities from Foreign Service or Lay-Up— Previously Approved FSP..................................................................................7 2.5 New Facility or Foreign Facility Entering the U.S.

OCS— No Previous FSP................................................................................................7 Enclosure (2)—OCS Facilities Plan Review Process Methodology Flowchart 1 Flowchart.......................................................................................................................2 Enclosure (3)—Plan Review Guidelines and Implementation Policies 1 Implementation..............................................................................................................2 2 Initial Submission Process.............................................................................................3 2.1 Identification of All Applicable Facilities.........................................................3 2.2 Submission of Facility Security Plans...............................................................3 2.3 Communication Strategy...................................................................................4 3 Administrative Procedures.............................................................................................4 3.1 Annual Inspection Requirements.......................................................................4 3.2 General Compliance/Enforcement Options.......................................................5 3.3 Pre-Enforcement Phase Compliance Options....................................................5 3.4 Enforcement Phase Compliance Options...........................................................5 3.5 MISLE Activity Methodology...........................................................................5 4 Implementation Schedule...............................................................................................5 5 Alternative Security Programs.......................................................................................6 Enclosure (4)—Stage I (Preliminary Review) Guidance 1 Stage I Checklist............................................................................................................2 i Table of Contents Enclosure (5)—Stage II (Detailed FSP Review) Guidance 1 Stage II Checklist...........................................................................................................2 Enclosure (6) Compliance Verification Procedures 1 Compliance Verification Field Guide............................................................................2 Enclosure (7)—Sample Correspondence 1 Sample Correspondence Letters...................................................................................2 Enclosure (8) Guidance for Submission of Alternative Security Program (ASP) 1 Guidance for Submission of Alternative Security Programs (ASP)...........................2 i i Applicability Discussion