Coast Guard COMDTPUB P 16700.4 NVIC 03-03 Change 2

U.S.

Department of

Commandant

21 00 2" ST SW

Homeland

United States Coast Guard Washington DC 20593-0001

United

States

Staff Symbol: (CG-544)

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)

1.

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

D

E

F

G

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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

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NAVIGATION

AND

VESSEL 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.

2. 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.

3. 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~MEPORT

for 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.

4.

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.

5. 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. 03-03,

CH-2

As additional guidance and clarifications continue to be developed, the HOMEPORT website

httr,:/homeport.uscg.mil

should 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.

6.

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.

7.

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.

8.

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.

9. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATION. Environmental considerations

were examined in the development of this manual and have been determined to be not applicable

x

NAVIGATION

AND

VESSEL INSPECTION CIRCULAR NO.

03-03,

CH-2

10. FORMSIREPORTS. None.

/

AMES A. WATSON

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 (9) – Guidance for Submission of Alternative Security Programs,

Enclosure (10) – Guidance for Training, Standards, and Auditing of Explosive

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

Equivalency and Waiver Requests .............................................................. 9-1

Detection Dog Teams ................................................................................. 10-1

Enclosure (11) – USCG Facility Security Spot Check Guide ............................................. 11-1

ii

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 1

MTSA FSP IMPLEMENTATION PROCESS METHODOLOGY

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

1.1 Enclosure Contents

1.1.1. This enclosure contains information relating to the following subject matter areas:

1.2 Facility Security Plan (FSP) Review – General

1.3 FSP Submissions

1.4 Review of FSPs

1.5 COTP Review and Approval of FSPs

1.6 Implementation of Inspection Cycles

1.7 Enforcement Strategies – Plan Submission

Addendum (1) Facility Security Plan (FSP) Submission, Review, Approval / Denial Flow

Chart

Addendum (2) Homeport Submission Flow Chart

Addendum (3) Examples of Major and Minor Deficiencies

1.2 Facility Security Plan (FSP) Review Process - General

1.2.1 The plan review process is critical to the successful implementation of MTSA regulations.

The following is a brief discussion of each critical aspect of this process. A flow-chart of

this process is contained in this section as Addendum (1). An on-site verification may be

necessary, depending on the familiarity of the plan reviewer with the specific facility.

Facilities must comply with their security plan while conducting regulated operations or

risk enforcement actions which may include suspension of operations until compliance is

reached.

1.3 FSP Submissions

1.3.1 All facilities subject to 33 CFR 105 must submit FSPs to the cognizant COTP in

accordance with 33 CFR 105.310, 33 CFR 105.410 and, if applicable, HOMEPORT

guidance provided in Addendum (2).

1.3.2 Upon receipt, the COTP shall date stamp the FSP submittal.

1.3.3 Review personnel will screen all plans upon receipt to determine applicability to 33 CFR

Part 105 and will review only those as required by that part. Review personnel will consult

with the COTP before determining whether or not regulations apply to a specific

submission and prior to returning the plan to the submitter. Enclosure (5) provides

additional guidance toward defining an individual facility’s regulated areas.

1.4 Review of FSPs

1.4.1 Following a successful applicability screening, plans undergo an initial review to ensure

the eighteen basic required sections are properly included/addressed. Review personnel

will utilize the review form incorporated as Enclosure (3) Sections A and B. Major

deficiencies noted during the review will require the plan to be resubmitted with

corrections prior to further review. Major deficiencies include the following:

1-1

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

• An incomplete or missing Facility Vulnerability and Security Measures Summary

(Form CG-6025),

• An incomplete or missing FSA report, and/or

• Two or more incomplete FSP content requirements.

1.4.2 Plans will then be screened to determine whether they were submitted in accordance with 33

CFR 105.410. All plans will be reviewed in the order received.

1.4.3 In the case that a Facility Identification Number (FIN) does not exist, one will be assigned

by the reviewer. Following a successful “applicability” determination, review personnel

will create a Plan Review Sub-Activity within MISLE. MISLE information will be audited

to ensure database integrity through a review of the FIN and PARTICULARS tables

maintained by CG-382.

1.4.4 After the successful completion of MISLE activities, a letter will be mailed to the plan

owner from the COTP containing:

• A statement acknowledging receipt of their plan;

• The unique Activity Number for their plan review activities; and

• Plan reviewer contact information.

1.4.5 The comprehensive review assesses the plan’s compliance with all regulatory requirements

contained in 33 CFR 105. The review form is incorporated as Enclosure (3) Section C.

1.4.6 To expedite reviews, plans will not be returned for minor corrections. Instead, plan owners

may receive a letter from or be contacted directly by review personnel identifying minor

deficiencies and the timeframe for submitting revisions.

1.5 COTP Review and Approval of FSPs

1.5.1 Following a successful review, the FSP will be presented to the cognizant COTP for final

review and approval. The COTP will also receive copies of:

• FSA report,

• Review notes,

• All correspondence between the plan submitter and review personnel, and

• A summary detailing any review form items that could not be accurately verified by

review personnel.

1.5.2 The final review verifies the FSA information against the physical characteristics of the

entire facility. (See guidance in Enclosure 5.)

1.5.3 The COTP will determine whether to approve or not approve the Facility Security Plan

(FSP) taking into consideration information contained in the Area Maritime Security Plan

(AMSP), the Maritime Risk Assessment Model (MSRAM) data and the FSP under review.

1-2

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

1.5.4 If major deficiencies are identified during the review process, the COTP may:

• Return the plan to review personnel for further action detailing deficiencies found,

or

• Deny approval of the FSP and return the FSP to the submitter with a letter noting

deficiencies and timeframe for resubmitting the FSP.

Major deficiencies are those that cannot be easily corrected by the plan owner in a timely

manner, or that would require significant changes or alterations to the plan requiring

additional review.

1.5.5 Following a successful review, the COTP shall issue an FSP Letter of Approval. The plan

review process is now complete. A sample plan approval letter is contained in Enclosure

(4). The COTP closes the MISLE Plan Review Sub-Activity and files the plan in a secure

location, in accordance with Sensitive Security Information (SSI) protocols.

1.6 Implementation of Inspection Cycles

1.6.1 Coast Guard personnel will enforce and verify the facility is implementing security

measures contained in their FSP when conducting annual compliance examinations or

security spot check checks. These inspections may also include verifying compliance with

the following regulatory requirements (as applicable):

• MTSA (33 CFR Parts 101, 103, 105)

• Pollution Prevention/Safety (33 CFR Parts 126, 127, 154)

• MARPOL Annex I, II, V, VI (33 CFR Part 158)

1.6.2 Captain of the Ports (COTPs) will utilize a risk-based approach to determine priorities

when scheduling compliance inspections. COTPs are expected to schedule these

compliance inspections taking into account all of the following tools/criteria:

• Maritime Security Risk Assessment Model (MSRAM);

• Facility inspection history (past deficiencies/violations);

• Facility inspection cycle/schedule;

• Economy of personnel resources.

1.7 Enforcement Strategies – Plan Submission

1.7.1 COTPs are encouraged to use all available outreach and administrative controls at their

disposal to ensure compliance with facility security plan submittal requirements.

1.7.2 33 CFR 105.410(b) states that owners or operators of facilities not in service on or before

31 December 2003 must comply with the requirements of 33 CFR 105.410(a) 60 days

prior to beginning operations.

1-3

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

1.7.3 33 CFR 101.415, as amended, allows for civil penalties for any person who does not

comply with any requirement of this part. In addition, this part allows for one or more of

the following:

• Restrictions on facility access;

• Conditions on facility operations;

• Suspension of facility operations;

• Lesser administrative and corrective measures; or

• Suspension or revocation of security plan approval, thereby making that facility

ineligible to operate.

1.7.4 The COTP will note that the Facility Security Assessment Report and the Facility

Vulnerability and Security Measures Summary (Form CG-6025) are critical in

summarizing a facility’s vulnerabilities and the security measures used to mitigate them.

COTPs will use this information to aid in the revision and updating of Area Maritime

Security Plans and to audit FSP implementation. Facility owners are strongly encouraged to

complete the CG-6025 with a focus on the highest-risk and consequence vulnerabilities by

using the nine vulnerability categories listed in the Key to the Form. Facility

owners/operators should complete this form for each of these nine vulnerability categories.

If there is more than one vulnerability issue under the same category, list them. However,

the list should focus on approximately three of the most important entries for the category,

and identifying all vulnerabilities that may be exploited to cause a Transportation Security

Incident (TSI) as defined in 33 CFR 101.105.

Facility owner/operators are encouraged to submit and administer their FSP by utilizing

Homeport (see Addendum 2). In such cases the administration, submission, review, and

approval/denial of the FSP will proceed in accordance with the protocol(s) governing the

use of Homeport. Homeport will mirror the process sequencing described in Addendum

(1).

MISLE entries will be made in accordance with protocols governing the use of MISLE.

1-4

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Addendum (1)

Facility Security Plan (FSP)

SUBMISSION, REVIEW, APPROVAL OR DENIAL (Non-Homeport)

Start

FACILITY SUBMITS FSP

TO COTP IAW 33 CFR

105.410 AND

ENCLOSURE 2 & 3 OF

NVIC 03-03, CH-2

FSP RETURNED

TO SUBMITTER

DUE TO NON-

APPLICABILITY

IS PLAN REQUIRED?

COTP BEGINS INITIAL REVIEW

YES

NO

MAIL FSP SUBMITTER A

LETTER OF RECEIPT,

INCLUDING FIN, ACTIVITY

NUMBER AND CONTACT

INFORMATION.

*SEE ENCL. (4)

COTP ISSUES FSP APPROVAL

LETTER TO PLAN SUBMITTER,

CLOSES MISLE PLAN REVIEW

ACTIVITY.

*SEE ENCL.(7)

UPON RECEIPT OF FSP,

ENSURE FACILITY EXISTS

IN MISLE. CREATE

FACILITY AND FIN AS

NECESSARY. OPEN PLAN

REVIEW SUB-ACTIVITY.

FSP REVISIONS

COMPLETED BY

SUBMITTER, FSP

RESUBMITTED IAW

33 CFR 105.410

FSP RETURNED TO

SUBMITTER WITH

DENIAL LETTER

AND COMMENTS.

SEE ENCLOSURE 4

*SEE NOTE 1.

FSP REVIEW

COMPLETED.

MAKE ELECTRONIC OR

HARDCOPY OF THE FSP

FOR LOCAL COTP

RETENTION.

Finish

APPROVED FSP SENT TO

MSC TO BE SCANNED AND

BOOKMARKED FOR

ENTRY INTO MISLE.

COTP

CONDUCTS

FSP DETAILED

REVIEW

USING ENCL. 2

& 3 OF NVIC

FSP MISLE

ACTIVITY

UPDATED.

IS PLAN

ACCEPTABLE?

*COTP MAY

CONDUCT PRE-

APPROVAL SITE

VISIT.

YES

ARE MAJOR

REVISIONS TO

THE PLAN

NEEDED?

NO

YES

RETURN TO SUBMITTER

FOR FURTHER ACTION

* SEE NOTE 2

*NOTE 1: FSP SUBMITTER SHOULD BE ENCOURAGED TO EXPEDITE ALL NECESSARY REVISIONS

AND TO RESUBMIT THE FSP IN A TIMELY MANNER. REGULATED OPERATIONS CANNOT

COMMENCE WITHOUT AN APPROVED FSP.

*

NOTE 2: MAJOR AND MINOR REVISIONS ARE DEFINED IN ADDENDUM (3)

1-5

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2.

Addendum (2)

Facility Security Plan (FSP)

HOMEPORT SUBMISSION, REVIEW, APPROVAL OR DENIAL

Start

USER SUBMITS

FACILITY PLAN (FSP)

VIA HOMEPORT

FSP GOES INTO

HOMEPORT SECURE

HOLDING

YES

NO

CG REVIEWER RETRIEVES

AND CONDUCTS CURSORY

REVIEW TO ENSURE ALL

PARTS ARE INCLUDED.

IS FSP ACCEPTED?

ACCEPTED INTO MISLE

FOR FULL REVIEW / CASE #

ASSIGNED / ACTIVITY #

ASSIGNED

USER IS NOTIFIED OF

REASON(S) FOR DENIAL

AND INSTRUCTED TO

RESUBMIT PLAN

YES

E-MAIL SENT TO USER

NOTIFYING OF

ACCEPTANCE OF PLAN

FOR REVIEW

PLAN MEETS ALL

REQUIREMENTS

PLAN APPROVED

E-MAIL SENT TO USER

WITH NOTIFICATION OF

FSP APPROVAL

USER RESUBMITS PLAN

WITH NEW ACTIVITY #

UNDER OLD CAE #

EMAIL SENT TO USER NOTIFYING

USER OF FSP DEFICIENCIES

NO

Finish

1-6

Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

.

Addendum (3)

EXAMPLES OF MAJOR AND MINOR DEFICIENCIES

A. Major deficiencies noted during the review will require the plan to be return to the submitter for

revision. Listed below are examples of major deficiencies:

1. An incomplete or missing facility vulnerability and security measures summary (form CG-

6025)

2. An incomplete or missing FSA report,

3. Two or more incomplete FSP content requirements

4. Four or more FSP content items do not meet the intent of the regulations.

B. Minor deficiencies can occur more frequently than major deficiencies since they are on a smaller

scale. Listed below are explains of minor deficiencies:

1. One required content section is missing or incomplete.

2. Facility contact information is not accurate/up-to-date.

3. There are no procedures for providing security training to personnel.

4. There are no procedures for changing MARSEC levels

5. Plan fails to provide an effective means to communicate on the facility.

6. There are no established security measures for restricted areas.

1-7

Enclosure (2) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 2

GENERAL GUIDANCE FOR FSP PREPARERS AND REVIEWERS

Enclosure (2) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

GENERAL GUIDANCE FOR FACILITY SECURITY PLAN (FSP) PREPARERS AND REVIEWERS

2.1 Security Administration and Organization of the Facility

This section of the plan describes the security administration of the facility, including the

organizational elements responsible for security, such as the owner/operator, FSO, and facility

personnel with security duties. The plan will describe in detail how the individual requirements of 33

CFR Part 105.200; 205; and 210 are met.

2.2 Personnel Training

This section of the plan describes how facility security personnel, including contractors, whether

part-time, full-time, temporary, or permanent, obtain knowledge through training, or through

equivalent job experience. The plan shall describe in detail how these individuals are trained in the

topics provided in 33 CFR Part 105.215.

2.3 Drills and Exercises

This section of the plan describes how drills and exercises are conducted at the facility, including

frequency and types. The plan shall describe in detail how the individual drills and exercises are

conducted as provided in 33 CFR Part 105.220.

2.4 Records and Documentation

This section of the plan will describe the method that is to be used to accomplish facility record

keeping requirements as documented in 33 CFR Part 105.225.

2.5 Response to Change in MARSEC Level

This section of the plan describes how the owner/operator will ensure facility operations reflect the

security requirements for the MARSEC level in effect. The plan should describe in detail MARSEC

level coordination and implementation as described in 33 CFR Part 105.230.

2.6 Communications

This section of the plan describes how the facility’s communication systems are designed to

accomplish security program requirements including notification, systems and procedures for

effective and continuous communications. This section will include the processes/procedures used to

accomplish individual requirements provided in 33 CFR Part 105.235.

2.7 Procedures for Interfacing with Vessels

This section of the plan describes procedures for interfacing with vessels at all MARSEC levels as

required by 33 CFR Part 105.240.

2.8 Declaration of Security (DoS)

This section of the plan will include a DoS as required in 33 CFR 101.505. It describes how the DoS

is used during the vessel/facility interface as required by 33 CFR Part 105.245.

2.9 Security Systems and Equipment Maintenance

This section of the plan contains security system and equipment maintenance procedures as required

by 33 CFR Part 105.250.

2-1

Enclosure (2) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

2.10 Security Measures for Access Control, including designated public access areas

This section of the plan implements general security measures for access control at all MARSEC

levels. This section describes in detail the security measures required by 33 CFR Part 105.255 and

257. NOTE: A MARSEC Directive could affect the performance standards contained this section.

2.11 Security Measures for Restricted Areas

This section of the plan will contain policies for restricted areas and should include the designation

and general security measures for these restricted areas at all MARSEC levels. This section should

describe in detail the security measures required by 33 CFR Part 105.260. NOTE: A MARSEC

Directive could affect the performance standards contained this section.

2.12 Security Measures for Handling Cargo

This section of the plan must include general security measures for cargo handling at all MARSEC

levels. This section describes in detail the security measures required by 33 CFR Part 105.265.

NOTE: A MARSEC Directive could affect the performance standards contained this section.

2.13 Security Measures for Delivery of Vessel Stores and Bunkers

This section of the plan must include general security measures for delivery of vessel stores and

bunkers at all MARSEC levels. This section describes in detail the security measures as outlined in

33 CFR Part 105.270. NOTE: A MARSEC Directive could affect the performance standards

contained this section.

2.14 Security Measures for Monitoring

This section of the plan implements general security measures for monitoring at all MARSEC levels.

This section will describe in detail the security measures required by 33 CFR Part 105.275. NOTE:

A MARSEC Directive could affect the performance standards contained this section.

2.15 Security Incident Procedures

This section of the plan will include security incident procedures for each MARSEC level. This

section describes in detail the security incident procedures required by 33 CFR Part 105.280.

2.16 Audit and Security Plan Amendments

This section of the plan details how changes/amendments are made and audits are conducted at the

facility. The plan will describe in detail the frequency and types, and how the amendments and

audits are performed as required by 33 CFR Part 105.415. Typically, any change requiring a new

FSA will require an amendment to the FSP. Facility Security Officers are encouraged to

electronically submit their FSP and FSP amendments directly to the local COTP on a password

protected CD as Adobe or Word files. With COTP concurrence, FSPs or amendments may also be

forwarded via Homeport. Administrative changes, such as phone numbers or a change in the name

of the FSO or assistant FSO must be noted on the plan and forwarded to the COTP but do not require

a new FSA or FSP amendments.

2-2

Enclosure (2) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

2.17 Facility Security Assessment (FSA) Report

This section of the plan contains written documentation of the FSA that is based on a collection of

background information, the completion of an on-scene survey and an analysis of that information

for the facility. An FSA report describes in detail the individual plan requirements in 33 CFR Part

105.300; 305 and 310. NOTE: in all cases, the FSA Report should be completed prior to

development of the FSP as the FSP is the plan for mitigating all vulnerabilities first identified by

the FSA.

2.18 Facility Vulnerability and Security Measures Summary (Form CG-6025)

This is a required form that provides vulnerability and mitigating security measures for the facility as

identified in the FSA. This form is located in Appendix A to Part 105. Enclosure (2) to NVIC 03-

03 contains further information on completing this form.

2.19 Additional Requirements for Passenger and Ferry Facilities

33 CFR Part 105.285 provides additional requirements for passenger and ferry facilities at all

MARSEC levels. NOTE: A MARSEC Directive could affect the performance standards contained this

section.

2.20 Additional Requirements for Cruise Ship Terminals

33 CFR Part 105.290 provides additional requirements for cruise ship terminals at all MARSEC

levels. NOTE: A MARSEC Directive could affect the performance standards contained this section.

2.21 Additional Requirements for CDC Facilities

33 CFR Part 105.295 provides additional requirements for CDC facilities at all MARSEC levels.

NOTE: A MARSEC Directive could affect the performance standards contained this section.

2.22 Additional Requirements for Barge Fleeting Facilities

33 CFR Part 105.296 provides additional requirements for barge fleeting facilities at all MARSEC

levels. NOTE: A MARSEC Directive could affect the performance standards contained this section.

2-1

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 3

FACILITY SECURITY PLAN (FSP) REVIEW CHECKLIST

FOR FSP PREPARERS AND REVIEWERS

(GENERAL FACILITIES)

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

THIS PAGE WAS INTENTIONALLY LEFT BLANK

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

United States Coast Guard

FACILITY SECURITY PLAN (FSP) REVIEW CHECKLIST

Facility Name: Facility Type:

Facility ID Number: MISLE Activity Number:

Date(s) Conducted: CG Unit:

1

st

Reviewer: 2

nd

Reviewer:

Guidance for completing the Facility Security Plan (FSP) Review Checklist –

Coast Guard facility inspectors shall complete the checklist by verifying the contents of the FSP submitted for

review, are in line with the requirements as per 33 CFR 105.405. Each inspected item contained in the checklist

must be notated as one of the following:

Satisfactory -

Item meets requirements contained in the guide and referenced

regulations.

Not Satisfactory -

Item does not meet requirements in the guide and referenced

regulations or is missing altogether.

Not Applicable -

Item does not apply to this facility; the FSP should state why the

regulatory provision is not applicable.

3-1

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

§105.405 Format & Content of the Facility Security Plan (FSP)

Yes No

(a) Does the plan follow the order as it appears below?

- If no, does the plan contain an index identifying the required elements and their location?



(1) Security administration and organization of the facility

Does the plan contain a security organization?

 

(2) Personnel training

Does the plan contain personnel training procedures?

 

(3) Drills and exercises

Does the plan contain drill and exercise procedures?

 

(4) Records and documentation

Does the plan contain facility recordkeeping and documentation procedures?

 

(5) Response to change in MARSEC Level

Does the plan contain procedures for responding to MARSEC level changes?

 

(6) Procedures for interfacing with vessels

Does the plan contain procedures for interfacing with vessels?

 

(7) Declaration of Security (DoS)

Does the plan identify DoS procedures?

 

(8) Communications

Does the plan contain communication procedures?

 

(9) Security systems and equipment maintenance

Does the plan contain security systems and equipment maintenance procedures?

 

(10) Security measures for access control, including designated public access areas

Does the plan contain security measures for access control?

 

(11) Security measures for restricted areas

Does the plan contain security measures for restricted areas?

 

(12) Security measures for handling cargo

Does the plan identify security measures for handling cargo?

 

(13) Security measures for delivery of vessel stores and bunkers

Does the plan address the security procedures for delivery of vessel stores and bunkers?

 

(14) Security measures for monitoring

Does the plan identify security measures for monitoring?

 

(15) Security incident procedures

Does the plan contain security incident procedures?

 

(16) Audits and security plan amendments

Does the plan contain procedures for auditing and updating the plan?

 

(17) Facility Security Assessment (FSA) report

Does the plan contain a FSA report?

 

(18) Facility Vulnerability and Security Measures Summary (Form CG-6025)

Does the plan contain a completed CG-6025 form?

 

Note: If two or more of the above questions are marked “No” then the FSP may be returned to the originator for correction

before being reviewed. The plan may not be approved if the FSA report or the CG-6025 form is missing.

3-2

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

§105.405

Yes No

(b) Was the FSP approved by the Coast Guard prior to March 26, 2007?

If yes; then it does not need to be amended to describe their TWIC procedures until the

next regularly scheduled resubmission of the FSP.

 

§105.405

Complete Incomplete

(c) Review and evaluate the Facility Security Assessment (FSA) Report.

Ensure all identified vulnerabilities and information in the FSP concerning security

measures in mitigation of these vulnerabilities have been identified and addressed in

accordance with 33 CFR 105 Subpart C and 105.405(a)(18).



*

*Return FSP to submitter.

Comments:

3-3

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(1) Security Administration and Organization of the Facility

105.200 Owner or Operator

(a) Each facility owner or operator must ensure that the facility operates in compliance with

the requirements of this part.

(b) For each facility, does the Facility Security Plan (FSP) include the following:

(1) A defined security organization structure that identifies specific security duties and

responsibilities;



(2) FSO designation in writing with a 24-hour contact method;



(3) Procedures to ensure that a Facility Security Assessment (FSA) is conducted;



(4) Procedures to ensure the development and submission for approval of an FSP;



(5) Procedures to ensure the facility operates in compliance with the approved FSP;



(6) Procedures to ensure the TWIC program is properly implemented as set forth in this

part, including:



(i) Only authorized TWIC holders permitted to escort;



(ii) Identifies actions an escort should take if escorted person engages in improper

activities;



(iii) Notifications of secure areas and public access areas of facility & the areas are

clearly marked.



(7) Procedures for ensuring restricted areas are controlled and TWIC provisions are

coordinated, if applicable;



(8) Procedures for coordinating security issues between the facility and vessels;



(9) Procedures to ensure coordination of shore leave for vessel personnel or crew

change-out, identified in the plan and communicated with vessel operators in

advance of a vessel's arrival;



(10) Procedures for implementing MARSEC Level security measures, within 12 hours of

notification of an increase;



(11) Procedures to ensure security for unattended vessels moored at the facility;



(12) Procedures for reporting Breaches of Security and Transportation Security Incidents

(TSI’s) to the National Response Center in accordance with part 101 of this chapter;



(13) Procedures to ensure consistency between security & safety requirements;



(14) Procedures to ensure personnel are aware of the responsibilities of applying for and

maintaining a TWIC per this part;



(15) Procedures to ensure protocols with section 105.255(c) of this part, for dealing with

individuals requiring access who report a lost, damaged, or stolen TWIC, or applied

for but not yet received TWIC, are in place.



3-4

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

105.205 Facility Security Officer (FSO)

(a) General:

(1) Does the FSP ensure that the FSO is able to perform the duties and responsibilities

required of the FSO?



(2) If the same person serves as the FSO for more than one facility, does the FSP identify

the facilities for which the FSO is designate, provided they are in the same COTP

zone, not more than 50 miles apart, and the FSO is listed in each facility’s FSP?



(3) Does the FSP ensure that the FSO retains designated responsibilities although other

individuals may perform specific tasks?



(4) Does the FSP identify that the FSO must maintain a TWIC?



(b) Qualifications:

(1) Does the FSP identify the FSO as having knowledge/training in the following:

(i) Security Organization of the facility;



(ii) General vessel and facility operations and conditions;



(iii) Vessel & facility security measures at all MARSEC levels;



(iv) Emergency preparedness, response, and contingency planning;



(v) Security equipment and systems, and their operational limits; and



(vi) Methods of conducting audits, inspections, control, and monitoring techniques.



(2) In addition to the above; the FSO must have knowledge/training in the following, as

appropriate:

(i) Relevant international laws and codes, and recommendations;



(ii) Relevant government legislation and regulations;



(iii) Responsibilities and functions of local, state, and federal law enforcement

agencies;



(iv) Security assessment methodology;



(v) Methods of facility security surveys and inspections;



(vi) Instruction techniques for security training and education, including security

measures and procedures;



(vii) Handling sensitive security information and security related communications;



(viii) Current security threats and patterns;



(ix) Recognizing and detecting dangerous substances and devices;



(x) Recognizing characteristics and behavioral patterns of persons who are likely to

threaten security;



(xi) Techniques used to circumvent security measures;



(xii) Conducting physical searches and non-intrusive inspections;



(xiii) Conducting security drills and exercises, including exercises with vessels;



(xiv) Assessing security drills and exercises; and



3-5

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(xv) Knowledge of TWIC requirements.



(c) Responsibilities:

(1) Does the FSP identify the following FSO responsibilities:



(2) Ensuring the Facility Security Assessment (FSA) is conducted;



(3) Ensuring development and implementation of a FSP;



(4) Ensuring annual audit program is implemented and maintained at the facility;



(5) Ensuring FSP is exercised per 105.220 of this part;



(6) Ensuring regular security inspections of the facility are conducted;



(7) Ensuring adequate security awareness and vigilance of the facility personnel;



(8) Ensuring adequate training to personnel performing facility security duties;



(9) Ensuring that occurrences that threaten the security of the facility are recorded and

reported to the owner or operator;



(10) Ensuring the maintenance of records required by this part;



(11) Ensuring the preparation and submission of any reports as required by this part;



(12) Ensuring the execution of any required Declarations of Security with Masters, Vessel

Security Officers, or their designated representatives;



(13) Ensuring the coordination of security services in accordance with the approved FSP;



(14) Ensuring that security equipment is properly operated, tested, calibrated, and

maintained;



(15) Ensuring the recording and reporting of attainment changes in MARSEC Levels to

the owner or operator and the cognizant COTP;



(16) When requested, ensure that the Vessel Security Officers receive assistance in

confirming the identity of visitors and service providers seeking to board the vessel

through the facility;



(17) Ensuring notification to law enforcement and other emergency responders, as soon

possible in order to permit a timely response to any transportation security incident;



(18) Ensuring that the FSP is submitted to the cognizant COTP for approval, as well as

any plans to change the facility or facility infrastructure prior to amending the FSP;



(19) Ensuring that all facility personnel are briefed of changes in security conditions at the

facility; and



(20) Ensure the TWIC program is being properly implemented.



105.210 Facility Personnel With Security Duties

Does the FSP identify a record keeping process to ensure that facility personnel responsible

for security duties, maintain a TWIC, and have knowledge, through appropriate training or

equivalent job experience in the following, as appropriate:

(a) Knowledge of current security threats and patterns;



(b) Recognition and detection of dangerous substances and devices;



(c) Recognition of characteristics and behavioral patterns of persons who are likely to threaten

security;



3-6

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(d) Techniques used to circumvent security measures;



(e) Crowd management and control techniques;



(f) Security related communications;



(g) Knowledge of emergency procedures and contingency plans;



(h) Operation of security equipment and systems;



(i) Testing, calibration, and maintenance of security equipment and systems;



(j) Inspection, control, and monitoring techniques;



(k) Relevant provisions of the Facility Security Plan (FSP);



(l) Methods of physical screening of persons, personal effects, baggage, cargo, and vessel

stores;



(m) The meaning and the consequential requirements of the different MARSEC Levels; and



(n) Familiarity with all relevant aspects of the TWIC program and how to carry them out.



(2) Personnel Training

105.215 Security Training for all Other Facility Personnel

Does the FSP identify procedures or policies to ensure personnel, including contractors,

whether part-time, full-time, temporary, or permanent, have knowledge of, through training or

equivalent job experience, in the following, as appropriate:

(a) Relevant provisions of the Facility Security Plan (FSP);



(b) The meaning and the consequential requirements of the different MARSEC Levels as they

apply to them, including emergency procedures and contingency plans;



(c) Recognition and detection of dangerous substances and devices;



(d) Recognition of characteristics and behavioral patterns of persons who are likely to threaten

security;



(e) Techniques used to circumvent security measures; and



(f) Familiarity with all relevant aspects of the TWIC program and how to carry them out.



(3) Drills and Exercises

105.220 Drill and Exercise Requirements

(a) General:

(1) Does the FSP identify drills and exercises for testing the proficiency of facility

personnel in assigned security duties at all MARSEC Levels and validate the

effective implementation of the FSP?



(2) Does the FSP direct the Facility Security Officer (FSO) to identify related security

deficiencies identified during drills and exercise?



3-7

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(b) Drills:

(1) Have drills tested individual elements of the FSP, including response to security

threats and incidents? (Drills should account for the types of operations of the

facility, facility personnel changes, the type of vessel the facility is serving, and other

relevant circumstances. Examples of drills include unauthorized entry to a restricted

area, response to alarms, and notification of law enforcement authorities.)



(2) If a vessel is moored at the facility on the date the facility has planned to conduct any

drills, has the facility identified that the vessel or vessel personnel are not required to

be a part of or participate in the facility's scheduled drill?



(c) Exercises:

(1) Does the FSP require that exercises must be conducted at least once each calendar

year, with no more than 18 months between exercises?



(2) Does the FSP explain that exercises may consist of:

(i) Full scale or live;



(ii) Tabletop simulation or seminar;



(iii) Combined with other appropriate exercises; or



(iv) A combination of the elements in paragraphs (c)(2)(i) through (iii) of this

section.



(3) Does the FSP identify that exercises can be either facility-specific or part of a

cooperative exercise program with applicable facility and vessel security plans or

comprehensive port exercises?



(4) Does the FSP identify exercises that test communication and notification procedures,

and elements of coordination, resource availability, and response?



(5) Does the FSP identify exercises that test the entire security program and include

substantial and active participation of FSOs and others, as appropriate?



(4) Records and Documentation

105.225 Facility Recordkeeping Requirements

(a) Does the FSP direct the FSO to keep records of the activities as set out in paragraph (b) of

this section for at least 2 years and make them available to the Coast Guard upon request?



(b) If the records are kept in an electronic format, does the FSP detail how they are protected

against unauthorized deletion, destruction, or amendment?



* Have procedures been identified to maintain the following records:

(1) Training. For each security training session, the date of each session, duration of

session, a description of the training, and a list of attendees



(2) Drills and exercises. For each drill or exercise, the date held, description of drill or

exercise, list of participants, and any best practices or lessons learned that may

improve the FSP



3-8

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(3) Incidents and breaches of security. For each incident or breach of security, the date

and time of occurrence, location within the facility, description of incident or breach,

to whom it was reported, and description of the response.



(4) Changes in MARSEC Levels. For each change in MARSEC Level, the date and

time of notification received, and time of compliance with additional requirements



(5) Maintenance, calibration, and testing of security equipment. For each occurrence of

maintenance, calibration, and testing, record the date and time, and the specific

security equipment involved



(6) Security threats. For each security threat, the date and time of occurrence, how the

threat was communicated, who received or identified the threat, description of threat,

to whom it was reported, and description of the response



(7) Declaration of Security (DoS). A copy of each single-visit DoS and a copy of each

continuing DoS for at least 90 days after the end of its effective period



(8) Annual audit of the FSP. For each annual audit, a letter certified by the FSO

stating the date the audit was completed



(c) Does the FSP include procedures to protect records from unauthorized access or

disclosure?



(5) Response to Change in MARSEC Level

105.230 Maritime Security (MARSEC) Level Coordination and Implementation

(a) Does the FSP identify procedures to ensure that the facility operates in compliance with the

security requirements for the MARSEC Level in effect for the port?



(b) When notified of an increase in the MARSEC Level, does the FSP direct the facility

owner and operator to ensure that:

(1) Vessels moored to the facility and vessels scheduled to arrive at the facility within 96

hours of the MARSEC Level change are notified of the new MARSEC Level and

the Declaration of Security is revised as necessary



(2) The facility complies with the required additional security measures within 12 hours



(3) The facility reports compliance or noncompliance to the COTP



(c) Does the FSP require, at MARSEC Levels 2 and 3, the Facility Security Officer inform all

facility personnel about identified threats, emphasize reporting procedures and stress the

need for increased vigilance?



(d) Does the FSP identify procedures to inform the COTP and obtain approval prior to

interfacing with a vessel or continuing operations, when not capable of operating in

compliance with the increased MARSEC level?



(e) Does the FSP identify procedures to ensure that the facility operates in compliance with

MARSEC Level 3 requirements, including additional measures pursuant to 33 CFR Part 6,

160, or 165, as appropriate, which may include but are not limited to:



3-9

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(1) Use of waterborne security patrol;



(2) Use of armed security personnel to control access to the facility and to deter, to the

maximum extent practical, a transportation security incident; and



(3) Examination of piers, wharves, and similar structures at the facility for the presence

of dangerous substances or devices underwater or other threats.

  

(6) Procedures for Interfacing with Vessels

105.240 Procedures for interfacing with vessels

Does the FSP ensure that there are measures for interfacing with vessels at all MARSEC

Levels?

  

(7) Declaration of Security (DoS)

105.245 Declaration of Security (DoS)

(a) Does the FSP ensure procedures are established for requesting a DoS and for handling

DoS requests from a vessel?



(b) Does the FSP, at MARSEC Level 1, ensure a facility receiving a cruise ship or a manned

vessel carrying Certain Dangerous Cargo (CDC), in bulk, comply with the following:

(1) The FSO, prior to the arrival of a vessel to the facility, ensures that the designated

representatives coordinate security needs and procedures and agree upon the contents

of the DoS for the period of time the vessel is at the facility; and



(2) Upon the arrival of the vessel at the facility, the FSO and Master, VSO, or their

designated representative, must sign the written DoS.



(c) Does the FSP require that neither the facility nor the vessel may embark or disembark

passengers, transfer cargo, or vessel stores until the DoS has been signed and

implemented?



(d) Does the FSP at MARSEC Levels 2 and 3 require the FSOs, or their designated

representatives, of facilities interfacing with manned vessels subject to part 104, of this

subchapter to sign and implement DoS documents as required in (b)(1) and (2) of this

section?



(e) Does the FSP at MARSEC Levels 1 and 2 indicate that the FSOs of facilities interfacing

with the same vessels may implement a continuing DoS for multiple visits, providing that:

(1) The DoS is valid for a specific MARSEC Level



(2) The effective period at MARSEC Level 1 does not exceed 90 days



(3) The effective period at MARSEC Level 2 does not exceed 30 days



(f) Does the FSP identify that when the MARSEC Level increases beyond that contained in

the DoS or the continuing DoS, that it is void and new DoS must be executed?



3-10

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(g) Does the FSP ensure a copy of all currently valid continuing DoS documents be kept with

the Facility Security Plan?



(h) Does the FSP state that the COTP may require a DoS at any time, at any MARSEC level?



(8) Communications

105.235 Communications

(a) Does the FSP provide a means to effectively notify facility personnel of changes in security

conditions at the facility?



(b) Does the identified communication system and procedures allow effective and continuous

communications between the facility security personnel, vessels interfacing with the

facility, the cognizant COTP, and national and local authorities with security

responsibilities?



(c) Does the FSP identify at each active facility access point, a means of contacting police,

security control, or an emergency operations center, by telephones, cellular phones,

portable radios, or other equivalent means?



(d) Does the FSP ensure facility communications systems have a backup means for both

internal and external communications?



(9) Security Systems and Equipment Maintenance

105.250 Security Systems and Equipment Maintenance

(a) Does the FSP include procedures to ensure Security systems and equipment are in good

working order and are inspected, tested, calibrated, and maintained according to

manufacturers' recommendations?



(b) Does the FSP include procedures to ensure Security systems are regularly tested in

accordance with the manufacturers' recommendations; noted deficiencies corrected

promptly; and the results recorded as required in part 105.225 of this subpart?



(c) Does the FSP include procedures for identifying and responding to security system and

equipment failures or malfunctions?



(10) Security Measures for Access Control

105.255 Security Measures for Access Control

(a) Does the FSP have procedures to ensure the implementation of security measures

to:

(1) Deter the unauthorized introduction of dangerous substances and devices, including

any device intended to damage or destroy persons, vessels, facilities, or ports;



(2) Secure dangerous substances and devices that are authorized by the owner or operator

to be on the facility;



3-11

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(3) Control access to the facility; and



(4) Prevent an unescorted individual from entering an area of the facility that is

designated as a secure area unless the individual holds a duly issued TWIC and is

authorized to be in the area.



(b) Does the FSP ensure that:

(1) The locations where there are restrictions or prohibitions that prevent unauthorized

access are applied for each MARSEC level, including those points where TWIC

access control provisions will be applied. Each location allowing means of gaining

access to the facility must be addressed;



(2) The types of restriction or prohibitions to be applied and the means of enforcing them

are identified;



(3) The means used to establish the identity of individuals not in possession of a TWIC,

in accordance with 101.515 of this subchapter, and procedures for escorting them;



(4) Procedures for identifying authorized and unauthorized persons at any MARSEC

level;



(5) The locations where persons, personal effects and vehicle screenings are to be

conducted are identified. The designated screening areas should be covered to

provide for continuous operations regardless of the weather conditions;



(c) Does the Facility owner or operator ensure that a TWIC program is implemented as

follows:



(1) All persons seeking unescorted access to secure areas must present their TWIC for

inspection before being allowed unescorted access, in accordance with section

101.514 of this subchapter. Inspection must include:

(i) A match of the photo on the TWIC to the individual presenting the TWIC;



(ii) Verification that the TWIC has not expired; and



(iii) A visual check of the various security features present on the card to ensure that

the TWIC has not been forged or tampered.



(2) If an individual cannot present a TWIC because it has been lost or stolen, and he or

she has previously been granted unescorted access to the facility and is known to

have had a valid TWIC, the individual may be given unescorted access to secure

areas for a period of no longer than 7 consecutive calendar days if:

(i) The individual has reported the TWIC as lost or stolen to TSA as required by 49

CFR 1572.21;



(ii) The individual can present another identification credential that meets the

requirements of section 101.515 of this subchapter; and



(iii) There are no suspicious circumstances associated with the individual’s claim of

loss or theft.



3-12

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(3) If the individual cannot present his or her TWIC for any other reason than outlined in

paragraph (c)(2) of this section, he or she may not be granted unescorted access to the

secure area. The individual must be under escort, as that term is defined in part 101 o

f

this subchapter, at all times when inside of a secure area.



(4) With the exception of persons granted access according to paragraph (c)(2) of this

section, all persons granted unescorted access to secure areas of the facility must be

able to produce his or her TWIC upon request.



(5) Uses disciplinary measures to discourage fraud and abuse.



(6) The facility’s TWIC program should be coordinated, when practicable, with

identification and TWIC access control measures of vessels or other transportation

conveyances that use the facility.



(d) If the Facility owner or operator uses a separate identification system, does the FSP ensure

that it complies and is coordinated with TWIC provisions in this part?



(e) Does the FSP establish the frequency of application of any access controls, particularly if

they are to be applied on a random or occasional basis?



(f) MARSEC Level 1: Does the FSP at MARSEC Level 1 ensure the following security

measures are implemented at the facility:

(1) Implemented TWIC as set out in paragraph (c) of this section.



(2) Screen persons, baggage (including carry-on items), personal effects, and vehicles, for

dangerous substances and devices at the rate specified in the approved FSP, excluding

government-owned vehicles on official business when government personnel present

identification credentials for entry;



(3) Have signs been conspicuously posted describing the security measures in effect and

state:

(i) Entering the facility is deemed valid consent to screening or inspection; and



(ii) Failure to consent or submit to screening or inspection will result in denial or

revocation of authorization to enter.



(4) Check the identification of any person not holding a TWIC and seeking entry to the

facility, including vessel passengers, vendors, personnel duly authorized by the

cognizant government authorities, and visitors. This check shall include confirming

the reason for entering by examining at least one of the following:

(i) Joining instructions



(ii) Passenger tickets



(iii) Boarding passes



(iv) Work orders, pilot orders, or surveyor orders



(v) Government identification



(vi) Visitor badges issued in accordance with an identification system implemented

in accordance with the rules of this section



3-13

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(5) Deny or revoke a person's authorization to be on the facility if the person is unable or

unwilling, upon the request of facility personnel or a law enforcement officer, to

establish his or her identity in accordance with this part or to account for his or her

presence. Any such incident must be reported in compliance with this part;



(6) Designate restricted areas and provide appropriate access controls for these areas;



(7) Identify access points that must be secured or attended to deter unauthorized access;



(8 ) Deter unauthorized access to the facility and to designated restricted areas within the

facility;



(9) Screen by hand or device, such as x-ray, all unaccompanied baggage prior to loading

onto a vessel; and



(10) Secure unaccompanied baggage after screening in a designated restricted area and

maintain security control during transfers between the facility and a vessel.



(g) MARSEC Level 2: In addition to the security measures required for MARSEC Level 1,

does the FSP ensure the implementation of additional security measures, as specified for

MARSEC Level 2, that may include:

(1) Increasing the frequency and detail of the screening of persons, baggage, and personal

effects for dangerous substances and devices entering the facility



(2) X-ray screening of all unaccompanied baggage



(3) Assigning additional personnel to guard access points and patrol the perimeter of the

facility to deter unauthorized access



(4) Limiting the number of access points to the facility by closing and securing some

access points and providing physical barriers to impede movement through the

remaining access points



(5) Denying access to visitors who do not have a verified destination



(6) Deterring waterside access to the facility, which may include using waterborne patrols

to enhance security around the facility



(7) Except for government-owned vehicles on official business when government

personnel present identification credentials for entry, screening vehicles and their

contents for dangerous substances and devices at the rate specified for MARSEC

Level 2 in the approved FSP



(h) MARSEC Level 3: In addition to the security measures required for MARSEC Levels 1

and 2, in this section, at MARSEC Level 3 does the FSP ensure the implementation of

additional security measures that may include:

(1) Screening all persons, baggage, and personal effects for dangerous substances and

devices;



(2) Performing one or more of the following on unaccompanied baggage:

(i) Screen unaccompanied baggage more extensively; for example, x-raying from

two or more angles



(ii) Prepare to restrict or suspend handling unaccompanied baggage



3-14

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(iii) Refuse to accept unaccompanied baggage



(3) Being prepared to cooperate with responders and other facilities



(4) Granting access to only those responding to a security incident or threat



(5) Suspending access to the facility



(6) Suspending cargo operations



(7) Evacuating the facility



(8) Restricting pedestrian or vehicular movement on the grounds of the facility



(9) Increasing security patrols within the facility



105.257 Security Measures for Newly-Hired Employees

Does the FSP address the following TWIC rules in accordance with regulations?



(a) Newly-hired facility employees may be granted entry to secure areas of the facility for up

to 30 consecutive calendar days prior to receiving their TWIC provided all of the

requirements in this section are met, and provided that the new hire is accompanied by an

individual with a TWIC while within the secure areas of the facility.



(b) Newly-hired facility employees and FSO have completed the following prior to access

being granted:

(1) The new hire has applied for a TWIC in accordance with 49 CFR Part 1572 by

completing the full enrollment process, paying the user fee, and not be currently

engaged in a waiver or appeal process. The facility owner or operator or the Facility

Security Officer (FSO) must have the new hire sign a statement affirming this, and

must retain the signed statement until the new hire receives a TWIC; and



(2) The facility owner or operator or the FSO enters the following information on the

new hire into the Coast Guard’s Homeport website (http://homeport.uscg.mil):

(i) Full legal name, including middle name if one exists;



(ii) Date of birth;



(iii) Social security number (optional);



(iv) Employer name and 24 hour contact information; and



(v) Date of TWIC enrollment.



(3) The new hire presents an identification credential that meets the requirements of

101.515 of this subchapter.



(4) There are no other circumstances that would cause reasonable suspicion regarding the

new hire’s ability to obtain a TWIC, and the facility owner or operator or FSO have

not been informed by the cognizant COTP that the new hire poses a security threat.



(5) There would be an adverse impact to facility operations if the new hire is not allowed

access.



(c) This section does not apply to any individual being hired as a FSO, or any individual being

hired to perform facility security duties.



3-15

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(d) The new hire may not begin working at the facility under the provisions of this section

until the owner, operator, or FSO receives notification, via Homeport or some other

means, the new hire has passed an initial name check.

  

(11) Security Measures for Restricted Areas

105.260 Security Measures for Restricted Areas

(a) General: Does the FSP ensure the designation of restricted areas in order to:

(1) Prevent or deter unauthorized access



(2) Protect persons authorized to be in the facility



(3) Protect the facility



(4) Protect vessels using and serving the facility



(5) Protect sensitive security areas within the facility



(6) Protect security and surveillance equipment and systems



(7) Protect cargo and vessel stores from tampering



(b) Designation of Restricted Areas: Does the FSP ensure restricted areas are designated

within the facility? The policy shall also ensure that all restricted areas are clearly marked

and indicate that access to the area is restricted and that unauthorized presence within the

area constitutes a breach of security (the facility owner or operator may also designate the

entire facility as a restricted area.) Restricted areas must include, as appropriate:



(1) Shore areas immediately adjacent to each vessel moored at the facility



(2) Areas containing sensitive security information, including cargo documentation



(3) Areas containing security and surveillance equipment and systems and their controls,

and lighting system controls



(4) Areas containing critical facility infrastructure, including:

(i) Water supplies



(ii) Telecommunications



(iii) Electrical system



(iv) Access points for ventilation and air-conditioning systems



(5) Manufacturing or processing areas and control rooms



(6) Locations in the facility where access by vehicles and personnel should be restricted



(7) Areas designated for loading, unloading or storage of cargo and stores



(8) Areas containing cargo consisting of dangerous goods or hazardous substances,

including certain dangerous cargoes



(c) Does the FSP have processes that ensure that all restricted areas have clearly established

security measures to:

(1) Identify which facility personnel are authorized to have access



(2) Determine which persons other than facility personnel are authorized to have access



3-16

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(3) Determine the conditions under which that access may take place



(4) Define the extent of any restricted area



(5) Define the times when access restrictions apply



(6) Clearly mark all restricted areas and indicate that access to the area is restricted and

that unauthorized presence within the area constitutes a breach of security



(7) Control the entry, parking, loading and unloading of vehicles



(8) Control the movement and storage of cargo and vessel stores



(9) Control unaccompanied baggage or personal effects



(d) MARSEC Level 1: Does the FSP, at MARSEC Level 1, ensure the implementation of

security measures to prevent unauthorized access or activities within the area that may

include:

(1) Restricting access to only authorized personnel



(2) Securing all access points not actively used and providing physical barriers to impede

movement through the remaining access points



(3) Assigning personnel to control access to restricted areas



(4) Verifying the identification and authorization of all persons and all vehicles seeking

entry



(5) Patrolling or monitoring the perimeter of restricted areas



(6) Using security personnel, automatic intrusion detection devices, surveillance

equipment or systems to detect unauthorized entry or movement within restricted

areas



(7) Directing the parking, loading, and unloading of vehicles within a restricted area



(8) Controlling unaccompanied baggage and/or personal effects after screening



(9) Designating restricted areas for performing inspections of cargo and vessel stores

while awaiting loading



(10) Designating temporary restricted areas to accommodate facility operations. If

temporary restricted areas are designated, the FSP must include a requirement to

conduct a security sweep of the designated temporary restricted area both before and

after the area has been established



(e) MARSEC Level 2: Does the FSP, at MARSEC Level 2, in addition to the security

measures required for MARSEC Level 1 ensure the implementation of additional security

measures that may include:

(1) Increasing the intensity and frequency of monitoring and access controls on existing

restricted access areas



(2) Enhancing the effectiveness of the barriers or fencing surrounding restricted areas, by

the use of patrols or automatic intrusion detection devices



(3) Reducing the number of access points to restricted areas, and enhancing the controls

applied at the remaining accesses



3-17

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(4) Restricting parking adjacent to vessels



(5) Further restricting access to the restricted areas and movements and storage within

them



(6) Using continuously monitored and recorded surveillance equipment



(7) Enhancing the number and frequency of patrols, including waterborne patrols

undertaken on the boundaries of the restricted areas and within the areas



(8) Establishing and restricting access to areas adjacent to the restricted areas



(f) MARSEC Level 3: Does the FSP at MARSEC Level 3, in addition to the security

measures required for MARSEC Levels 1 and 2, ensure the implementation of additional

security measures that may include:

(1) Restricting access to additional areas;



(2) Prohibiting access to restricted areas; and



(3) Searching restricted areas as part of a security sweep of all or part of the facility.



(12) Security Measures for Handling Cargo

105.265 Security Measures for Handling Cargo

(a) General: Does the FSP ensure that security measures relating to cargo handling, some of

which may have to be applied in liaison with the vessel, are implemented in order to:

(1) Deter tampering



(2) Prevent cargo that is not meant for carriage from being accepted and stored at the

facility without the knowing consent of the facility owner or operator



(3) Identify cargo that is approved for loading onto vessels interfacing with the facility



(4) Include cargo control procedures at access points to the facility



(5) Identify cargo that is accepted for temporary storage in a restricted area while

awaiting loading or pick up



(6) Restrict the entry of cargo to the facility that does not have a confirmed date for

loading, as appropriate.



(7) Ensure the release of cargo only to the carrier specified in the cargo documentation.



(8) Coordinate security measures with the shipper or other responsible party in

accordance with an established agreement and procedures.



(9) Create, update, and maintain a continuous inventory, including location, of all

dangerous goods or hazardous substances from receipt to delivery within the facility,

giving the location of those dangerous goods or hazardous substances.



(b) MARSEC Level 1: Does the FSP at MARSEC Level 1 ensure the implementation of

measures to:

(1) Routinely check cargo, cargo transport units, and cargo storage areas within the

facility prior to, and during, cargo handling operations to deter tampering.



(2) Check that cargo, containers, or other cargo transport units entering the facility match

the delivery note or equivalent cargo documentation.



3-18

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(3) Screen vehicles



(4) Check seals and other methods used to prevent tampering upon entering the facility

and upon storage within the facility.



(c) MARSEC Level 2: Does the FSP at MARSEC Level 2; in addition to the security

measures required for MARSEC Level 1 ensure the implementation of additional security

measures that may include:

(2) Intensifying checks, as appropriate, to ensure that only the documented cargo enters

the facility, is temporarily stored there, and then loaded onto the vessel.



(3) Intensifying the screening of vehicles.



(4) Increasing frequency and detail in checking of seals and other methods used to

prevent tampering.



(5) Segregating inbound cargo, outbound cargo, and vessel stores.



(6) Increasing the frequency and intensity of visual and physical inspections.



(7) Limiting the number of locations where dangerous goods and hazardous substances,

including certain dangerous cargoes, can be stored.



(d) MARSEC Level 3: Does the FSP at MARSEC Level 3, in addition to the security

measures required for MARSEC Levels 1 and 2, ensure the implementation of additional

security measures that may include:

(1) Restricting or suspending cargo movements or operations within all or part of the

facility or specific vessels



(2) Being prepared to cooperate with responders and vessels



(3) Verifying the inventory and location of any dangerous goods and hazardous

substances, including certain dangerous cargoes, held within the facility and their

location



(13) Security Measures for Delivery of Vessel Stores and Bunkers

105.270 Security Measures for Delivery of Vessel Stores and Bunkers

(a) General: Does the FSP ensure that security measures relating to the delivery of vessel

stores and bunkers are implemented to:

(1) Check vessel stores for package integrity;



(2) Prevent vessel stores from being accepted without inspection;



(3) Deter tampering;



(4) For vessels that routinely use a facility, establish and execute standing arrangements

between the vessel, its suppliers, and a facility regarding notification and the timing

of deliveries and their documentation; and



(5) Check vessel stores by one of the following means:

(i) Visual examination;



(ii) Physical examination;



(iii) Detection devices, such as scanners; or



3-19

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(iv) Canines



(b) MARSEC Level 1: Does the approved FSP at MARSEC Level 1 ensure the

implementation of measures to:

(1) Screen vessel stores at the rate specified;



(2) Require advance notification of vessel stores or bunkers delivery, including a list of

stores, delivery vehicle driver information, and vehicle registration information;



(3) Screen delivery vehicles at the frequencies specified; or



(4) Escort delivery vehicles within the facility at the rate specified.



(c) MARSEC Level 2: Does the FSP at MARSEC Level 2; in addition to the security

measures required for MARSEC Level 1 ensure the implementation of additional security

measures that may include:

(1) Detailed screening of vessel stores;



(2) Detailed screening of all delivery vehicles;



(3) Coordinating with vessel personnel to check the order against the delivery note prior

to entry to the facility;



(4) Ensuring delivery vehicles are escorted within the facility; or



(5) Restricting or prohibiting the entry of vessel stores that will not leave the facility

within a specified period.



(d) MARSEC Level 3: Does the FSP at MARSEC Level 3, in addition to the security

measures required for MARSEC Levels 1 and 2, ensure the implementation of additional

security measures that may include:

(1) Checking all vessel stores more extensively;



(2) Restricting or suspending delivery of vessel stores; or



(3) Refusing to accept vessel stores on the facility.



(14) Security Measures for Monitoring

105.275 Security Measures for Monitoring

(a) General: Is there a description of security measures that have the capability to

continuously monitor, through a combination of lighting, security guards, waterborne

patrols, automatic intrusion-detection devices, surveillance equipment, or any other

security measures for each of the following facility features:

(1) Facility and its nearby approaches, on land and water;



(2) Restricted areas within the facility; and



(3) Vessels at the facility and/or areas surrounding the vessels.



(b) MARSEC Level 1: Does the approved FSP at MARSEC Level 1 ensure the security

measures in this section are implemented at all times, including the period from sunset to

sunrise and periods of limited visibility. For each facility, ensure monitoring capability

that:



3-20

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(1) When automatic intrusion-detection devices are used, an audible or visual alarm is

activated that is either continuously attended or monitored;

  

(2) Provisions for monitoring equipment to function continually, including consideration

of the possible effects of weather or of a power disruption;

  

(3) Monitors the facility area, including shore and waterside access to it;

  

(4) The capability of monitors access points, barriers and restricted areas;

  

(5) The capability of monitors access and movements adjacent to vessels using the

facility, including augmentation of lighting provided by the vessel itself; and

  

(6) Provisions to limit lighting effects, such as glare, and their impact on safety,

navigation, and other security activities.

  

(c) MARSEC Level 2: Does the FSP at MARSEC Level 2; in addition to the security

measures required for MARSEC Level 1 ensure the implementation of additional security

measures that may include:

(1) Increasing the coverage and intensity of surveillance equipment, including the

provision of additional surveillance coverage;

  

(2) Increasing the frequency of foot, vehicle or waterborne patrols;

  

(3) Assigning additional security personnel to monitor and patrol; or

  

(4) Increasing the coverage and intensity of lighting, including the provision of additional

lighting and coverage.

  

(d) MARSEC Level 3: Does the FSP at MARSEC Level 3, in addition to the security

measures required for MARSEC Levels 1 and 2, ensure the implementation of additional

security measures that may include:

(1) Switching on all lighting within, or illuminating the vicinity of, the facility?

  

(2) Switching on all surveillance equipment capable of recording activities within or

adjacent to the facility?

  

(3) Maximizing the length of time such surveillance equipment can continue to record?

  

(4) A description of procedures to comply with the instructions issued by those

responding to the security incident?

  

(15) Security Incident Procedures

105.280 Security Incident Procedures

For each MARSEC Level, Does the Facility Security Plan (FSP) ensure that the Facility

Security Officer (FSO) and facility security personnel are able to:

(a) Respond to security threats or breaches of security and maintain critical facility and

vessel-to-facility interface operations;

  

(b) Evacuate the facility in case of security threats or breaches of security;

  

(c) Report security incidents as required in 101.305 of this subchapter;

  

(d) Brief all facility personnel on possible threats and the need for vigilance, soliciting their

assistance in reporting suspicious persons, objects, or activities; and

  

3-21

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(e) Secure non-critical operations in order to focus response on critical operations.

  

(16) Audits and Security Plan Amendments

105.415 Amendment and Audit

(a) Amendments: Does the FSP identify the amendment procedures to a Facility Security

Plan (FSP) that is approved by the cognizant COTP or proposed amendments submitted

to the cognizant COTP by the Facility owner or operator per 105.415(a)(1) through (4)

of this subpart?



(b) Audits: Does the FSP define the audit process, describe who will conduct the audit, their

experience/knowledge level, and procedures to perform audits when amendments have

been made to the FSP per 105.415(b)(1) through (5) of this subpart?



(17) Facility Security Assessment (FSA) Report

105.305 Facility Security Assessment (FSA) Requirements (Subpart C)

(c) FSA Report:

(1) Verify the written FSA report is prepared and included as part of the FSP, and must

contain the following:

(i) A summary of how the on-scene survey was conducted;



(ii) A description of existing security measures, including inspection, control and

monitoring equipment, personnel identification documents and communication,

alarm, lighting, access control, and similar systems;



(iii) A description of each vulnerability found during the on-scene survey;



(iv) A description of security measures that could be used to address each

vulnerability;



(v) A list of the key facility operations that are important to protect; and



(vi) A list of identified weaknesses, including human factors, in the infrastructure,

policies, and procedures of the facility.



(2) Are the following elements addressed within the FSA report:

(i) Physical security;



(ii) Structural integrity;



(iii) Personnel protection systems;



(iv) Procedural policies;



(v) Radio and telecommunication systems, including computer systems and

networks;



(vi) Relevant transportation infrastructure; and



(vii) Utilities.



(3) Is there a list of the persons, activities, services, and operations that are important to

protect, in each of the following categories within the FSA report:

(i) Facility personnel;



3-22

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

(ii) Passengers, visitors, vendors, repair technicians, vessel personnel, etc;



(iii) Capacity to maintain emergency response;



(iv) Cargo, particularly dangerous goods and hazardous substances;



(v) Delivery of vessel stores;



(vi) Any facility security communication and surveillance systems; and



(vii) Any other facility security systems, if any.



(4) Does the FSA report account for the vulnerabilities in the following areas:

(i) Conflicts between safety and security measures?



(ii) Conflicts between duties and security assignments?



(iii) The impact of watch-keeping duties and risk of fatigue on facility personnel

alertness and performance?



(iv) Security training deficiencies?



(v) Security equipment and systems, including communication systems?



(5) Does the FSA report discuss and evaluate key facility measures and operations,

including:

(i) Ensuring performance of all security duties



(ii) Controlling access to the facility, through the use of identification systems or

otherwise;



(iii ) Controlling the embarkation of vessel personnel and other persons and their

effects (including personal effects and baggage whether accompanied or

unaccompanied);



(iv) Procedures for the handling of cargo and the delivery of vessel stores;



(v) Monitoring restricted areas to ensure that only authorized persons have access;



(vi) Monitoring the facility and areas adjacent to the pier.



Not

Satisfactory



*Not

Applicable



(18) Facility Vulnerability and Security Measures Summary

- Example of Form CG-6025 is in Appendix A to Part 105 -

105.405 Facility Vulnerability and Security Measures Summary (Form CG-6025)

Has the Facility Vulnerability and Security Measures Summary (Form CG-6025) been

completed using the following?

● Information found in the FSA concerning identified vulnerabilities; and



● Information found in the FSP concerning security measures in mitigation of these

vulnerabilities.



● Does the CG-6025 list the vulnerabilities identified from the above?



§105.285 – 296 Additional Requirements Sections

105.285 Additional Requirements – Passenger and Ferry Facilities

(a) Does the FSP identify, at all MARSEC Levels, the security measures that have been

established in coordination with a vessel moored at the facility by:

3-23

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

Not

Satisfactory

*Not

Applicable

(1) Establishing separate areas for segregation of checked from unchecked persons and

personal effects



(2) Assuring a defined percentage of vehicles to be loaded are screened prior to loading in

accordance with current MARSEC Directive or orders issued by the Coast Guard



(3) Assuring that all unaccompanied vehicles are screened prior to loading



(4) Denying passengers access to security and restricted areas unless supervised by

facility personnel



(5) Providing sufficient security personnel to monitor all persons in a facility with a

public access area designated under 105.106



(b) At MARSEC Level 2, in addition to the requirements stated paragraph (a) of this section,

the owner or operator of a passenger or ferry facility with a public access area designated

under 105.106 must increase the intensity of monitoring of the public access area



(c) At MARSEC Level 3, in addition to the requirements stated paragraphs (a) and (b) of this

section, the owner or operator of a passenger or ferry facility with a public access area

designated under 105.106 must increase the intensity of monitoring and assign additional

security personnel to monitor the public access area



105.290 Additional Requirements – Cruise Ship Terminals

At all MARSEC Levels, the facility owner or operator, in coordination with a vessel moored

at the facility, must ensure the following security measures by:

(a) Screening all persons, baggage, and personal effects for dangerous substances and devices;



(b) Checking the identification of all persons seeking to board the vessel. Persons holding a

TWIC shall be checked as set forth in this part. For those not holding a TWIC this check

includes confirming the reason for boarding by examining joining instructions, passenger

tickets, boarding passes, government identification or visitor badges, or work orders;



(c) Designate holding, waiting, or embarkation areas within the facility’s secure area to

segregate screened persons and their personal effects from unscreened persons and their

personal effects;



(d) Providing additional security personnel to designated holding, waiting, or embarkation

areas within the facility’s secure area; and



(e) Denying individuals not holding a TWIC access to secure and restricted areas unless

escorted.



105.295 Additional Requirements – Certain Dangerous Cargo (CDC) Facilities

(a) At all MARSEC Levels, in addition to requirements of this part, owners or operators of

CDC facilities must ensure the implementation of the following security measures by :

3-24

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

Facility Identification Number: OPFAC:

Facility Name: Facility Type:

Reviewer: QA Reviewer: MISLE Activity #:

FSP Content Requirements per 33 CFR 105.405(a):

* Note: Does the FSP briefly state why the regulatory provision is not applicable?

Satisfactory

(2) Controlling the parking, loading, and unloading of vehicles within a facility;



(3) Requiring security personnel to record or report their presence at key points during

their patrols;



(4) Searching unmanned or unmonitored waterfront areas for dangerous substances and

devices prior to a vessel’s arrival at the facility; and



(5) Providing an alternate or independent power source for security and communications

systems.



(b) At MARSEC Level 2, in addition to requirements of MARSEC Level 1, owners or

operators of CDC facilities must ensure the implementation of the following security

measures by:

(1) Releasing of cargo only in the presence of the Facility Security Officer (FSO) or a

designated representative of the FSO;



(2) Continuously patrolling of restricted areas:



(c) At MARSEC Level 3, in addition to requirements of MARSEC Level 1 and 2, owners or

operators of CDC facilities must ensure the facilities are continuously guarded and

restricted areas are patrolled.



Not

Satisfactory



*Not

Applicable



105.296 Additional Requirements – Barge Fleeting Facilities

(a) At MARSEC Level 1, in addition to the requirements of this part, an owner or operator of

a barge fleeting facility must endure the implementation of the following security

measures by:

(1) Designating one or more restricted areas within the barge fleeting facility to handle

those barges carrying, in bulk, cargoes regulated by 46 CFR Chapter I, subchapters D

or O, or Certain Dangerous Cargoes;



(2) Maintaining a current list of vessels and cargoes in the designated restricted area;



(3) Ensuring that at least one towing vessel is available to service the fleeting facility for

every 100 barges within the facility; and



(4) Controlling access to the barges once tied to the fleeting area by implementing TWIC

as described in 105.255 of this part.



(b) At MARSEC Level 2, in addition to the requirements of this part and MARSEC Level 1,

an owner or operator of a barge fleeting facility must ensure security personnel are

assigned to monitor or patrol the designated restricted area within the barge fleeting

facility.



(d) At MARSEC Level 3, in addition to the requirements of this part and MARSEC Level 2,

an owner or operator of a barge fleeting facility must ensure that both land and waterside

perimeters of the designated restricted area within the barge fleeting facility are

continuously monitored or patrolled.



3-25

Enclosure (3) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

United States Coast Guard

FACILITY SECURITY PLANS (FSP) REVIEW CHECKLIST (General Facilities)

FIN: _______________________ Activity #: ___________________ Initials: __________ & __________

Item Explanation of Deficiency

Comments

3-26

Enclosure (4) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 4

SAMPLE PLAN REVIEW-RELATED LETTERS

Enclosure (4) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Unit Address

Staff Symbol:

Phone:

Fax:

Date

MISLE Activity # XXXXXXX FIN #: XXXXXX

Company Name

Attn:

Address

City, State, Zip

Dear Mr./Ms./Captain XXXX:

We have completed a review of your submitted Facility Security Plan (FSP) dated [date] for [Facility

Name]. Unfortunately, your plan does not meet the requirements as outlined in 33 CFR Part 105. All

deficiencies must be corrected and re-submitted to this office no later than 30 days from the date of this

letter. Please note that regulated operations cannot commence until final approval of the FSP by this

office. Enclosed, please find Enclosures (2) and (3) of NVIC 03-03 CH-2 to assist you in the

preparation and review of your FSP prior to re-submittal.

Should you have any further questions concerning your facility security plan review, please

contact [title] [X. X. Name] at [Telephone #].

Sincerely,

X. X. NAME

[title], U.S. Coast Guard

By direction

4-1

Enclosure (4) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Unit Address

Staff Symbol:

Phone:

Fax:

Company Name

Attn:

Address

Date

MISLE Activity # XXXXXXX FIN #: XXXXXX

City, State, Zip

Dear Mr./Ms./Captain XXXX:

The Facility Security Plan (FSP) for [Facility Name], submitted to meet the requirements of Title 33 Code of

Federal Regulations (CFR) Part 105, is approved.

Commencing from the date of this letter, [Facility Name] must operate in compliance with this approved security

plan and any additional requirements contained in 33 CFR Part 105. Your facility is subject to inspections at any

time by Coast Guard personnel, to verify compliance with your security plan. Failure to comply with the

requirements of 33 CFR Part 105, including those as outlined in your FSP, may result in suspension or revocation

of this security plan approval, thereby making this facility ineligible to operate in, on, under, or adjacent to waters

subject to the jurisdiction of the U.S. in accordance with 46 USC 70103(c)(5). Your FSP is Sensitive Security

Information and must be protected in accordance with 49 CFR Part 1520. A copy of your security plan and any

amendments must be made available to Coast Guard personnel upon request.

This approval will remain valid until five years from the date of this letter unless rescinded in writing by this

office. You must review your plans annually and submit any amendments to this office for re-approval as required

by Title 33, CFR 105.410 and 105.415. Keep a copy of this letter with the security plan.

At a minimum, Coast Guard personnel will audit your adherence with the requirements of this plan on an annual

basis.

I commend your efforts in developing a security plan that reflects your company's operating procedures and

organizational structure. Implementation of the strategies and procedures contained in your plan serve to reduce

the risk and mitigate the results of an act that threatens the security of personnel, the facility, and the public.

Please ensure that all parties with responsibilities under these plans are familiar with the procedures and

requirements contained therein. If you have any questions, please contact XXXX at (XXX) XXX-XXXX.

Sincerely,

X. X. NAME

[title], U.S. Coast Guard

By direction

4-2

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 5

ADDITIONAL APPLICABILITY GUIDANCE

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

5.1 Applicability Job Aid

5.1.1 The regulatory models indicated on the following pages are not intended to limit the

discretion of the COTP. The COTP may depart from this guidance when expanding or

reducing the regulated boundaries within a given facility, in order to prevent a

Transportation Security Incident (TSI). Considerations such as the Area Maritime Security

Plan (AMSP) may be taken into account by the COTP as well as provisions implemented

by a facility that effectively mitigate vulnerabilities unique to that facility.

5.1.2 The requirements of 33 CFR 105.105 state the applicability for facilities. Once a facility

owner/operator determines that the rule applies, and for the purposes of accurately

identifying that portion of a facility’s operation that is to be regulated under the rule, it is

critical that close attention be given by plan submitters, reviewers and approvers when

identifying exactly where a facility’s maritime nexus begins and ends. In all cases, facility

owners/operators, in accordance with the rule, their individual facility security assessments

(FSA) and accepted security practices, are expected to effectively establish the physical

boundaries of the facility’s MTSA regulated area(s). This area(s) is to encompass only

those aspects of operation that have, or in practicality cannot be functionally separated

from, a maritime nexus. The FSP must mitigate the exploitation of FSA identified

vulnerabilities, in the context of the maritime nexus, which could result in a Transportation

Security Incident (TSI). COTPs are encouraged to closely consider how these regulated

boundaries are determined by plan submitters in their review, approval, and/or denial of a

Facility Security Plan (FSP); to ensure that the footprint of the regulated area(s) is neither

too small nor too large. COTPs should be cautious when reviewing an FSP for approval or

amendment that proposes a gross inclusion, expansion or shrinking of an MTSA regulated

footprint, that does not meet the applicability standards given in 33 CFR 105.105.

5.1.3 For the purpose of illustration, in the singular case of marine transfer facilities (bulk oil and

chemical facilities), under previous rules and regulations, the Coast Guard inspected to the

first valve inside the secondary containment. The following scenarios are in keeping with

this interpretation. The intent is to provide examples where consideration has been given in

determining the maritime nexus as well as mechanisms that can be employed in

establishing where that nexus begins and ends. Similar approaches may be taken by other

industry owner/operators with regulated facilities. In all cases, the criteria employed in

determining a facility’s MTSA regulated boundary must be evident in its FSA wherein

vulnerabilities, exploitable in the causation of a TSI, are identified and mitigated by the

FSP.

5-1

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

5.1.4 The COTP determines if a facility is isolated as defined in 33 CFR 105.105(c)(5). When

making such a determination, the COTP should ensure that there is a lack of road access

to the facility and that the facility does not distribute through secondary marine transfers.

The COTP may wish to account for these facilities in the Area Maritime Security Plan

Assessment, but there is no requirement for the COTP to issue a letter of determination to

these facilities. However, if the facility is isolated but does conduct secondary marine

5-1

transfers, that facility’s owner/operator must submit a request for a waiver in accordance

with 33 CFR 105.130.

5-2

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Regulatory Application Models

Image 1

Scenario

(Image 1) Description Regulated Area

1

A marine transportation-related (MTR)

facility transferring cargo through a

pipeline crosses a public street. However,

the first valve within containment is located

on the facility property across the street.

Both facility locations are regulated by

33 CFR 105. The facilities’ security

assessment will highlight how the

properties are interrelated.

2

An MTR facility transferring cargo through

a pipeline crosses a public street. In this

scenario, the first valve within containment

is located on the waterfront portion of the

facility.

If there is access control for the facility

where the valve within containment is

located, then only that portion of the facility

is regulated under 33 CFR 105.

If there are any control systems outside the

area described above, then the facility on

which the controls are located will be

regulated by 33 CFR 105.

5-3

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Image 2

Scenario

(Image 2) Description Regulated Area

3

Facility 1 is located along the waterfront,

transferring cargo to storage tanks adjacent

to the waterfront, and to tanks within the

manufacturing facility not adjacent to the

waterfront.

Facility 1 is regulated by 33 CFR 105. The

vulnerability assessment will identify any

restricted areas within the facility or

identify the entire facility as a restricted

area.

4

Facility 2 is located along the waterfront.

In addition, there are multiple facilities

owned/operated by other companies within

Facility 2. Facility 6 is located within

Facility 2 and has no marine activities.

Facility 10 is located inside Facility 2 along

the perimeter, but has a separate entrance

and exit. Facility 11 is located within

Facility 2 and transfers cargo to storage

tanks along the waterfront.

Facility 2 is regulated by 33 CFR 105.

Facility 2 would identify any restricted

areas within the facility or designate the

entire facility as a restricted area. The

security plan for Facility 2 should address

security measures for Facilities 6, 10, and

11, which are enclosed within its perimeter

(for access control, etc.). Facilities 6, 10,

and 11 are not regulated by 33 CFR 105.

5

Facility 3 is located on the waterfront, but

has no MTR activities.

Facility 3 is not regulated by the Coast

Guard and, therefore, would not be subject

to the 33 CFR 105 requirements.

6

Facility 4 is located near the waterfront, but

is not actually on the waterfront and does

not have any MTR activities.

Facility 4 is not regulated by the Coast

Guard and, therefore, would not be subject

to the 33 CFR 105 requirements.

5-4

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Image 3

Scenario

(Image 3) Description Regulated Area

7

Facility 5 is not located on the waterfront itself, but it

does have a MTR facility that transfers product back

into the storage tanks within the facility. The “first

valve within containment” is located near the tank

farm area (not on the dock).

Facility 5 is regulated and is required to be

in compliance with 33 CFR 105. If the MTR

facility has access control and is where the

first valve within containment is located,

Facility 5 would not be subject to

33 CFR 105.

8

Facility 6 is located inside Facility 2, does not have

any MTR activities, and is not located on the

waterfront. Facility 2 must be entered in order to gain

access to Facility 6..

Facility 6 shall be accounted for in the

Vulnerability Assessment and FSP of

Facility 2. Facility 6 is not subject to

33 CFR 105.

9

Facility 7 is similar to Facility 1, located along the

waterfront, and transfers cargo to storage tanks

adjacent to the waterway and to tanks within the

production facility not adjacent to the waterfront.

Facility 7 is required to be in compliance

with 33 CFR 105. The plan will identify any

restricted areas within the facility or consider

the entire facility as a restricted area.

10

Facility 8 is a separate company located several miles

from the waterfront and transfers cargo to and from

Facility 1, which transfers cargo to the MTR facility.

The transfer operation will be considered in

the assessment for Facility 1. Facility 8 is

not subject to 33 CFR 105.

11

Facility 9 transfers cargo through a pipeline from an

MTR to a receiving/transferring facility located

several miles away. The first valve within containment

is located at the receiving/ transferring facility several

miles from the waterfront.

Facility 9 is regulated by 33 CFR 105. The

plan will incorporate the marine facility, the

pipeline, and the receiving facility.

5-5

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Image 4

Scenario

(Image 4) Description Regulated Area

12

Facility 10 is located within Facility 2;

however, Facility 10 does not conduct

MTR activities and has its own access

control. (Access through Facility 2 is not

necessary to enter Facility 10.)

Facility 10 is not subject to 33 CFR 105.

13

Facility 11 is located within Facility 2 and

personnel must pass through access control

of Facility 2 to enter Facility 11. Facility 11

transfers cargo to a storage tank located

within Facility 2, which transfers cargo

to/from vessels.

Facility 11 will need to be considered part

of the assessment of Facility 2. Facility 11

is not required to be in compliance with 33

CFR 105.

14

Facility 12 is located within Facility 2 and

personnel must pass through access control

of Facility 2 to enter Facility 12. Facility 12

transfers cargo to/from vessels.

Facility 12 is regulated under 33 CFR 105.

5-6

Enclosure (5) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Image 5

Scenario

(Image 5) Description Regulated Area

15

Facility in image 5 is a dock that has a

casino boat permanently moored at the

dock.

If the vessel is permanently moored and

does not have a certificate of inspection,

neither the vessel nor the facility will be

regulated by 33 CFR 105.

16

A facility similar to the one in image 5

services cruise-type vessels that depart

from the facility, sail up and down the river,

and then returns to the same facility to

disembark the passengers.

Both the vessel and facility are required to

have separate plans. They can have a

combined plan, but will have to submit it to

both the MSC and COTP, and will have to

have an index to cross-reference the vessel

and facility requirements.

NOTE: As of 31 Dec 2009, permanently moored vessels (i.e.: Casino) will no longer be MTSA regulated.

17

(No image provided) A ferry embarks and

disembarks passengers and vehicles at two

separate facilities.

The vessel and the facilities are required to

be in compliance with 33 CFR 104 and

33 CFR 105. The separate plans may be

consolidated into one. The consolidated

plan will have to be submitted to both MSC

(for vessels) and the local COTP (for the

facilities). The consolidated plan will be

cross-indexed for both vessels and

facilities. The above situation refers to

ferries that are not involved in coastwise or

international voyages.

18

(No image provided) Facility receives a

vessel on an international voyage

carrying a non-hazardous material (e.g.,

rock, limestone, wood, timber) that calls on

a manned/unmanned facility. In many

cases, the vessel conducts the transfer

operation with no shore assistance.

If the vessel exceeds 100 GRT, the facility

must be in compliance with 33 CFR 105

and develop a facility security plan.

19

(No image provided) The same as scenario

18, but the vessel is only on a domestic

voyage.

Same as scenario 18 except the facility is

not required to be in compliance with 33

CFR 105 if it only receives domestic route

vessels less than 100 GRT and does not

receive certain dangerous cargoes (CDCs).

5-7

Enclosure (6) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 6

SAMPLE DECLARATION OF SECURITY (DoS) DOCUMENT

Enclosure (6) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Declaration of Security (DoS)

(Sample)

(Name of Vessel) (Name of Facility)

(IMO or VIN Number) (Location)

(Registry/Flag) (COTP Zone)

This Declaration of Security is valid from _______________ until _______________, for the following

facility/vessel interface activities under MARSEC Level ________.

The facility and vessel agree to the following security responsibilities:

Activity Facility Vessel

1. Communications established between the vessel and vessel/facility:

a. Means of raising alarm agreed between vessel and waterfront facility

b. Vessel/facility report/communicate any noted security non-conformities

and notify appropriate government agencies

c. Procedures established to notify local and federal authorities (specifically

who contacts local authorities, National Response Center, and Coast Guard)

2. Responsibility for checking identification and screening of:

a. Passengers and crew identification (including TWIC)

b. Passenger and crew hand carried items and luggage (including

unaccompanied baggage)

c. Vessel stores, bunkers, cargo, and vehicles (as appropriate)

3. Responsibility for searching the berth/pier directly surrounding the vessel

4. Responsibility for monitoring and/or performing security of water surrounding

the vessel

5. Responsibility for monitoring restricted areas

6. Responsibility for controlling access to the port facility

7. Responsibility for controlling access to the vessel

8. Ensuring the performance of all security duties for vessel and facility personnel

9. Verification of increased MARSEC level and implementation of additional

protective measures

6-1

____________________________________ ___________________________________

Enclosure (6) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

The signatories to this agreement certify that security arrangements meet the provisions of the Maritime

Transportation Security Act of 2002.

Date of issue: _________________________

(Signature of Facility Security Officer) (Signature of Master or Vessel Security Officer)

(Name and Title, Facility Security Officer) (Name and Title, Master or Vessel Security Officer)

Contact information: ___________________ Contact information: __________________

6-2

Enclosure (7) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 7

MTSA FACILITY COMPLIANCE GUIDE

Enclosure (7) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

USE OF THE MTSA FACILITY COMPLIANCE GUIDE

The Safe Port Act was signed by the President in October 2006 as part of ongoing efforts to

develop countermeasures for traditional areas of vulnerability in the maritime domain. Among

other things, this act modifies the provisions found in 46 USC 70103 by providing specific

requirements for Coast Guard facility inspection performance. The Safe Port Act requires that the

Coast Guard “verify the effectiveness of each facility security plan periodically, but not less than

two times per year, at least one of which shall be an inspection of the facility that is conducted

without notice to the facility.”

To implement this requirement, the Coast Guard will conduct, within each 12 month period, a

minimum of: (1) one announced annual MTSA Compliance Examination for each facility; (2) at

least one unannounced Facility Security Spot Check for each facility; and, (3) where the Facility

Security Spot Check or deficiency history warrants, an unannounced MTSA Compliance

Examination.

At the Captain of the Port’s (COTP) discretion, an unannounced Facility Security Spot Check may

be expanded into a full, unannounced MTSA Compliance Examination.

Facility security spot checks performed under the MTSA facility inspection program will confirm

facility compliance with the minimum performance-based security requirements in 33 CFR part

105. Facility security spot checks will, at a minimum:

A. Ensure that the security measures in place address vulnerabilities that were identified

and documented on Form CG-6025 during the facility’s vulnerability assessment;

B. Focus on traditional areas of national non-compliance such as security measures for

restricted areas and access control;

C. Address past deficiencies based on the facility’s security inspection history;

D. Confirm compliance with unique rules for facilities by type, such as screening

standards required at cruise ship terminals;

E. Focus on implementation of the FSP (security awareness of employees, ability to

execute security protocols, etc.);

F. Facility security spot checks should place less emphasis on items that do not change

between annual MTSA facility compliance examinations (i.e., drills/exercise records);

and,

G. Provide the facility with on-the-spot written documentation of both the results of the

spot check and any security measures implemented by the facility to correct

deficiencies noted.

This guide may be used for facility security spot checks. Security spot check items are marked

“Spot Check” at the beginning of the inspection category. Items inspected for annual compliance

exams but not typically inspected for security spot checks can be marked N/A for this purpose.

Units are encouraged to conduct multiple Security Spot Checks in accordance with the Maritime

Security Risk Analysis Model (MSRAM) for facilities in their Area of Responsibility (AOR).

7-1

Enclosure (7) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

This guide is designed to assist Coast Guard inspectors in conducting field compliance inspections,

to include Facility Security Spot Checks, of FSPs associated with domestic U.S. facilities engaged

in the transportation of cargo and passengers by water. This guide is composed of a compliance

checklist to assist the inspector in ensuring that key components of the MTSA regulations are

verified.

This guide will also assist the Facility Security Officer and auditors [33 CFR 105.415(b)] in

ongoing self-assessments of the facility security programs. There are four key steps that the Coast

Guard inspector must follow when conducting a compliance inspection:

1) Ensure the completeness and adequacy of the Facility Security Assessment (FSA) and the

Facility Vulnerability and Security Measures Summary (CG-6025)

2) Ensure the approved FSP/ASP adequately addresses the performance-based criteria as

outlined in 33 CFR 105

3) Ensure that the measures in place adequately mitigate the vulnerabilities summarized on

Form CG-6025.

4) Ensure the facility complies with the FSP

MTSA regulations do not mandate specific equipment or procedures, but call for performance-

based criteria to ensure the security of the facility. While this guide is designed to assist the Coast

Guard facility inspector, it cannot be used alone to verify that the facility has adequate security

measures. The review of the FSA and FSP requires interaction with the facility owner, operator,

designated security officers, and all personnel with related duties aboard the facility.

7-2

Enclosure (7) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

Pre-inspection Preparation Inspection Post-inspection Items

• Review FSA Report, Form CG-

6025 and FSP

• Review MISLE records

• Review deficiency history

• Review CG Activity History

For Announced Inspections:

• Schedule inspection with FSO

and provide FSO with MTSA

Facility Compliance Guide

(Enclosure 7 of NVIC 03-03)

with instructions for FSO to

complete prior to Coast Guard

inspection

For Unannounced Facility

Security Spot Checks:

• Select the areas to be spot-

checked and so indicate on the

MTSA Facility Compliance

Guide. (See pages 59 through

67 of this publication.)

• Verify FSA

• Verify Form CG-6025

• Verify FSP implementation

For Announced Inspections:

• Complete and review the

MTSA Facility Compliance

Guide with the FSO

For Unannounced Facility

Security Spot Checks:

• For unannounced (and full

MTSA compliance exams), the

inspector(s) shall select a time

during the inspection, to

confirm the availability of the

FSO by contacting the FSO

and advising him/her that an

unannounced inspection is

underway

• Complete MISLE MTSA

Compliance Exam

activity case

• Determine whether

amendments to the FSP

are required

• Initiate appropriate

actions to ensure timely

correction of deficiencies

Compliance inspections may address all or pre-selected areas of the MTSA regulations, and shall

be done through observation of the current security procedures in place for each MARSEC Level;

interviewing facility personnel regarding security duties and procedures; verifying on-site

presence and validity of required security documents; and proper operation of security equipment.

This booklet is intended only as a guide to general MTSA requirements. Specific

requirements will be contained in the FSP and implementing procedures.

7-3

United States Coast Guard

MTSA FACILITY COMPLIANCE GUIDE

Name of Facility/Location: Facility Type:

Facility ID Number: MISLE Activity Number:

Inspection Type – Full or Spot Check: Areas Inspected: (ex. G-14, N-28-30 or All)

Date(s) Conducted:

Facility Security Officer Name: Date & Time FSO Contacted:

Facility Inspectors:

1. 2.

3. 4.

Guidance for completing the MTSA Facility Compliance Guide (checklist) –

Coast Guard facility inspectors and facility security officers (FSOs) shall complete the checklist by

verifying and, when applicable, demonstrating each item contained therein. Each inspected item

contained in the guide (checklist) must be notated as one of the following:

Sat – Item Satisfactorily meets requirements contained in the guide and referenced regulations

N/O – Item was Not Observed during this inspection

N/A – Item is Not Applicable to this facility or inspection

Fail – Item was found to be unsatisfactory and therefore Failed inspection

FIN #__________________________ Inspector Initials and Date: _____________

7-4

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

A. Compliance Documentation

33 CFR 105.120 (Spot Check Item)

SAT

N/O

N/A

FAIL

.120(a)

Approved Facility Security Plan (FSP), any approved revisions or

amendments thereto, and Letter of Approval (LOA) from the COTP dated

within the last 5 years;

   

.120(b)

FSP submitted for approval and an acknowledgement letter from COTP;

OR

   

.120(c)

An approved Alternative Security Program (ASP) as provided in 105.140:

must have a copy of the ASP the facility is using, as specified in

101.120(b)(3) of this subchapter, and a letter signed by the facility owner

or operator certifying the facility is in full compliance with that program.

   

Note: Also Review the Facility Specific Security Assessment (FSA)

report and CG-6025 for any changes or updates.

   

B. Non-Compliance

33 CFR 105.125 (Spot Check Item)

SAT

N/O

N/A

FAIL

.125 - Conditions existing (if any):

1)

   

2)

   

- Conditions met?

   

- COTP notified of non-compliance?

   

C. Waivers & Equivalents

33 CFR 105.130 & 105.135 (Spot Check Item)

SAT

N/O

N/A

FAIL

.130

Approval letter for Waiver(s) from Commandant (CG-5442)

.135

Approval letter for Equivalent(s) from Commandant (CG-5442), as

provided in 101.130 of this subchapter.



D. Maritime Security (MARSEC) Directives

33 CFR 105.145

SAT

N/O

N/A

FAIL

.145

Verify the facility owner or operator has complied with and incorporated

the instructions contained in a MARSEC Directive issued under 101.405

of this subchapter into the FSP.

   

FIN #__________________________ Inspector Initials and Date: _____________

7-5

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

E. Facility Security Officer (FSO)

33 CFR 105.205 (Spot Check Item)

SAT

N/O

N/A

FAIL

N

ame of FSO:

FSO Contact Information:

Primary phone number:

( ) –

Secondary phone number:

( ) –

.205(a)

General:

(1) If the Facility Security Officer (FSO) performs other duties within the

organization, Verify he or she is able to perform the duties and

responsibilities required of the FSO.

(2) If the FSO serves more than one facility, Verify the facilities are in

the same COTP zone, are not more than 50 miles apart, and the name

of each facility is listed in the FSP.

(3) Verify if the FSO has assigned security duties to other facility

personnel

(4) Verify the FSO has maintained a TWIC.

.205(b) Qualifications:

(1) Verify the FSO must have general knowledge through training or

equivalent job experience, in the following:

(i) Facility security organization;

(ii) General vessel and facility operations and conditions;

(iii) Vessel and facility security measures, including the meaning

and the requirements of the different MARSEC Levels;

(iv) Emergency preparedness, response, and contingency planning;

(v) Security equipment and systems and their operational

limitations; and

(vi) Methods of conducting audit, inspections, control, and

monitoring techniques.

(2) Verify the FSO must have knowledge of and receive training in the

following, as appropriate:

(i) Relevant international laws and codes, and recommendations;

(ii) Relevant government legislation and regulations;

(iii) Responsibilities and functions of local, State, and Federal law

enforcement agencies;

(iv) Security assessment methodology;

(v) Methods of facility security surveys and inspections;

(vi) Instruction techniques for security training and educations,

including security measures and procedures;



FIN #__________________________ Inspector Initials and Date: _____________

7-6

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

E. Facility Security Officer (FSO)

33 CFR 105.205 (Spot Check Item)

SAT

N/O

N/A

FAIL

.205(b)(2)

(con’t)

(vii) Handling sensitive security (SSI) information and security

related communications;

   

(viii) Current security threats and patterns:

   

(ix) Recognizing and detecting dangerous substances and devices;

   

(x) Recognizing characteristics and behavioral patterns of persons

who are likely to threaten security;

   

(xi) Techniques used to circumvent security measures;

   

(xii) Conducting physical searches and non-intrusive inspections;

   

(xiii) Conducting security drills and exercises, including exercises

with vessels;

   

(xiv) Assessing security drills and exercises; and

   

(xv) Knowledge of TWIC requirements.

   

FIN #__________________________ Inspector Initials and Date: _____________

7-7

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

F. Facility Personnel With Security Duties

33 CFR 105.210 (Spot Check Item)

SAT

N/O

N/A

FAIL

.210

Verify that personnel with security duties are familiar with the FSP and

relevant portions of the regulations. These personnel must have general

knowledge through training or equivalent job experience in the following:

.210(a)

Current security threats and patterns

,

210(b)

Recognition and detection of dangerous substances and devices

.210(c)

Recognition of characteristics and behavioral patterns of persons who are

likely to threaten security

.210(d)

Techniques used to circumvent security systems

.210(e)

Crowd management and control techniques

.210(f)

Security-related communications (including the handling of SSI)

.210(g)

Knowledge of emergency procedures and contingency plans

.210(h)

Operation of security equipment and systems

.210(i)

Testing, calibration, operation, and maintenance of security equipment

and systems

.210(j)

Inspection, control, and monitoring techniques

.210(k)

Relevant provisions of the FSP

.210(l)

Methods of physical screening of persons, personal effects, baggage,

cargo, and vessel stores

.210(m)

The meaning and the consequential requirements of the different

MARSEC levels

.210(n)

Familiarity with all relevant aspects of the TWIC program and how to

carry them out



G. Security Training for all other Facility Personnel

33 CFR 105.215 (Spot Check Item)

SAT

N/O

N/A

FAIL

.215

Verify that all other personnel are familiar with FSP and relevant portions

of the regulations. These personnel must have general knowledge through

training or equivalent job experience in the following:

.215(a)

Relevant provisions of the FSP & meaning of different MARSEC levels

.215(b)

Relevant meaning of the different MARSEC levels

.215(c)

Recognition & detection of dangerous substances and devices

.215(d)

Recognition of characteristics and behavioral patterns of persons who are

likely to threaten security

.215(e)

Techniques used to circumvent security measures



FIN #__________________________ Inspector Initials and Date: _____________

7-8

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

G. Security Training for all other Facility Personnel

33 CFR 105.215 (Spot Check Item)

SAT

N/O

N/A

FAIL

.215(f)

Familiarity with all relevant aspects of the TWIC program

   

H. Drill & Exercise Requirements

33 CFR 105.220

SAT

N/O

N/A

FAIL

.220(a) General:

(1) Verify the drills & exercises test the proficiency of facility personnel

in assigned security duties at all MARSEC Levels and the effective

implementation of the FSP.

(2) A drill or exercise required by this section may be satisfied with the

implementation of security measures required by the FSP as the result

of an increase in the MARSEC Level, provided the facility reports

attainment to the cognizant COTP.

If so, Date/Type: __________________________________

.220(b) Drills:

(1) Review Drill Log to ensure that at least one security drill is

conducted every 3 months.

-Date/Type of last drill: ____________________________________

(2) Verify the drills tested individual elements of the FSP, which

included response to security threats and incidents.

.220(c) Exercises:

(1) Review Exercise Log to ensure exercises are conducted at least once

each calendar year, with no more than 18 months between exercises.

-Date/Type of last exercise: __________________________________

(2) Note which exercise(s) were used:

(i) Full scale or live;

(ii) Tabletop simulation or seminar;

(iii) Combined with other appropriate exercise; or

(iv) Combination of elements in paragraphs (c)(2)(i) – (iii) of this

section.



I. Facility Recordkeeping Requirements

33 CFR 105.225

SAT

N/O

N/A

FAIL

.225(a)

Verify the FSO has kept records of the activities for at least 2 years and

makes them available to the Coast Guard upon request.

.225(b)

Review records to ensure all of the following are recorded and protected

accordingly (if kept in electronic format):

   

FIN #__________________________ Inspector Initials and Date: _____________

7-9

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

I. Facility Recordkeeping Requirements

33 CFR 105.225

SAT

N/O

N/A

FAIL

(1) Training records for facility personnel with security duties ONLY

(those personnel covered in 33 CFR 105.210)

(2) Drills and Exercises

(3) Incidents and Breaches of Security

(4) Change in MARSEC Levels

(5) Maintenance, calibration, and testing of security equipment

(6) Security Threats

(7) Declaration of Security (DoS)

(8) Annual audit of the FSP/ASP

● Verify letter certified by the FSO states date the annual completed

● Verify that past audit findings are addressed

.225(c)

Verify that the records required by this part are protected from

unauthorized access or disclosure in accordance with SSI procedures



J. MARSEC Level Coordination and Implementation

33 CFR 105.230 (Spot Check Item)

SAT

N/O

N/A

FAIL

.230(a)

Ensure facility is operating at proper MARSEC level in effect for the

Port, and Review procedures outlined in FSP for current MARSEC

Level.

.230(b)

Review the procedures for changes in MARSEC levels:

(1) Verify notifications are made to vessels moored to or to arrive w/in

96 hours at facility of MARSEC change and the DoS is revised as

necessary;

(2) Verify facility complies with required additional security measures

within 12 hours; and

(3) Verify reports of compliance or non-compliance are made to the

COTP.

.230(c)

Review procedures for MARSEC Levels 2 & 3 that details how all

facility personnel are informed about identified threats, and that

emphasize reporting procedures/increased vigilance AS OUTLINED IN

THE FSP.

.230(d)

Ensure the FSP has procedures in place if the facility is not in

compliance with the requirements of this section such as informing the

COTP and obtaining approval prior to vessel interface or continuing

operations.

.230(f)

Review procedures for MARSEC Level 3 that in addition to

requirements of this part, the facility may be required to implement

additional measure, pursuant to 33 CFR part 6, 160 or 165, as

appropriate, which may include but are not limited to the following AS

OUTLINED IN THE FSP:

(1) Use of waterborne security patrol;

(2) Use of armed security personnel to control access to the facility; and

(3) Examination of piers, wharves and similar structures at the facility

for the presence of dangerous substances, devices or other threats.



FIN #__________________________ Inspector Initials and Date: _____________

7-10

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

K. Communications

33 CFR 105.235

SAT

N/O

N/A

FAIL

.235(a)

Verify the FSO has means to effectively notify personnel of changes of

security conditions at the facility.

.235(b)

Verify that communications systems and procedures allow effective

and continuous communications between the facility security personnel,

vessels interfacing w/facility, the COTP and authorities w/security

responsibilities.

.235(c)

Verify that each active facility access point provides a means of

contacting police, security control, or an emergency operations center.

.235(d)

Verify that the communications systems have a backup means for both

internal and external communications.



L. Declaration of Security

33 CFR 105.225 and 105.245

SAT

N/O

N/A

FAIL

.225(b)

(7) Verify that a copy of each single-visit DoS and a copy of each

continuing DoS are kept with the FSP for at least 90 days after the

end of its effective period.

.245(e)

Verify that at MARSEC Level 1 & 2, if the facility has implemented a

continuing DoS, the FSO must ensure that:

(1) The DoS is valid for a specific MARSEC Level

(2) The effective period at MARSEC Level 1 does not exceed 90 days

(3) The effective period at MARSEC Level 2 does not exceed 30 days

.245(f)

Verify the FSO is aware that when the MARSEC Level increases

beyond that contained in a continuing DoS, it is then void, and a new

DoS must be executed per this section.



M. Security Systems and Equipment Maintenance

33 CFR 105.250 (Spot Check Item)

SAT

N/O

N/A

FAIL

.250(a)

Verify that security systems and equipment are in good working order

and inspected, tested, calibrated, and maintained according to

manufacturers’ recommendations.

.250(b)

Verify that security systems are regularly tested IAW the manufacturer’s

recommendations; noted deficiencies corrected promptly; and the results

recorded as required by 105.225 of this subpart.

.250(c)

Verify the procedures used for identifying and responding to security

and equipment failures or malfunctions.



FIN #__________________________ Inspector Initials and Date: _____________

7-11

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

N. Security Measures for Access Control

33 CFR 105.255 [and 105.257] (Spot Check Item)

SAT

N/O

N/A

FAIL

.255(f)

Verify procedures at MARSEC Level 1 to ensure that security measures

relating to access control are implemented AS OUTLINED IN THE

FSP, these procedures include those that:

(1) Demonstrate that the TWIC program is fully implemented and

maintained;

(2) Screen persons, baggage, personal effects, and vehicles, for

dangerous substances and devices at the rate specified in the

approved FSP;

(3) Conspicuously post signs that describe security measures currently

in effect and clearly state that: (i) Entering the facility is deemed

valid consent to screening or inspection; and (ii) Failure to consent or

submit to screening or inspection will result in denial or revocation

of authorization to enter;

(4) Check the identification of any person not holding a TWIC seeking

to enter the facility, including vessel passengers and crew, vendors,

government authorities, and visitors per means listed in .255(f)(4)(i)-

(vi);

(5) Deny or revoke a person’s authorization to be on facility if the

person is unable or unwilling to provide identity or account for his or

her presence;

(6) Designate restricted areas and provide appropriate access controls

for these areas;

(7) Identify access points that must be secured or attended to deter

unauthorized access;

(8) Deter unauthorized access to the facility and to designated restricted

areas within the facility;

(9) Screen by hand or device, such as x-ray, all unaccompanied baggage

prior to loading onto a vessel; and

(10) Secure unaccompanied baggage after screening in a designated

restricted area and maintain security control during transfers between

facility and vessel.

.255(g)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to access control can be implemented AS OUTLINED

IN THE FSP.

.255(h)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to access control can be implemented AS OUTLINED

IN THE FSP.



O. Security Measures for Newly-Hired Employees

33 CFR 105.257 (Spot Check Item)

SAT

N/O

N/A

FAIL

.257(a)-

(b)&(d)

Verify that the facility owner or operator or the FSO ensures the

implementation of the TWIC rules for all newly-hired employees in

accordance with this section AS OUTLINED IN THE FSP.

   

FIN #__________________________ Inspector Initials and Date: _____________

7-12

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

O. Security Measures for Newly-Hired Employees

33 CFR 105.257 (Spot Check Item)

SAT

N/O

N/A

FAIL

.257(c)

Verify that the owner or operator acknowledges that this section does

not apply to any person being hired as an FSO or any person being hired

to perform facility security duties.

   

P. Security Measures for Restricted Areas

33 CFR 105.260 (Spot Check Item)

SAT

N/O

N/A

FAIL

.260(c)

Verify procedures to ensure that security measures relating to restricted

area access control are implemented AS OUTLINED IN THE FSP.

These procedures include those that:

(1) Identify which facility personnel are authorized access;

(2) Determine which persons other than facility personnel are authorized

to have access;

(3) Determine the conditions under which that access may take place;

(4) Define the extent of any restricted area;

(5) Define the times when access restrictions apply;

(6) Clearly mark all restricted areas, indicating that access is restricted

and that unauthorized presence within the area constitutes a breach

of security;

(7) Control the entry, parking, loading and unloading of vehicles;

(8) Control the movement and storage of cargo and vessel stores; and

(9) Control unaccompanied baggage or personnel effects.

.260(d)

Verify procedures at MARSEC Level 1 to ensure that security measures

relating to restricted areas are implemented AS OUTLINED IN THE

FSP.

.260(e)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to restricted areas can be implemented AS

OUTLINED IN THE FSP.

.260(f)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to restricted areas can be implemented AS

OUTLINED IN THE FSP.



FIN #__________________________ Inspector Initials and Date: _____________

7-13

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

Q. Security Measures for Handling Cargo

33 CFR 105.265 (Spot Check Item)

SAT

N/O

N/A

FAIL

.265(b)

Verify procedures at MARSEC Level 1 to ensure that security measures

relating to handling cargo are implemented AS OUTLINED IN THE

FSP. These procedures include those that:

(1) Routinely check cargo, cargo transport units, and cargo storage areas

within the facility prior to, and during, cargo handling operations for

evidence of tampering;

(2) Check that cargo, containers, or other cargo transport units entering

the facility match the delivery note or equivalent cargo

documentation;

(3) Screen vehicles; and

(4) Check seals and other methods used to prevent tampering upon

entering the facility and upon storage within the facility.

.265(c)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to handling of cargo can be implemented AS

OUTLINED IN THE FSP.

.265(d)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to handling of cargo can be implemented AS

OUTLINED IN THE FSP.



R. Security Measures for Delivery of Vessel Stores and

Bunkers

33 CFR 105.270 (Spot Check Item)

SAT

N/O

N/A

FAIL

.270(b)

Verify procedures at MARSEC Level 1 to ensure that security measures

relating to delivery of vessel stores and bunkers are implemented AS

OUTLINED IN THE FSP, these procedures must include those that:

(1) Screen stores at rate specified in FSP

(2) Require advance notification of vessel stores or bunkers delivery,

including a list of stores, delivery vehicle driver and vehicle

registration information;

(3) Screen delivery vehicles at rate specified in FSP;

(4) Escort delivery vehicles within the facility at rate specified in FSP.

.270(c)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to delivery of vessel stores and bunkers can be

implemented AS OUTLINED IN THE FSP.

.270(d)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to delivery of vessel stores and bunkers can be

implemented AS OUTLINED IN THE FSP.



FIN #__________________________ Inspector Initials and Date: _____________

7-14

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

S. Security Measures for Monitoring

33 CFR 105.275 (Spot Check Item)

SAT

N/O

N/A

FAIL

.275(b)

Verify procedures at MARSEC Level 1 to ensure that security measures

relating to monitoring are implemented AS OUTLINED IN THE FSP.

These procedures include those that:

(1) When automatic intrusion-detection devices are used, that they

activate an audible or visual alarm, or both, at a location that is

continuously attended or monitored;

(2) Is able to function continually, including consideration of the

possible effects of weather or of a power disruption;

(3) Monitors the facility area, including shore and waterside access to it;

(4) Monitors access points, barriers and restricted areas;

(5) Monitors access and movement adjacent to vessels using the facility,

including augmentation of lighting provided by the vessel itself; and

(6) Limits lighting effects, such as glare, and their impact on safety,

navigation, and other security activities.

.275(c)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to monitoring can be implemented AS OUTLINED IN

THE FSP.

.275(d)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to monitoring can be implemented AS OUTLINED IN

THE FSP.



T. Security Incident Procedures

33 CFR 105.280

SAT

N/O

N/A

FAIL

.280(a)

Verify procedures for responding to security threats or breaches of

security and maintaining critical facility and vessel-to-facility interface.

.280(c)

Review procedures for reporting security incidents as required in

101.305 of this subchapter.



FIN #__________________________ Inspector Initials and Date: _____________

7-15

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

U. Passenger and Ferry Facilities Only

33 CFR 105.285 (Spot Check Item)

SAT

N/O

N/A

FAIL

.285(a)

Verify that at all MARSEC Levels, the facility ensures that the

following security measures are implemented in addition to the

requirements of this part:

(1) Areas are established to segregate unchecked persons and effects

from checked persons and effects;

(2) A defined percentage of vehicles are being screened IAW the

MARSEC Directive and FSP/ASP;

(3) All unaccompanied vehicles to be loaded onto passenger vessels are

screened prior to loading;

(4) Security personnel control access to restricted areas; and

(5) In a facility with a public access area designated under 105.106,

provide sufficient security personnel to monitor all persons within the

area.

.285(b)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to passenger or ferry facilities can be implemented AS

OUTLINED IN THE FSP.

.285(c)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to passenger or ferry facilities can be implemented AS

OUTLINED IN THE FSP.



V. Cruise Ship Terminals Only

33 CFR 105.290 (Spot Check Item)

SAT

N/O

N/A

FAIL

.290

Verify that at all MARSEC Levels, in coordination with the vessel

moored at the facility, that the owner or operator has procedures that

ensure the following security measures in addition to the requirements of

this part:

.290(a)

Screening all persons, baggage, and all personal effects for dangerous

substances and devices;

.290(b)

Checking personnel identification, including the applicable TWIC rules;

.290(c)

Designating holding, waiting, or embarkation areas to segregate

screened persons and their personal effects;

.290(d)

Providing additional security personnel to designated holding, waiting,

or embarkation areas within the facility’s secure area; and

.290(e)

Denying individuals not holding a TWIC access to secure and restricted

areas unless escorted.



FIN #__________________________ Inspector Initials and Date: _____________

7-16

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

W. Certain Dangerous Cargo ( C D C ) Facilities Only

33 CFR 105.295 (Spot Check Item)

SAT

N/O

N/A

FAIL

.295(a)

Verify that at all MARSEC Levels, that the owner or operator of a CDC

facility has procedures that ensure the implementation of the following

security measures in addition to the requirements of this part:

(1) Escorting all visitors, contractors, vendors, and other non-facility

employees;

(2) Controlling parking, loading and unloading of vehicles within a

facility;

(3) Requiring security personnel to record or report their presence at key

points during security patrols;

(4) Searching key areas prior to vessel arrivals; and

(5) Providing an alternate or independent power source for security and

communications systems.

.295(b)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to CDC facilities can be implemented AS OUTLINED

IN THE FSP.

.295(c)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to CDC facilities can be implemented AS OUTLINED

IN THE FSP.



X. Barge Fleeting Facilities Only*

33 CFR 105.296 (Spot Check Item)

SAT

N/O

N/A

FAIL

.296(a)

Verify that at MARSEC Level 1, in addition to the requirements of this

part, an owner or operator of a barge fleeting facility has procedures that

ensure the implementation of the following security measures:

(1) Designating one or more restricted areas within the barge fleeting

facility to handle those barges carrying, in bulk, cargoes regulated by

46 CFR chapter I, subchapters D or O, or Certain Dangerous

Cargoes;

(2) Maintaining a current list of vessels and cargoes in the designated

restricted area;

(3) Ensuring that at least one towing vessel is available to service the

fleeting facility for every 100 barges within the facility;

(4) Controlling access to the barges once tied to the fleeting area by

implementing TWIC as described in 105.255 of this part.

.296(b)

Review procedures for MARSEC Level 2 to ensure that security

measures relating to barge fleeting facilities can be implemented AS

OUTLINED IN THE FSP.

.296(c)

Review procedures for MARSEC Level 3 to ensure that security

measures relating to barge fleeting facilities can be implemented AS

OUTLINED IN THE FSP.



*Barge fleeting facilities are exempt from Security Measures for Handling Cargo and Security Measures for

Delivery of Vessel Stores and Bunkers

FIN #__________________________ Inspector Initials and Date: _____________

7-17

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

Notes on Deficiencies

Two distinct types of deficiencies may be identified when utilizing this compliance checklist:

1. Facility is not operating in accordance with its approved/submitted FSP or ASP – This type of deficiency

is addressed utilizing a range of enforcement and compliance measures, from Lesser Administrative

Actions (work lists, etc.), up to and including more significant measures such as Notice of Violations,

Civil Penalties, and Operational Controls, which may restrict facility operations.

2. Facility is operating in accordance with its approved/submitted FSP or ASP, but plan does not meet the

specific performance criteria outlined in the regulations – This type of deficiency must be addressed

through the plan amendment guidance as set forth in 33 CFR 105.415 (excerpt provided below).

“(a) Amendments to a Facility Security Plan (FSP) that is approved by the cognizant COTP

may be initiated by”… “(ii) the cognizant COTP upon a determination that an amendment is

needed to maintain the facility’s security. The cognizant COTP will give the facility owner or

operator written notice and request that the facility owner or operator propose amendments

addressing any matters specified in the notice. The facility owner or operator will have at

least 60 days to submit their proposed amendments. Until amendments are approved, the

facility owner or operator shall ensure temporary security measures are implemented to the

satisfaction of the COTP.”

Generally, items in the checklist beginning with “verify procedures” indicate issues requiring plan amendments.

These sections include, but are not limited to:

• Facility personnel with security duties

• Facility personnel without security duties

• Facility recordkeeping requirements

• Communications

• Declaration of Security (DoS)

• Security systems and equipment maintenance

• Security measures for access control

• Security measures for newly-hired employees

• Security measures for restricted areas

• Security measures for handling cargo

• Security measures for delivery of vessel stores and bunkers

• Security measures for monitoring

• Security incident procedures

(Inspection Summary form included on next page)

FIN #__________________________ Inspector Initials and Date: _____________

7-18

Sensitive Security Information (when filled out)

MTSA FACILITY COMPLIANCE GUIDE

Inspection Summary

Discrepancy Description Cite Corrective Action Due Date

Comments:

FIN #__________________________ Inspector Initials and Date: _____________

7-19

Enclosure (8) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 8

FACILITY SECURITY AUDITS

Enclosure (8) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 8

FACILITY SECURITY AUDITS

Purpose:

A. Title 33, Part 101.105 (33 CFR 101.105) defines audit as “an evaluation of a security

assessment or security plan performed by an owner or operator, the owner or operator’s

designee, or an approved third party, intended to identify deficiencies, non-conformities,

and/or inadequacies that would render the assessment or plan insufficient.” 33 CFR

104.415, 105.415, and 106.415 provide requirements for the conduct of an annual audit of a

regulated facility or vessel security plan. Owners and operators must ensure that audits are

performed annually beginning no later than one year from the initial date of approval of

their security plan with no more than18 months between audits.

B. The intent of the regulation and the purpose of an audit are to identify opportunities for

improvement and to address non-conformities. An audit accomplishes this through the

review of the operations of the regulated entity and the implementation of corrective

actions which ensure regulatory compliance and preclude the recurrence of deficiencies. If,

during the course of an audit, deficiencies and/or inadequacies are identified the security

assessment and security plan of the regulated entity could have areas requiring

improvement or revision. In this continuation of the audit and review of the security plans

and assessments, more than one fix may need to be made. For instance, an identified

security gap allowing unaccounted for persons to access a regulated entity would indicate a

possible non-conformity in the implementation of the plan, or possibly point to deficiencies

in the plan and/or assessment. It is the intent of the audit to make the security posture, and

the underlying documentation, align and provide the tightest security appropriate for the

situation.

C. Several opportunities exist for the auditor to analyze the effectiveness of the regulated

entity in implementing their security plan. For example, review quarterly drills, annual

exercises, and corrective action following a deficiency or recorded security event (such as a

security incident or breach of security) provide an auditor the chance to see the plan operate

and learn how it is improved. An effective audit might include site visits at the regulated

facility or vessel during normal and other-than-normal hours, interviews with and

observation of personnel performing security duties, review of and observation of security

procedure implementation, as well as verifying operability testing and planned maintenance

of security equipment, documentation, and performance verification of required training.

D. During the audit, several documents could assist the auditor in his or her duties. Such

documents include those associated with previously performed audits, drills, exercises,

security incidents, compliance inspections, corrective action reports, and lessons learned.

E. 33 CFR 105.225(b)(8) requires a letter certified by the Facility Security Officer stating the

date the audit was completed. While there is no requirement that an audit report be

maintained, the sample audit report form on the next page of this NVIC may be used by an

auditor to help organize their thoughts and findings.

8-1

Enclosure (8) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

SAMPLE AUDIT REPORT FORM

REPORT NUMBER:

AUDIT DATE(S):

DATE OF LAST AUDIT:

AUDITORS AND EVIDENCE THEY MEET 33 CFR 104.415(b)(4) or 105.415(b)(4):

1.

2.

3.

4.

5.

EXECUTIVE SUMMARY:

This section gives the auditor the opportunity to briefly describe noteworthy findings (NF),

observations (O), and Areas for Improvement (AFI).Note: Classification and Protection of

Sensitive Security Information is found in 49 CFR Part 1520.

DEFICIENCIES, NON-CONFORMITIES, OR PLAN INADEQUACIES IDENTIFIED:

1.

2.

3.

4.

5.

STRENGTHS OF VESSEL OR FACILITY SECURITY:

This section gives the auditor the opportunity to briefly describe noteworthy findings (NF),

observations (O), and Strengths.

NAME OF INVOLVED PARTIES FROM THE VESSEL OR THE FACILITY:

1.

2.

3.

Audit Report Prepared by: __________________ Company: __________ Date: ____________

Audit Report Reviewed by: __________________ Position: __________ Date: ____________

Audit Certification Letter Attached to VSP by: ____________________ Date: ____________

8-2

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE (9)

GUIDANCE FOR SUBMISSION OF ALTERNATIVE SECURITY PROGRAM

(ASP), EQUIVALENCY OR WAIVER REQUEST

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

9.1 Enclosure Contents

9.1.1. This enclosure contains information relating to the following subject matter:

9.2 Guidance for submission of Alternative Security Program (ASP)

9.3 Application requirements

9.4 Program submission

9.5 Action upon receipt

9.6 Compliance

9.7 Operational security

9.8 Telephonic, e-mail and face-to-face inquiries

Figure 9-1-ASP Approval Process Flowchart

9.9 Guidance for submission of Equivalency Requests or Waiver Requests

9.10 Application requirements

9.11 Request submission

9.12 Action upon receipt

9.13 Operational Security

9.14 Telephonic, e-mail and face-to-face inquiries

Figure 9-2-Equivalency or Waiver Request Approval Process Flowchart

9.2 Guidance for submission of Alternative Security Programs (ASP)

9.2.1. The Final Rules published October 22, 2003 addressing the implementation of the Maritime

Transportation Security Act of 2002 (MTSA) and the International Ship and Port Facility

Security (ISPS) Code permits trade organizations or industry groups representing owners or

operators to request approval for the use of an Alternative Security Program (ASP). The

approved ASP must address all requirements in 33 CFR Parts 104, 105, or 106 as applicable.

ASPs that will be used throughout a sector of the industry must be submitted and approved

within a timeframe that allows owners or operators to choose between implementing the

applicable ASP or implementing a security plan tailored to their specific vessel or facility.

9.3 Application requirements

9.3.1. ASPs that apply to an individual owner or operator must be submitted in accordance

with 33 CFR 105.410 (a) and (b). Each ASP must contain:

1. A list of the vessel and/or facility types to which the ASP will apply.

2. A security assessment for the vessel and/or facility types.

3. An explanation of how the ASP addresses the requirements contained in 33 CFR

Parts 104, 105, and/or 106, as applicable.

4. A specific explanation of how the owner and/or operator will implement each portion

of the ASP. The ASP must explain which parts of the plan are applicable to various

facilities, and require facility owners to activate/implement each part of the plan that

applies to that type of facility.

9-1

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

5. We recommend including an index cross-referencing applicable sections of the

regulations with the specific paragraphs or sections of the ASP.

9.3.2. An ASP that only addresses intended alternatives is not sufficient.

9.4 Program submission

9.4.1. ASPs and any accompanying documents must be submitted via hard copy paper document, or

a password protected copy may be placed on a floppy disc or compact disc (CD) in accordance

with 33 CFR 105.410. ASPs shall not be submitted to the Coast Guard via e-mail, they must

be mailed to:

COMMANDANT

(CG-54)

US COAST GUARD

2100 2

nd

ST SW

WASHINGTON DC 20593-0001

9.4.2. Each package must contain a:

• Point of contact

• Mailing address

• Telephone number

9.5 Action upon receipt

9.5.1. Applications will be reviewed in order of receipt.

9.5.2. Each application will undergo an initial review to ensure each required subject area is

addressed. To pass initial review an ASP must meet qualifications requirements in 33 CFR

101.120, and must address all items of either 33 CFR 104.405 or 33 CFR 105.405 as

appropriate. If the application is lacking critical information, it will be disapproved and the

Coast Guard will send the submitter a letter containing a brief explanation of the reasons for

disapproval. Coast Guard Headquarters COMDT (CG-54) will retain the application and

related material for future reference.

9.5.3. Applications that pass the initial review will then undergo a detailed review. During this

phase the ASP is reviewed to determine if it meets the intent of the entire rule for its specific

industry type. The ASP content will be examined to determine compliance with all

performance standards and at all MARSEC levels.

9.5.4. If the application is approved after the detailed review, a letter will be mailed to the

submitter stating its acceptance and any conditions that may apply. Coast Guard

Headquarters COMDT (CG-5442) will retain and file the application.

9.5.5. If the application is disapproved after the detailed review, a copy of the application will be

returned to the submitter with a brief statement of the reasons for disapproval. The original

9-2

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

application will be kept on file at Coast Guard Headquarters COMDT (CG-54) for future

reference. The organization will then have to make corrections and resubmit the program.

9.6 Compliance

9.6.1. Prior to conducting regulated operations, members using an ASP must do the following:

9.6.2. Facility owners or operators using an ASP must send their Facility Vulnerability

Assessment CG-6025 to the Captain of the Port (COTP) along with a letter stating which

approved ASP they are intending to use.

9.6.3 Facility owners or operators: must have a copy of the ASP the facility is using, including a

facility security assessment report and a letter signed by the facility owner or operator stating

which ASP the facility is using and certifying that the facility is in full compliance with the

program.

9.7 Operational security

9.7.1. Security plans, including Vessel Security Plans, Facility Security Plans, and ASPs, are

considered Sensitive Security Information (SSI), and therefore, exempt from the Freedom of

Information Act (FOIA), meaning that FOIA requests for ASPs will likely be denied. Any

requests for such documents, however, should be forwarded to the applicable FOIA Officer

and the CG-544 legal advisor for decision and action.

9.8 Telephonic, e-mail and face-to-face inquiries

9.8.1. The regulations addressing security requirements are lengthy, complex, and vary in

application from vessel to vessel, facility to facility, and port to port. Therefore, it is

preferable that exchanges regarding regulation applicability take place in writing. Members of

the public with specific applicability questions should submit their inquiries via letter or

E-mail. Once the issue is properly researched, a written response will be provided. A list of

Frequently Asked Questions (FAQs) and their answers will be posted on the USCG Port

Security Directorate website at http://homeport.uscg.mil to assist the public. A MTSA/TWIC

Help Desk has been established to assist the public with inquiries. The phone number for

MTSA/TWIC Help Desk is 877-687-2243 and will be manned Monday through Friday from

0800 to 1600 hours Eastern Standard Time.

9

-

3

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ALTERNATE SECURITY PROGRAM APPROVAL PROCESS

Industry Organization

develops ASP and

A security plan for a

Industry

NO Facility and Vessel plans

submits to Coast

specific facility or

Organization for

must be IAW 33 CFR

Guard prior to

specific facility or

vessel type is 105.410, 105.410, or

conducting operations

required by 33 CFR

vessel type chooses

106.410 if an owner

IAW 33 CFR 101.120

to write an ASP for

/operator is submitting an

members.

FSP/VSP’s

.

YES

Submitting

Organization

sends letter to

(CG-54)

identifying

members who

chose to

participate in

ASP

Individual/Owner/

Operator sends

letter to CG

approving authority

stating they are

participating in ASP

End

Letter

explaining

deficiencies is

sent to

End

NO

submitting

organization

Letter filed

with

Letter explaining

deficiencies is sent

approving

to submitting

authorit

y

Letter

organization for

filed with

revision

ASP at

CG-54

Organization

addresses

deficiencies and

resubmits ASP

Letter explaining NO

deficiencies is

sent to

submitting

organization for

revision

YES

Approval letter is

sent to submitting

organization

Initial Review

Letter

acknowledging

receipt is sent to

submitting

or

g

anization

Meets 33

CFR 101.120

Meets 33 CFR

104.405 or 105.405

for revision

Detailed Review

Organization addresses

deficiencies and

resubmits ASP

Meets intent of

entire rule

Submit to

COMDT

CG 54

NO

YES

Organization

addresses

deficiencies and

resubmits ASP

FIGURE 9-1

9-4

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

9.9 Guidance for submission of Equivalency Requests or Waiver Requests

9.9.1. The Final Rules published October 22, 2003 addressing the implementation of the Maritime

Transportation Security Act of 2002 (MTSA) and the International Ship and Port Facility

Security (ISPS) Code permits owners or operators to request approval for the use of

Equivalent Security Measures (Equivalency Requests) or Waivers of Security Requirements

(Waiver Requests).

9.10 Application requirements

9.10.1. Equivalency requests. For any security measure required by 33 CFR Parts 104, 105, or 106,

the owner or operator may apply for approval to substitute an equivalent security measure that

meets or exceeds the effectiveness of the required measure COMDT (CG-54) personnel will

assess the adequacy of each equivalency request. Each application must contain:

1. The request to use an equivalent security measure.

2. The documentation supporting justification for the request.

9.10.2. Waiver requests. Owners or operators are permitted to apply for a waiver of any requirement

in 33 CFR Parts 104, 105, or 106, that the owner or operator considers unnecessary in light

of the nature or operating conditions of the vessel or facility COMDT (CG-54) personnel

will assess the adequacy of each waiver request. Each application must contain:

1. The request for the waiver to a requirement.

2. The documentation supporting justification for the request.

9.11 Request submission

9.11.1 Equivalency and waiver requests along with any accompanying documents must be

submitted via hard copy paper document, or a password protected copy may be placed on a

floppy disc or compact disc (CD). Equivalency and waiver requests shall not be submitted to

the Coast Guard via e-mail, they must be mailed to:

COMMANDANT

(CG-54)

US COAST GUARD

2100 2

nd

ST SW

WASHINGTON DC 20593-0001

9.11.2. Each package must contain a:

• Point of contact

• Mailing address

• Telephone number

9-5

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

9.12 Action upon receipt

9.12.1. Upon receipt a letter will be sent to the owner or operator from COMDT (CG-5442)

acknowledging receipt of the equivalency or waiver request. In the letter the owner or

operator will be directed to continue working on the facility or vessel security plan.

9.12.2. Applications will be reviewed in order of receipt.

9.12.3. Each application will undergo an initial review to ensure each required subject area is

addressed. If the application is lacking critical information, it will be disapproved and the

Coast Guard will send the submitter a letter containing a brief explanation of the reasons

for disapproval. COMDT (CG-5442) will retain the application and related material for

future reference.

9.12.4. Applications that pass the initial review will then undergo a detailed review. COMDT

(CG-5442) may request further review and input from the Area commands. Atlantic Area

and Pacific Area may disseminate for review as appropriate. All comments must be

submitted to COMDT (CG-5442) within one week of Area receiving the request for input.

During the detailed review, request content will be examined to determine compliance with

the performance standards and at all MARSEC levels.

9.12.5. If the application is approved a letter will be mailed to the submitter stating its

acceptance and any conditions that may apply. COMDT (CG-5442) will retain and file

the application.

9.12.6. If the application is disapproved, a copy of the application will be returned to the

submitter with a brief statement describing the reason for disapproval. The original

application will be kept on file at COMDT (CG-5442) for future reference.

9.13 Operational Security

9.13.1. Security plans, including VSPs and FSPs, are considered SSI, and are therefore exempt

from the Freedom of Information Act (FOIA), meaning that requests for plans and

applications under FOIA will likely be denied.

9-6

Enclosure (9) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

9.14 Telephonic, e-mail and face-to-face inquiries

9.14.1. The regulations addressing security requirements are lengthy, complex, and vary in

application from vessel to vessel, facility to facility, and port to port. Therefore, it is

preferable that exchanges regarding regulation applicability take place in writing.

Members of the public with specific applicability questions should submit their inquiries

via letter or e-mail. Once the issue is properly researched, a written response will be

provided. A list of Frequently Asked Questions (FAQs) with answers will be posted on

the USCG Port Security Directorate website at http://homeport.uscg.mil to assist the

public. A MTSA/TWIC Help Desk has been established to assist the public with

inquiries.

9-7

Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

EQUIVALENCY OR WAIVER REQUEST APPROVAL PROCESS

Owner/Operator uses a security measure they deem

necessary to be equivalent to a requirement of 33 CFR

Owner/Operator considers a requirement of Part 104 or

105 unnecessary in light of operating conditions

Equivalency

Requests

Waiver

Requests

Owner/Operator prepares

request for Equivalency or

Waiver and submits to Coast

Guard IAW 33 CFR 104.130,

104.135, 105.130 & 105.135

Submit to

COMDT

(CG-54)

Owner/Operator

addresses

deficiencies and

resubmits

request

Initial Review

Compliance/Inspection

Letter explaining

NO

Does the request

Area to disseminate Copy of letter

to cognizant sent to MSC for

COTP(s) to input input into

into MISLE MISLE

Copy of letter

sent to cognizant

area

FACILITIES VESSELS

Meets intent of

entire rule

?

Approval letter

is sent to

submitting

owner/o

p

erato

r

Letter explaining

deficiencies is sent to

submitting owner/operator

for revision

YES

NO

Owner/operator

addresses deficiencies

and resubmits request

FIGURE 9-2

include justification?

?

deficiencies is sent

to submitting

owner/operator for

revision

Detailed

Review

Owner/operator

addresses deficiencies

and resubmits request

Area Input

YES

Letter

acknowledging

receipt is sent to

requesting

owner/operator

Areas review

(may request

input further

from field)

Area

comments

sent to HQ

within one

week

9-8

Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE (10)

GUIDANCE FOR TRAINING STANDARDS AND AUDITING OF EXPLOSIVE

DETECTION DOG TEAMS

Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

RECOMMENDED EXPLOSIVES DETECTION DOG TEAM TRAINING

STANDARDS

10.1 OVERVIEW.

10.1.1 Since the early 1990s, there have been various Scientific Working Groups (SWGs) initially

sponsored by the FBI. SWGs are established to improve forensic science discipline practices

and build consensus with international, federal, state, and local partners.

10.1.2 Currently several SWGs are active including the SWGDOG (Dog and Orthogonal Detector

Guidelines). Though the primary goal of these SWGs is to develop guidelines to benefit

local, state, federal and international law enforcement agencies in the performance and

overall reliability of detector dogs, private entities are encouraged to use these as guidelines

when choosing to use detector dogs as part of their Facility Security Plan.

10.2 INITIAL TRAINING OF EXPLOSIVES DETECTION DOG (EDD).

The following guidelines were developed in alignment with the SWGDOG criteria and are

recommended for the initial training of explosive detection canines. When selecting a canine

team for use at a cruise ship or ferry terminal, facility operators are encouraged to seek canine

providers who meet these standards:

10.2.1 The canine training should:

1. Be conducted by a qualified explosives detector canine team trainer who is a competent

individual from an organization that utilizes a structured curriculum with training designed

to achieve specific learning objectives. A copy of the curriculum for the initial training

course should be provided for review by the facility operator when considering the canine

provider for security duties;

2. Include temperament, obedience, and search technique training. The handler must be able

to demonstrate that the dog is non-aggressive and responds well to commands on and off

leash. The canine should be able to be approached on and off leash without showing

aggressive behavior. The team should be able to demonstrate proper search techniques

including searching from as low as one foot to as high as eight feet;

3. Include dexterity/agility training. Dexterity training accustoms the dog to overcome

physical obstructions encountered while executing a particular task. The dog is given the

opportunity to become confident in climbing steep or unsteady areas and walk across

uncomfortable surfaces such as iron grates. Dexterity exercises are also a means of

instilling confidence in the dog that the handler will not command him to do anything that

will result in injury. The EDD should be able to demonstrate the canine’s dexterity in a

variety of ways including a long jump, crawl exercise, directability at a distance, carrying

and changing of dog handlers, etc;

4. Devote approximately half of the training hours in the initial training course to scent-

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

related tasks. These tasks include odor imprinting, tracking, and search activities

including responding to scents hidden in a variety of locations;

5. Include training to detect the following mandatory groups of explosives that contain:

(a) RDX (RDX based Detonation cord)

(b) PETN (PETN (Pentrite) based Detonation cord)

(c) TNT (Military TNT (Trinitrotoluene))

(d) Dynamite (containing Ethylene Glycol Dinitrate (EGDN) and Nitroglycerin

(NG))

(e) Black powder (free flowing, time fuse or safety fuse)

(f) Double base smokeless powder

6. Include other substances in the detection training as required by mission or specific

threat. These substances may include:

(a) Ammonium Nitrate (prilled or powder, or the solid component of binary

explosives)

(b) Black Powder substitutes (e.g., Pyrodex, Triple Seven)

(c) Blasting Agents

(d) Cast Boosters

(e) Composition B

(f) Emulsions

(g) Nitromethane

(h) Photoflash/fireworks/pyrotechnic powders

(i) Plastic explosives (unmarked and marked with detection agent)

(j) Semtex

(k) Single Based smokeless powder

(l) Slurries

(m) Tetryl

(n) Water gels

(o) Home Made Explosives (HME)

(i) Chlorate based mixtures (e.g., Potassium chlorate)

(ii) Nitrate based mixtures (e.g., Anfo Nitrate)

(iii) Perchlorate based mixtures (e.g., Potassium perchlorate)

(iv) Urea nitrate

(v) Peroxide based explosives

(p) Hexamethylene Triperoxidediamine (HMTD)

(q) Triacetone triperoxide (TATP)

(r) Other emerging threats – Such as liquid explosives

7. Include varying quantities substances (dependent on region, mission and operational

deployment needs);

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

8. Include exposing the canine to various heights and depths of training aid placement in

different training scenarios;

9. Continue until the explosives detection canine is certified or deemed not certifiable by the

standards used by the company, state or local law enforcement;

10.3 ADVANCED TRAINING OF EXPLOSIVES DETECTION DOG.

10.3.1 Maritime facilities offer a unique environment for explosives detection canine teams to

operate. It is important that the canine receive advance training in the environment to which

it is expected to perform. The following guidelines are recommended for the advanced

training of explosives detection canines working in a marine environment. When selecting a

canine team for use at a cruise ship or ferry terminal, facility operators are encouraged to

seek canine providers who meet these standards:

10.3.2 Port Environment advanced training of EDD should include:

1. Familiarization with working in the port area;

2. Kenneling in the port environment;

3. First Aid - Protection of canines in harsh port conditions including chemicals;

4. Working in harness, lead, and off-lead;

5. Basic water training, including;

6. Canine familiarization to water;

7. Transfer from port to small craft;

8. Canine familiarization on small craft;

9. Transfer from small craft to port;

10. Transfer from small craft to larger craft;

11. Navigation on different surface types common in the port environment;

12. Working in and around food services;

13. Cross-training: searching pallets including stacked pallets using forklift;

14. Cross-training: searching cargo containers – internal and external;

15. Transferring on and off vessels using gangways;

16. Searching while on a moving vessel (ferry);

17. Advanced car search techniques - on and off ferry;

18. Avoiding distractions including other dogs in cars, loud noises, and passing boats;

19. Getting on board using alternative methods: harness, boat-to-boat, hoisting, carrying;

20. Distractions and instability: uneven seas and high noise levels;

21. Navigation on different types of flooring including metal floors;

22. Climbing ladders and stairways from one deck to another;

23. Facing various temperature controlled environments including humidity in cargo

holds;

24. Baggage searching;

25. Vessel searching;

26. On-board cargo and or ships stores searching;

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

10.3.3 Advanced training may incorporate the integration of advanced technology that is currently

used in facilities which includes:

1. Vapotrace equipment to identify explosive devices;

2. Radiation detectors;

3. X-ray machines;

4. Metal detection machines.

10.4 EVALUATION OF AN EXPLOSIVE DETECTION DOG TEAM

10.4.1 The following guidelines, again developed in alignment with SWGDOG criteria, are

recommended for evaluating an explosives detection canine. When selecting a canine team

for use at a cruise ship or ferry terminal, facility operators are encouraged to seek canine

providers who meet these standards.

10.4.2 The EDD provider’s certifying criteria for explosives detection dogs should be comprised of a

comprehensive assessment that includes elements of odor recognition or double blind testing.

Facility operators should be provided with a copy of the comprehensive assessment protocol

employed by the training company or certifying organization.

10.4.3 Test Parameters;

1. The following parameters should be utilized during a canine certification process:

(a) The explosives detector dog should be tested on the substance odors identified in 2(a)

(5);

(b) Recommended minimum quantities of substance odors for certification should be no

less than ¼ lbs (113.5g);

(c) Recommended optional substances are listed in 2(a) (6) and may be included in the

test based on mission specific requirements;

(d) As a minimum, the test shall include the following components:

(i) Scenarios resembling searches within the normal operational environment;

(ii) At least 4 different searches designed to evaluate the canine’s ability to recognize

the odor, respond to the odor and the handler’s ability to recognize this response.

Recommend the four different searches include;

• Parcels/Baggage (for each explosive to be detected, testing material should

be placed in 2-6 different parcels/bags. The average search time for 2-6

parcels/bags should be one minute);

• Building/room search, of a 200 -1200 sq ft room with furniture (place one

odor testing material per room. The average time should be 1.5 minutes or

less to search 100 sq ft or 1000 cu ft);

• Motor vehicles, both interiors and exteriors of passenger cars and trucks,

using 2-6 vehicles per explosive testing odor. (Search time: 3 min per

vehicle);

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

• Open area and perimeter searches of 1,000 to 10,000 sq ft for explosive

test odor detection (Search time: 1-3 minutes per 1000 sq ft).

(iii) All odors for which the dog will be certified must be tested but not all odors will

necessarily be in each type of search and some search areas shall contain no

odors (blanks);

(iv) The recommended maximum time to complete an individual search is listed

below but disqualification due to time shall be left to the discretion of the

certifiers;

(v) The test shall end if the certifiers determine that the canine team is no longer

working (e.g., Observable behaviors to be added).

(e) Minimum weight of substance being tested – ¼ pound (113.5 grams)

(f) Maximum weight of substance being tested - to be determined by the

evaluator based on mission requirements and associated threat quantities

(g) Maximum height of hide – 8 ft

(h) Maximum depth of hide – 1 ft

(i) Minimum set time – 30 min or to be determined by the evaluator based on

mission requirements and associated threat.

(j) The test should include a variety of searches designed to evaluate the canine’s

ability to recognize the odor, respond to the odor and the handler’s ability to

recognize this response.

(k) Training aids should not be placed in plain sight.

(l) The components built into the certification standards should include the following:

(i) Positive Indication

(ii) False Indication

(iii) Non Indication (A non indicator is when the dog misses a hide)

(iv) A team may fail as a result of excessive errors committed by the handler

(inability to control the dog).

(v) False response ratios should not exceed one response per ten items (i.e., bags,

parcels) used in a certification. No more than two per operational search.

(further refinement based on size of area)

(m) Use of distracters;

(i) Natural distracters are normally present and vary depending on the area

where the certification testing is done.

(ii) Placement of distracters (distracters are other strong odors that may be

present in the area of operation) in the certification area is required when no

natural distracters are present.

(iii) Care must be taken not to place artificial distractions in a manner that causes

contamination with the test substance odor.

(n) Deliberate compromise of an evaluation should not be tolerated. Any

communication (in person, by cell phone, two way pager, text messaging or by any

other means) between handlers/department personnel participating in the

evaluation, concerning specifics of an area still being evaluated, placement of

explosives training aids or any information that could be regarded as a compromise

prior to the termination (by the evaluator) will constitute a compromise of the

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

evaluation. In the event a handler compromises the evaluation, the handler should

not be allowed to continue and may be removed from the evaluation.

10.5 MAINTENANCE TRAINING.

10.5.1 This type of training is meant to sustain and enhance the performance of the handler and

canine and their ability to work together as a team. In maintenance training, situations are

purposely sought where the capabilities of the canine team are challenged within the

operational environments for which the team may be deployed.

10.5.2 The following guidelines based upon SWGDOG criteria are recommended for maintenance

training of an explosives detection canine. When selecting a canine team for use at a cruise

ship or ferry terminal, facility operators are encouraged to seek canine providers who meet

these standards.

1. Maintenance Training shall include:

(a) A variety;

(i) Of locations, environments and times of day

(ii) Of training aid amounts and odors expected to be found within the operational

environments

(iii) Of heights, depths, containers and distraction odors

(iv) Of types of searches (vehicles, building, parcels, luggage, open area)

(v) In the duration of the searches

(vi) Of blank searches

(b) The canine team should conduct regular objective-oriented training sessions

sufficient to maintain operational proficiency.

(i) Routine training, conducted solely by the handler to maintain the canine team’s

proficiency and to reinforce odor recognition, is an acceptable form of training

but must be combined with supervised training on a regular basis. Supervised

training conducted by a qualified trainer other than the handler, in order to

improve performance, identify and correct training deficiencies and perform

proficiency assessments is considered a best practice.

(ii) A minimum of four hours per week should be spent in routine training for a

canine team in order to maintain mission readiness.

(c) Maintenance training should represent all conditions that could be encountered

during a certification process.

(d) Every effort shall be made to train during the initial training course with actual

explosives and chemicals used in the making of explosives. Advanced training and

maintenance training in a port environment shall require the use of “pseudo” instead

of actual explosives due to security restrictions.

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

10.6 DOCUMENTATION.

10.6.1 The canine provider should maintain documentation that include all training records, training

materials, proficiency assessments, seizure records, and/or deployment and utilization

records of each canine. These records should be available to the facility owners for review.

10.6.2 The following guidelines based upon SWGDOG criteria are recommended for

documentation of an explosive detection canine. When selecting a canine team for use at a

cruise ship or ferry terminal, facility operators are encouraged to seek canine providers who

meet these standards.

1. Records should contain discipline-related specifics.

2. Records should be standardized within the department, agency and/or organization.

3. Documents should be retained, in accordance with the Information and Life Cycle

Management Manual COMDTINST M5212.12 (series). At minimum, records should be

held for the length of the EDD Team contract. Records should contain but are not limited

to the following:

4. Training records should include:

(a) Date and time training took place

(b) Name of trainer

(c) Type and amount of training aid used

(d) Length of training session

(e) Location of training

(f) Type of training (e.g., vehicle, luggage, building, open area)

(g) Searches and indications

5. Certification records: (kept by Certifying authority and Handler)

(a) Date certified

(b) Certification authority i.e., agency, professional organization

(c) Name of individual awarding certification

(d) Type of materials for which certification granted

(e) Location of certification

(f) Name of canine and handler

6. Deployment/utilization:

(a) Date and time

(b) Location of deployment

(c) Length of search

(d) Description of activity

(e) Results

7. Business documentation should include:

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

(a) Business License Number

(b) Kennel Business License Number, if applicable

(c) ATF License Number

(d) Insurance coverage (if required by licensing authority)

(e) Qualifications of Trainers and Handlers

(f) Handlers TWIC card information.

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

AUDITING EXPLOSIVES DETECTION DOG TEAMS

10.7 OVERVIEW. The purpose of this Appendix is to assist facility operators and MTSA facility

auditors (Coast Guard) in the evaluation of EDDs when used at cruise ship or ferry operations.

The Coast Guard’s will in no way certify or accredit the EDD or EDD provider’s training. The

sole purpose of the Coast Guard’s MTSA audit is to determine compliance of the approved

facility security plan.

10.7.1 Facility operators and Coast Guard auditors are encouraged to use the following as a guide

while evaluating Explosives Detection Dogs;

1. EXPLOSIVES DETECTION DOG PROVIDER BUSINESS INFORMATION.

(a) Business Name and Address

(b) Telephone and Fax Numbers

(c) Business License Number (Standard: The firm must be registered to do business in

its state(s) of operations).

(d) Kennel Business License Number (Standard: If the firm maintains a kennel

operation, its license must be current and permit the number of kennels on its

property.)

(e) ATF License Number if not using ATF approved “pseudos.” (“Pseudos” are

sometimes used in training explosive dogs when “real” explosives cannot be used. It

is important that pseudos are ATF approved to validate their effectiveness in training

and testing. Pseudos are commonly used in remote training scenarios including the

port and ferry locations involved with this program.)

(f) Qualifications of Trainers; Provide evidence of training experience. Where did the

trainers learn how to train dogs? For example; do they have military or police canine

experience?

(g) Curriculum and methods; upon request, make available a detailed, week-by-week

lesson plan for the provider’s explosives scent detection training program.

2. EXPLOSIVES DETECTION DOG TEAM INFORMATION

(a) Review of TWIC for each team member: (Team primary responsibility is facility

security, therefore a valid TWIC is required).

(b) Review of Records of training, certification testing, and canine health for each dog

used on the facility.

(c) Review of Records of training for each handler used on the facility.

(d) Kennel evaluation for cleanliness and environment protection (if kennel location is

provided on the facility, the canines living conditions should be evaluated).

3. PASSIVE OBERSERVATIONS OF THE EXPLOSIVES DETECTION DOG

OPERATIONS;

(a) Ability of the dog getting on and off vessels as necessary (navigation of gangways or

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

brow).

(b) Car search ability, if required.

(c) Ability not to be distracted by other dogs, vehicles, loud noises, and passing boats or

people.

(d) Ability to search baggage (handheld and checked)

(e) Ability to search ship stores and/or cargo.

(f) Does dog display shyness, aggressiveness, jump up on people or react in any way that

would be construed as poor or weak temperament.

(g) Does the dog handler have the ability to control the canine while working (is the dog

obedient to the handler’s commands).

10.7.2 Required security drills and exercises are good opportunities to observe EDD operations.

Facility operators and Coast Guard auditors are encouraged to include EDDs in drill and

exercise scenarios. The following tests are recommendations for inclusion in drill and

exercise scenarios. Coast Guard auditors should only observe the scenarios and not be

participants.

1. Exercise to evaluate the EDDs temperament may include the following;

(a) The dog walking over various surfaces found in its working environment (grating,

cement, tile etc)

(b) A can of stones will be tossed out in front of the dog from a person out of sight

(c) A person carrying an umbrella pass by and suddenly open the umbrella in the vicinity

of the dog, but without making direct contact.

(d) Several persons pass both in front towards the dog and from behind.

(e) The EDD and handler is to walk through a group of people in the working

environment.

(f) A vehicle approaching from the front, but not directly in the path of the team and

blow the horn several times.

(g) Another dog passing in the vicinity of the team, whereby the dog may react to some

degree, but must remain under the control of the handler at all times. A dog that

shows excessive aggression or total submissiveness cannot pass.

(h) During this test, at no time may the dog display shyness, aggressiveness, jump up on

people or react in any way that would be construed as poor or weak temperament.

2. Exercise to evaluate the EDDs obedience may include the following;

(a) Heeling on Leash (The dog and handler demonstrates in a normal stride 30 paces in

straight line work with an about turn into the dog. After 5 paces the handler

commands the dog to move fast for 5 paces, then show 5 paces slowly and then move

forward at a normal stride.

(b) Group Work – off leash. The purpose of the phase of obedience is to demonstrate

control of the dog in any environment. The handler should wear appropriate attire,

such as his/her uniform, sports outfit, etc., and may not carry any toys, balls, food as a

support tool during the test. The dog will enter the group of 3 to 5 people and weave

through the group passing by each person. It will conclude with the handler halting

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Enclosure (10) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

near any person.

(c) Heeling off Leash ( The dog and handler demonstrates the same pattern as outlined

under b(1) as an off leash exercise).

(d) Sit in Motion (After a development of 10 to 15 paces, the dog is commanded to “sit”

and he/she must assume this position quickly and without hesitation. The handler

should then precede another 20 paces and then turn facing the dog. After a moment

the handler will return to the dog’s position).

(e) Down in Motion. (After a development of 10 to 15 paces, the handler commands the

dog “down”. The dog must assume this position quickly and without hesitation. The

handler then proceeds another 20 paces and then turn facing the dog. After a moment

the handler will return to the dog’s position).

(f) Down with recall. (After a development of 10 to 15 paces, the dog handler will

command “down”. The dog must assume this position quickly and without

hesitation. The handler then precedes 30 paces and turns to face the dog. The handler

then recalls the dog to him.

(g) Send Away. (After a development of approximately 10 to 15 paces, the dog is

dispatched to go out approximately 30 paces and then commanded to down. The dog

is to go out quickly and be goal oriented and down immediately upon command).

3. Exercise to evaluate the EDDs ability to detect explosives may include the following;

(a) Single hit area search. (Direct the placement of explosive test material test in a single

piece of luggage within the EDDs working environment (facility/vessel) with a group

of 5 or more other luggage pieces placed around, on top of or stacked under the test

luggage. The EDD Team should not be present when placing the test material).

(b) Multiple hit search. (Direct the placement of explosive test material in three different

areas of the EDDs working environment (facility/vessel). Explosive test material

should be placed at different heights. The EDD Team should not be present when

placing the test material).

(c) Single vehicle search. (Direct the placement of explosive test material in a vehicle

within the EDDs working environment. The EDD Team should not be present when

placing the test material.

(d) Multiple vehicle searches. (Direct the placement of explosive test material in three

different vehicles of a possible 8 vehicles which will enter or are present in the EDDs

working environment. Explosive test material should be placed at different heights.

The EDD Team should not be present when placing the test material).

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Enclosure (11) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

ENCLOSURE 11

USCG FACILITY SECURITY SPOT CHECK GUIDE

Enclosure (11) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

USCG FACILITY SECURITY SPOT CHECK GUIDE

Facility: ________________________ FIN: _____________________ Activity #:___________________

Date Conducted:_________________ CG Team: _____________________ & _______________________

Requirements as per 33 CFR Subchapter H

( Suggestions for SSCs; may use some or all) Cite

SAT

N/O

N/A

FAIL

Compliance Documentation – (Are the FSP/ASP/LOA up to date,

any revisions made)

Non-Compliance – (Any conditions)

Waivers & Equivalents – (Any approval letters)

Facility Owner or Operator – (Any changes to key personnel)

Facility Security Officer – (Any changes, maintained a TWIC)

Facility Personnel with Security Duties – (Have TWIC, knowledge

of duties)

Security Training for all other Facility Personnel – (Familiar with

TWIC, relevant provisions of FSP & MARSEC Levels)

MARSEC Level Coordination & Implementation – (i.e.: Facility

at proper MARSEC Level & posted)

Communications – (Access point security has ability to notify in

event of emergency)

Security Systems and Equipment Maintenance – (Good working

order; inspected / repaired per manufacturer’s recommendations)

Access Control – (Access points identified, I.D. checks, screening

baggage, personal effects, vehicles, securing unaccompanied

baggage, signs posted, TWIC compliant)

Newly-Hired Employees – (New employees have or in process of

having a TWIC & knowledge of TWIC program)

Restricted Areas – (Identified / clearly marked, control entry and

movement of vehicles, storage of cargo & stores, unaccompanied

baggage or personnel effects)

Cargo Handling – (Check cargo, storage areas prior to/during ops,

compare cargo with delivery documentation, check seal/methods to

prevent tampering)

105.210

105.125

105.130

105.135

105.200

105.205

105.210

105.215

105.230

105.235

105.250

105.255

(101.515)

105.257

105.260

105.265



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Enclosure (11) to NAVIGATION AND VESSEL INSPECTION CIRCULAR No. 03-03, CH-2

Sensitive Security Information (when filled out)

USCG FACILITY SECURITY SPOT CHECK GUIDE

Requirements as per 33 CFR Subchapter H

Suggestion s for SSC’s, may use a ll or some) Cite

SAT

N/O

N/A

FAIL

Vessel Stores/Bunkers – (Screening stores and vehicles at rates

specified and advance notice of deliveries?)

105.270

   

Monitoring – (Facility area, shore/waterside access; restricted areas;

vessel/area surrounding vessel?)

105.275

   

Additional Requirements – Passenger and Ferry Facilities 105.285

   

Additional Requirements – Cruise Ship Terminals 105.290

   

Additional Requirements – Certain Dangerous Cargo (CDC)

Facilities

105.295

   

Additional Requirements – Barge Fleeting Facilities 105.296

   

SAT – Satisfactory N/O – Not Observed N/A – Not Applicable FAIL – Item Failed Inspection

Discrepancy Description Cite Corrective Action Due Date

Comments:

USCG Inspector Facility Security Officer

(Printed Name) (Printed Name)

(Signature) (Signature)

11-2