NEW MARITIME SECURITY

REQUIREMENTS
Commander Steve Poulin
Legal Adviser
Port Security Directorate

Telephone: (202) 267-6190

Email: spoulin@comdt.uscg.mil

WHY ARE WE DOING THIS?

PHILOSOPHY
- The MTS is Worth Protecting
* Economic Impact
* Ripple Effect
- Security is an All Hands Evolution
*Maximize stakeholder input
- Balance Commerce vs. Security
* Risk-based Approach
* Performance-based Standards
- Maximize Uniformity (nationally
consistency) and Predictability

WHAT HAVE WE DONE SO FAR?

- Advanced Notice of Arrival (Final Rule in March 2003)
- Developed and are refining port security assessment methodology
- Security Zones
- Policy Notice on Maritime Credentials
* Laminated and tamper resistant
* Current photo and full name
* Name of issuing authority
- Navigation and Vessel Inspection Circulars
- Maritime Domain Awareness Agreements
- Sea Marshals and MSSTs

NEW MARITIME SECURITY

REQUIREMENTS
SOLAS amendments adopted in December 2002
Chapter V:
-Automated Identifications Systems
Chapter XI-1: -Ship identification number
-Continuous Synopsis Record
Chapter XI-2: -Measures to enhance maritime security
-International Ship and Port Facility
Security (ISPS) Code (Parts A & B)
Maritime Transportation Security Act of 2002 (MTSA)
New Chapter 701 in title 46 of the U.S. Code
Aligned with SOLAS and ISPS Code
Intend to make Part B mandatory

Applicability
SOLAS - Ships on International Voyages
* Passenger ships
* cargo ships > 500 gt
* MODUs
- Port Facilities serving such ships
(Governments define what constitutes a
port facility, which may include
anchorages and approaches)
MTSA - facilities and vessels that may be involved in
a transportation security incident
- located on or adjacent to waters subject to the
jurisdiction of the U.S.
- MTSA is broader than SOLAS

REGULATORY RECONCILIATION OF APPLICATION

Vessels:
- All foreign ships, both cargo and passenger, required to
comply with SOLAS.
- Vessels >100 gross tons subject to 46 CFR Subchapter I.
- Offshore Supply Vessels subject to 46 CFR Subchapter L.
- Passenger vessels subject to 46 CFR Subchapters H and K.
- Passenger vessels subject to 46 CFR T engaged on an
International voyage.
- Barges subject to 46 CFR Subchapter D, I, and O.
- Tankships subject to 46 CFR Subchapters D and O.
- Mobile Offshore Drilling Units subject to 46 CFR Sub. I-A.
- Towing vessels >6 meters in registered length

REGULATORY RECONCILIATION OF APPLICATION

Facilities:
- Facilities that handle cargo subject to the regulations in
33 CFR Part 126, 127, or 154;
- Facilities that service vessels that carry more than 150
passengers;
- Facilities that receive vessels on international voyages,
including vessels solely navigating the Great Lakes.

- Additional requirements for facilities handling CDCs

REGULATORY TIMELINE
SOLAS amendments and ISPS Code
- Entry into force through tacit amendment procedure on 1 July 2004
- Resolution: Efforts to implement must begin as soon as practical
to meet entry into force date
MTSA
- Issue interim final rule (IFR) as soon as practical
- Waives APA
+ 6 months: submit plans for approval
+ 12 months: approved plans
Timing
IFR - June 2003
Plan submittal - Nov 2003
Final rule - Nov 25, 2003
USCG approves plans - NLT 1 Jul 2004

AUTOMATED IDENTIFICATION SYSTEMS

- SOLAS Implementation
- MTSA Requirements

Ship Identification Number

- Permanently marked
- Visible on:
* stern or side of hull or superstructure
* horizontal surface for passenger vessels
- Contrasting color
- NLT 200 mm; width proportionate to height
- raised lettering or by cutting it into
or center punching (or other equivalent)
- No MTSA provisions

CONTINUOUS SYNOPSIS RECORD

- Basic diary of ship or historical record of ship
- Issued by Administration, but must be
maintained and updated onboard
- Information includes:
* name of flag state
* date of registry
* ships ID number
* name of owners
* name of registered demise charterers
* name of shipping company
* name of classification society(ies)
* name of authorities or associations issuing certifications
- Left onboard with change of ownership or registry
- No MTSA provision

Ship Security Alert System

- Performance standard; not necessarily requires new
equipment installation (eg. Piracy alarm)
- Silent ship-to-shore alert
* activated from bridge and at least one other location
* not heard by other ships
* include name and location of ship
- Protected from inadvertent initiation
- Administration or coastal state notification requirements
- No MTSA provision

FAMILY OF PLANS
Regulatory Structure
N a t io n a l M a r it im e T r a n s p o r t a t io n S e c u r it y P la n
P o r t S e c u r it y P la n s
F a c ilit y S e c u r it y P la n s

V e s s e l S e c u r it y P la n s

BASIC CONCEPT
(1) Port Security Plan - broad
Vessel and Facility Plan - specific
(2) All plans constructed based on vulnerability assessments
(3) Goal is to mitigate vulnerabilites
(4) Detail specific measures to be implemented at
three MARSEC levels
(5) Issuance of security directives
(6) exercise existing COTP authority when necessary

MARSEC DEFINTIONS
MARSEC 1 - New normalcy; minimum measures that have
to be maintained at all times
MARSEC 2 - Heightened threat of a transportation security
incident; set for as long as threat lasts
MARSEC 3 - Transportation security incident probable
or imminent; envisioned to be set for shorter
period of time

New Math: 3 = 5
MARSEC

HSAS

green, blue, yellow

orange

red

Process: MARSEC aligned with HSAS

PORT SECURITY ASSESSMENT

First step in process
Intended to identify risk, threat and consequences
Consider the following:
- Critical assets and infrastructure
- Critical activities and operations
- Vulnerabilities
- Existing protective measures
- Response capabilities
- Training and exercises
- develop and game scenarios
- Impact of incident and mitigation strategy
****Requires a cooperative effort of all port stakeholders

PORT SECURITY PLAN

- Plan that addresses measures for all activities within
the port at the three MARSECs, whether or not the activity
is directly regulated (eg. Facilities, vessels, marinas,
recreational boats, etc.)
- Developed through the local port security committee
- Based on a port security assessment
- Coordinates incident response (fed, state, local)
- Facility and vessel security plans are critical elements
- Port security plan will constitute port facility security plan
for SOLAS compliance

SHIP AND FACILITY

SECURITY ASSESSMENTS
- Physical security
- Structural integrity
- personnel protection systems
- security procedures
-communications procedures
- impact of incidents/consequences
- identified weaknesses
- define threats and likelihood of
occurrence
- select and prioritize countermeasures
* Those doing assessment have
to be qualified

ELEMENTS OF VESSEL
AND
FACILITY SECURITY
PLANS
For Each MARSEC level:

Plan approval:

- Access control
- Restricted Areas
- Handling of Cargo
- Delivery of Stores/supplies
- Security monitoring
- Security duties

Ships - Administration
or RSO
- certificate issued
Port Facilities - Government

Security Officers
Must assign:
Company Security Officer
Ship Security Officer
Facility Security Officer
MTSA - qualified individual to implement measures
*Security officers have key responsibilities for:
- ensuring assessments are done
- ensuring development and implementation of security plan
- training of security personnel
- drills and exercises

TRAINING AND DRILLS

All personnel must be adequately trained to perform security
duties (detailed requirements for security officers)
Drills
- one every three months to test individual elements
of plan
- additionally for ships, when 25% of ships crew changes
with those who havent drilled in last three months
Exercises
- at least annually
- full scale or live; or tabletop; can combined with other exercises
- encourage coordination with other stakeholders

MTSA PLAN APPROVAL

Requires Secretary to approve plans of vessels and facilities
likely to be involved in a transportation security incident.
Approval for Vessels:
- flag state issuance of SOLAS certificate
- industry standard (accepted by USCG) for large segment of
domestic fleet and non-SOLAS facilities
- USCG (Marine Safety Center) for US flag vessels
required to comply with SOLAS
- Approval for Facilities:
- COTP for facilities
- District Commander for equivalencies

PORT STATE CONTROL

SOLAS Two-Stage Approach
- Traditional PSC
* Certificate Inspection
* Clear Grounds
* Compensation for undue delay
* Minor admin measures
- Expanded PSC
* Control prior to port entry
* Denial of port entry
* Expulsion from port
Preserves rights under international law

CLEAR GROUNDS
- Ship non-compliance
* boarding officer professional judgement
* deficiencies in certificate or security equipment
* ships personnel not familiar with security responsibilities
* subsequent, consecutive interim certificate
- Includes when ship served by non-compliant port facility
- Port state control officer has limited access to ship security plan
- Control measures must be proportionate
- MTSA reinforces control: *cant operate after July 2004 without
approved plan
*foreign port assessment; sanctions
*civil penalties

Recordkeeping Requirements
- Information about last 10 port calls
*security measures and security levels
- Continuous Synopsis Record
- Info on who appoints crew and employment onboard
- Names of charter parties
- Any security incidents
- Training, drills and exercises
- Periodic audits and reviews

Threat Dissemination and

Sensitive Security Information
-USCG authority limited
* TSA - TSIRs
* MOA with NIPC
* use of port security committees for unclas info
- Policy for security clearances for industry POCs
- New requirements will generate SSI information
- plans and vulnerability assessments
- threat information and analysis
- Current SSI regulation is predominantly limited to aviation,
but does extend to vulnerability assessments for all modes
- MTSA insulates certain info from public disclosure

Future International Efforts

International Maritime Organization
- Long-range ship tracking
- Standards for designating Recognized Security
Organizations
- Training guidance for security officers and security personnel
- Guidance on safe manning
- Standardized forms and electronic data to facilitate commerce
- Additional guidance for control and compliance measures
World Customs Organization
- Security of container supply chain
International Labour Organization
- Seafarer Identification
- Considering wider port security issues, similar to our port

Putting the puzzle together

-NVICs provide interim guidance until regulations and SOLAS
requirements enter into force
-NVICs were drafted based on the developing work of IMO
-Any differences between the NVICs and IMO are not significant
and are due primarily to:
* IMO work was a moving target until December 2002
* IMO requirements allow discretion in many areas and NVICs add
the detail
-NVICs provide a snapshot of our vision for the domestic
regulations
-Implementing guidance in NVICs will not guarantee approval of
your plan but should get you very close
-NVICs will not be reissued to conform with results of diplomatic
conference
-Use NVIC and adjust to the IFR when published

Important Outstanding Issues

- What vessels and facilities may be involved in transportation
security incident; and what is the boundary of a facility
- Definition of critical infrastructure and key assets
- How far do we extend AIS domestically for security
- Process for setting MARSEC
- Do we designate RSOs
- Do we develop formal training requirements/standards
- Seafarer identification
- Policy on use and dissemination of SSI

Im from Headquarters and Im here to help!

QUESTIONS