Commander Don Goldstein

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NEW MARITIME SECURITY REQUIREMENTS
Commander Don Goldstein Deputy Chief 7th District
Marine Safety Div.
Telephone [phone] Email
dgoldstein_at_d7.uscg.mil
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WHAT HAVE WE DONE SO FAR?
- 96-hour Advanced Notice of Arrival (Final Rule
in March 2003)- Developed and are refining port
security assessment methodology- Policy Notice
on Maritime Credentials Laminated and tamper
resistant Current photo and full name
Name of issuing authority - Navigation and
Vessel Inspection Circulars- Sea Marshals and
MSSTs
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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
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Applicability
SOLAS - Ships on International Voyages
Passenger ships
cargo ships gt 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
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REGULATORY RECONCILIATION OF APPLICATION

• Vessels
• - All foreign ships, both cargo and passenger,
  required to comply with SOLAS.
• - Vessels gt100 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 gt6 meters in registered length

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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
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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
TimingIFR - June
2003Plan submittal - Nov 2003Final rule - Nov
25, 2003USCG approves plans - NLT 1 Jul 2004
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FAMILY OF PLANSRegulatory Structure
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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
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MARSEC DEFINTIONS
MARSEC 1 - New normalcy minimum measures that
have to be maintained
at all timesMARSEC 2 - Heightened threat of a
transportation security
incident set for as long as threat lastsMARSEC
3 - Transportation security incident probable
or imminent envisioned to
be set for shorter
period of time
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New Math 3 5
MARSEC HSAS 1
green, blue, yellow
2 orange 3
red
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SHIP AND FACILITYSECURITY 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
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ELEMENTS OF VESSEL AND FACILITY SECURITY PLANS
Plan approval Ships - Administration or RSO
- certificate issuedPort Facilities -
Government
For Each MARSEC level- Access control-
Restricted Areas- Handling of Cargo- Delivery
of Stores/supplies- Security monitoring-
Security duties
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Security Officers
Must assign Company Security Officer
Ship Security Officer Facility Security
OfficerMTSA - qualified individual to
implement measuresSecurity officers have key
responsibilities for - ensuring assessments
are done - ensuring development and
implementation of security plan - training of
security personnel - drills and exercises
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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
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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

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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
chainInternational Labour Organization-
Seafarer Identification- Considering wider port
security issues, similar to our port security
plan approach
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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 significantand 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
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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
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QUESTIONS