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NEW MARITIME SECURITY REQUIREMENTS. Commander Steve Poulin Legal Adviser Port Security Directorate. Telephone: (202) 267-6190 Email: [email protected] WHY ARE WE DOING THIS?. PHILOSOPHY. - The MTS is Worth Protecting * Economic Impact * Ripple Effect

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Commander Steve Poulin

Legal Adviser

Port Security Directorate

Telephone: (202) 267-6190

Email: [email protected]


- 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


- 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


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


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


  • 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



- 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


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


- 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


- 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 * ship’s 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
FAMILY OF PLANSRegulatory Structure


(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 threeMARSEC levels(5) Issuance of security directives(6) exercise existing COTP authority when necessary


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

New Math: 3 = 5


1 = green, blue, yellow

2 = orange

3 = red

Process: MARSEC aligned with HSAS


First step in processIntended 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


- 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




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

Security Officers

Must assign:

Company Security Officer Ship Security Officer Facility Security OfficerMTSA - “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


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 haven’t drilled in last three months


- at least annually- full scale or live; or tabletop; can combined with other exercises

- encourage coordination with other stakeholders


  • 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


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 portPreserves rights under international law


- Ship non-compliance * boarding officer professional judgement * deficiencies in certificate or security equipment * ship’s 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: *can’t 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 chainInternational Labour Organization- Seafarer Identification- Considering wider port security issues, similar to our port security plan approach

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

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