Documents and Bulletins
The Maritime Transportation Security Act of 2002 (MTSA),
as codified in 46 U. S. C. Chapter 701, was written in response to security
issues occurring after the attacks of 9/11/2001. This act required, among
other various items, establishment of security regulations to increase
the security of the nation’s ports. As a result, the Code of Federal
Regulations was modified to include security requirement for “vessels,
structures, and facilities of any kind, located under, in, on, or adjacent
to waters subject to the jurisdiction of the U.S.”(1)
Regulations are published under 33 CFR 101 (Maritime
Security: General), 33 CFR 103 (Maritime, Security: Area Maritime Security),
33 CFR 104 (Maritime Security: Vessels), 33 CFR 105 (Maritime Security:
Facilities), and 33 CFR 106 (Maritime Security: Outer Continental Shelf
Facilities). These regulations may be found in their entirety on the Internet
at http://www.gpoaccess.gov/fr/index.html . The purpose of these regulations
is to align requirements of domestic maritime security regulations with
the international maritime security standards in the International Convention
for Safety of Life at Sea, 1974 (SOLAS Chapter XI-2) and the International
Code for the Security of Ships and of Port Facilities, parts A and B,
adopted on 12 December 2002; to ensure security arrangements are as compatible
as possible for vessels trading internationally; to emphasize cooperation
and coordination with local port community stakeholders, based on existing
domestic standards as well as established industry security practices;
and requires assessments and plans intended for use in implementing security
measures at various MARSEC levels.
Further guidance to help achieve compliance with these
regulations was then published in various Navigation and Vessel Inspection
Circulars (NVICs). While most of these circulars are published on the
web at http://www.uscg.mil/hq/g-m/nvic some are considered Sensitive Security
Information and are available only to those with need for the information
and are not available on the web. These NVICs may be obtained from COTP
offices.
Description of Regulations
33 CFR 101 provides general information such as applicability
of the regulations, definitions, descriptions of MARSEC levels, etc.
33 CFR 103 describes requirements for Area Maritime Security.
This designates the Captain of the Port (COTP) as the Federal Maritime
Security Coordinator (FMSC) and details authority for that position. It
also requires establishment of Area Maritime Security Committees and directs
them to develop Area Maritime Security Assessments and Area Maritime Security
Plans. This part also requires exercises to be held at least once each
calendar year to test the effectiveness of the plan. This exercise may
be a tabletop exercise, field training exercise, or combination.
33 CFR 104 defines what vessels are subject to the security requirements
of MTSA and details those requirements. In general, this section applies
to any Mobile Offshore Drilling Unit, cargo or passenger vessel subject
to the International Convention for Safety of Life at Sea 1974, (SOLAS),
Chapter XI, foreign cargo vessel greater than 100 gross register tons,
self-propelled US cargo vessel greater than 100 gross register tons (except
commercial fishing vessels inspected under 46 CFR 105), passenger vessels
certified to carry more than 150 passengers, passenger vessels carrying
more than 12 passengers including at least one passenger-for-hire that
is engaged on an international voyage, barges that carry Certain Dangerous
Cargo (as defined in 33 CFR 126) and towing vessels greater than 8 meters
engaged in towing a barge or barges subject to this part. Foreign vessels
carrying on board a valid International Ship Security Certificate that
certifies that the verifications required by part A of the International
Ship and Port Security (ISPS) Code are deemed to be in compliance. It
does not apply to warships, naval auxiliaries, or other vessels owned
or operated by a government and used only on government non-commercial
service.
This section goes on to detail security training requirements,
drill and exercise requirements, record keeping requirements, and requirements
for communications. It also details requirements for access control, security
systems and maintenance, handling cargo at various MARSEC levels and details
security incident reporting requirements, security assessments and vessel
security plans.
33 CFR 105 covers requirements for facilities. Facilities
subject to these requirements are generally those receiving vessels subject
to part 104. These include cruise ship terminals, ferry terminals, barge
fleeting areas, designated dangerous cargo waterfront facilities, hazardous
gas facilities, oil facilities, and facilities that receive foreign cargo
vessels greater than 100 gross register tons. The requirements for facilities
mirror those applying to vessels.
33 CFR 106 pertains to Outer Continental Shelf Facilities.
These are fixed or floating facilities operating on the outer continental
shelf for the purpose of engaging in the exploration, development, or
production of oil, natural gas or mineral resources. They must also host
more than 150 people for 12 or more hours each 24-hour period, product
more than 100,000 barrels of oil per day or more than 200 million cubic
feet of natural gas per day. Requirements are similar to vessels and other
facilities.
Requirements for Drills and Exercises
The MTSA Regulations require Area Maritime Security Committees
to hold exercises once every calendar year with no more than 18 months
between exercises. Any actual increase in MARSEC level or any implementation
of increased security measures as designated in the Area Maritime Security
Plan meets these requirements.
Vessels and facilities must hold drills which exercise
at least one section of their Security Plan at least once every 3 months
and must participate in an exercise at least once each calendar year with
no more than 18 months between exercises. Again, any increase in MARSEC
level or implementation of increased security measures designated in their
approved security plan meets these requirements as long as they report
attainment of this increased security level.
There is no requirement for an increase in the number
or type of drills at various MARSEC levels. When the MARSEC level in increased,
each facility and/or vessel must make notification to the Captain of the
Port that they are in compliance with their security plan for that MARSEC
level within 12 hours. Also, there is no requirement for response units,
such as the Coast Guard Auxiliary, to hold or participate in any drills
or exercises.
Other requirements, such as increases in patrols, are
determined for individual areas based on that area’s unique conditions.
The specifics of these requirements are considered classified and Auxiliarists
in that area will be given the specific tasking necessary to meet these
requirements. They may or may not be given the reasons for the tasking.
Auxiliary Participation in Exercises
It is essential, at this point, to state that each Sector/Group/MSO
utilizes the Auxiliary differently based on the needs of the unit and
the capabilities of the Auxiliary in that specific area. Some areas, such
as MSO St Louis and MSO San Francisco, rely heavily upon the Auxiliary
to perform on the water and land patrols, perform and/or assist with security
compliance checks, assist with commercial vessel inspections, fill ICS
positions, etc. Other units limit the Auxiliary to more traditional roles.
Exercises developed specifically for the Auxiliary may be appropriate
for one area but not for another.
The Coast Guard periodically exercises its surge capabilities.
The Auxiliary is already included in these exercises based on how each
Sector/Group/MSO has the Auxiliary included in its plans. The Auxiliary
may or may not even be aware of the exercise due to the security of the
event. They will simply be requested to perform specific activities.
Many Captains of the Port have appointed Auxiliarists
to the Area Maritime Security Committees.(2) In
these areas, the Auxiliary has the opportunity to either, participate
in, facilitate, or act as auditor for the required Area Security Exercises.
They may also have the opportunity to do the same for individual vessel
or facility exercises. These exercises must test specific portions of
the approved security plan for the area, vessel or facility.
In addition to the above exercise opportunities, the
Auxiliary needs to develop exercises to test their own knowledge and capabilities.
These exercises or drills should be specific to the needs and capabilities
of the particular unit.
Exercise Suggestions
The following are suggestions for types of exercises
specific to the Auxiliary that would be beneficial for exercising Auxiliary
knowledge and capabilities. They are provided as “food for thought”
and are not by any means the only exercises that should be considered.
One of the simplest, and most critical, activities is
to contact members to get them to respond. How many people are able to
respond? When are they available? With what qualifications and/or equipment?
Try this unannounced, off hours (late at night, middle of the day, holiday)
to get a realistic idea of the unit’s response capabilities.
The Auxiliary may be asked to provide round the clock patrols, on the
water, by land, or by air. How many patrols can the unit provide? What
equipment? Will owners allow their vessel to be crewed by other Auxiliarists
without being aboard, or will the unit need 3 vessels each with its own
crew to provide 24-hour coverage? Try to actually exercise the 24-hour
patrol over several days.
MDA patrols require looking for something Auxiliarists
are not used to observing. Try planting a “target” to see
if it is located. This could be a backpack, box, empty boat, etc. If using
this type of scenario, notify local agencies that the exercise is being
conducted to prevent triggering an incident if a person not involved in
the exercise reports the object.
An actual incident may require response to the local
Coast Guard unit. Many times there are roadblocks or other impediments,
such as local authorities not recognizing Auxiliary identification, to
that response. Simulate road closures, flooding, etc to develop alternate
routes and time frames.
During 9/11 one of the problems discovered was lack of
reliable phone service (including cell phones) and power outages. Simulate
these problems to develop alternative communications with the Coast Guard
and among Auxiliary members.
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(1) 33 CFR Ch I, Subchapter H,
101.110
(2) Areas where Auxiliarists serve on AMSCs known
at this time include LA/Long Beach, Tampa, San Francisco Bay, St Louis,
Peoria, Kansas City, Houston, Chicago, New Orleans and Providence
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