Handbook - Port Operations 2015 Edition

Port Operations
Handbook
2015 Edition

1

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National Response Center
(800) 424‐8802
National Strike Force Coordination Center Introduction and Purpose

(252) 331‐6000
This Port Operations Handbook provides excerpts from select
Atlantic Strike Team Coast Guard regulations, and additional information to help
(609) 724‐0008 Coast Guard and industry maintain safety and security on the
Gulf Strike Team waterfront. Its purpose is to provide information in a
(251) 441‐6601 convenient size and format. Furthermore, this Handbook does
Pacific Strike Team not modify Commandant Instructions, Navigation and Vessel
Inspection Circulars or other policies and guidance.
(415) 883‐3311

Container Inspection Training and Assistance Team (CITAT) Alexander Hamilton’s earliest reference to what became the
(405) 954‐8985 United States Coast Guard came in Federalist Paper # 12, in
National Cargo Bureau (NCB) which he famously noted that “A few armed vessels, judiciously
(410) 633‐6680 stationed at the entrances of our ports, might at a small
expense be made useful sentinels of the laws.”

Side notes will be provided throughout the Handbook to assist and add to.
Unit Phone Number:
Coast Guard responsibilities in ports grew over time, and in

1917, Commodore Bertholf appointed Captain Godfrey Carden
Unit Address: as the first Captain of the Port, in New York. In cooperation
with other agencies, organizations, and the private sector,
ALSO, feel free to use the grey space to enter personal notes.
Coast Guard Captains of the Port conduct various activities to
promote safety and security on the waterfront, with the
recognition that our ports provide economic opportunities,

support our national defense, and improve the quality of life for
Printing Instructions:
all Americans.
(For most duplex printers)

 These print options should already be pre‐selected, however, if
they are not then the “page setup” settings in MS Word should be

set for:
o Landscape From Alexander Hamilton’s Letter of
th
Instruction, June 4 , 1791:
o Book fold

o Select print “[Coast Guard personnel] will keep in
mind that their countrymen are
o Click the printer “properties” button which should take freemen, and as such, are impatient of
you to the printer settings menu. everything that bears the least mark of
o Paper/Output – 2 Sided Print, Flip on Short Edge a domineering spirit… They will
o Layout/Watermark – Page Layout Options – Landscape endeavor to overcome difficulties, if any
o It should print out in booklet format similar to an 840 are experienced, by address and
book/job aid. moderation, rather than vehemence and
violence.”
o Staple in the middle

Direct questions or suggestions to the Office of Ports and Facilities, CG‐
FAC, Coast Guard Headquarters.
Introduction
http://www.uscg.mil/hq/cg5/cg544/default.asp
Back Cover
154 3

Notes

Coast Guard Core Values: Honor, Respect, Devotion to Duty

Coast Guard Principles of Operations
(from CG Publication 1,

http://www.uscg.mil/doctrine/CGPub/Pub_1.pdf):

 Clear Objective
 Effective Presence
 Unity of Effort
 On‐Scene Initiative
 Flexibility
 Managed Risk

 Restraint

At the signing of Maritime Transportation
Security Act of 2002, George W. Bush’s,
th
November 25 , 2002:

“This Act will strengthen security at our
Nation’s seaports by requiring comprehensive

security plan for U.S. ports and mandating
improved identification and screening of
seaport personnel”

After the events of September 11, 2001, the 107th US Congress

reacted with the creation of Public Law 107‐295 Maritime
Transportation Security Act of 2002 (MTSA) signed on
November 25, 2002. Developed using risk‐based methodology,
the MTSA security regulations focus on those sectors of
maritime industry that have a higher risk of involvement in a
transportation security incident, including various tank vessels,
barges, large passenger vessels, cargo vessels, towing vessels,

offshore oil and gas platforms, and port facilities that handle
certain kinds of dangerous cargo or service the vessels.

The Coast Guard created Facility Inspectors to visit identified
facilities and are a large part of MTSA enforcement and
support. As of 2015, the Coast Guard inspects over 3,200 MTSA
regulated facilities at least twice a year, (annual and spot

check). The partnership between the Coast Guard, facility
operators, and other stakeholders is vital ensuring the safety
and security of America’s ports.
Introduction

4 153
Notes
Personnel Safety: Ports, facilities, and vessels pose safety risks to
Coast Guard and industry personnel alike. Pages 6‐9 contain operational
Notes risk management guidance to keep you and your crews safe.

Page 6 GAR Model Job Aid
Page 9 PPE
Page 9 Container Opening Safety Procedures

Security: MTSA regulations and related security information
Page 10 33 CFR 101

Maritime Security: General
Page 29 33 CFR 105
Maritime Security: Facilities
Page 68 Suspicious Activity Reporting

Safety & Environmental
Page 76 33 CFR 126
Handling of Dangerous Cargo at Waterfront Facilities
Page 88 33 CFR 127 Subpart B
Waterfront Facilities Handling Liquefied Natural Gas

Page 100 33 CFR 154 Subparts C and D
Equipment Requirements and Facility Operations
Page 110 33 CFR 155 Subpart C
Transfer Personnel, Procedures, Equipment, and Records
Page 119 33 CFR 156 Subpart A
Oil and Hazardous Material Transfer Operations
Summary of MARPOL requirements (garbage placard)

Grey Area Side Bar Reference List
Page 132 Navigation and Vessel Inspection Circulars (NVIC)
Page 132 Policy Advisory Council (PAC)

USCG Directory
Page 134

Best Practices, Tips, and Hints
Page 138 Security
Page 138 Safety

Page 138 Facility/AOR Familiarity

Cyber Risk Management

Page 150

152 5
Notes
GAR Model Job Aid

Notes

Personnel Safety GAR Model Job Aid

6 151
Notes
Cyber Risk Management

Vessel and facility operators use computers and cyber dependent
technologies for navigation, communications, engineering, cargo, ballast,
safety, environmental control, and many other purposes. Emergency
systems such as security monitoring, fire detection, and alarms increasingly
rely on cyber technology. Collectively these technologies enable the MTS
to operate with an impressive record of efficiency and reliability.
While these cyber systems create benefits, they also introduce risk.
Exploitation, misuse, or simple failure of cyber systems can cause injury or
death, harm the marine environment, or disrupt vital trade activity.

To assess and address cyber risks, the Coast Guard recommends that
facility and vessel operators:
 Form a risk assessment team of operators, technical specialists,
security, safety, and other professionals within the organization.
Cyber is a not exclusively an “IT” problem – it is a risk factor, and
a team approach is needed to find the most effective, least
expensive solutions.
 Inventory cyber dependent systems and map their connections
to other systems. Note that even systems “not connected to the
internet” may have USB ports or other avenues for malware.
 Evaluate the potential consequences to them should they be
exploited, misused, or simply fail at the wrong time. High
consequence systems should get the most protection.
 Identify ways to reduce vulnerabilities and consequences. In
many cases manual backups, training or company policies may
be better solutions than technical measures.
 Plan for response and recovery activity. Since we can’t
guarantee cyber events won’t occur, plan for notification,
response, and recovery activities needed to minimize damage
and return to business promptly.

The Department of Homeland Security, the Coast Guard, and other
agencies provide resources and information on cyber risk management.

NIST Cybersecurity Framework: http://www.nist.gov/cyberframework/
Computer Emergency Response Team (CERT): https://www.us‐cert.gov/
Industrial Control System CERT: https://ics‐cert.us‐cert.gov/

USCG Homeport Cyber Security: https://homeport.uscg.mil/

150 7
o NCB (National Cargo Bureau)
 www.natcargo.org/
o CFATS (Chemical Facility Anti‐Terrorism Standard)
 https://www.dhs.gov/chemical‐facility‐anti‐
terrorism‐standards
o EPA (Environmental Protection Agency)
 http://www.epa.gov/
o VIPR/TSA (Visible Intermodal Prevention and
Response/Transportation Security Agency)
 http://www.tsa.gov/about‐tsa/visible‐
intermodal‐prevention‐and‐response‐vipr
o MASFOs (Multi‐Agency Strike Force Operation)
o CBP (Customs and Border Protection)
 http://www.cbp.gov/
o USDA (United States Department of Agriculture)
 http://www.usda.gov/fundinglapse.htm
o DOD (Department of Defense)
 http://www.defense.gov/
o FMCSA (Federal Motor Carrier Safety Administration)
 http://www.fmcsa.dot.gov/

8 149
Best Practices, Tips, and Hints Personnel Safety

 Security The minimum PPE is level D (29 CFR 1910.120)
Though not all items below will be necessary for all aspects of the facility
o Area Maritime Security Committees (AMSC) releases inspection, it must be made available in the field to inspectors.
an annual report that is a mechanism to share best
practices accomplishments, challenges and concerns The following constitute Level D equipment:
across our AMSCs. 1. Coveralls
http://www.uscg.mil/hq/cg5/cg544/amsc.asp 2. Gloves
3. Boots/shoes, chemical‐resistant steel toe and shank
 Safety 4. Boots, outer, chemical‐resistant (disposable)
5. Safety glasses or chemical splash goggles
o Harbor Safety Committees (HSC) have developed and 6. Hard hat
maintained websites to coordinate best practices, 7. Hearing Protection
open communications, and planning efforts between 8. Personal Flotation Device (PFD)
partners in the community. Committees are: 9. Reflective Vest

 Commonwealth Port Authority (Saipan)
 Greater Ketchikan Area LEPC Opening the Container
Personnel Safety PPE and Container Opening Safety Procedures
 Greater New Orleans Barge Fleeting Load shifts may happen at any stage of the container’s journey; many of these
Association shifts can cause heavy or hazardous materials to be put into a position that
 Guam Chamber of Commerce when the doors are opened, could cause serious or fatal accidents. Follow the
 Hawaii Ocean Safety Team (HOST) necessary steps below to minimize risk:
 Jacksonville Marine Transportation
Exchange Safety Walk Around (CIM 16616.11c, Ch 3.D)
 Lower Columbia Region HSC Check for obvious leaks or severe damage that poses a safety
 Marine Exchange of Puget Sound threat to the inspection team
 Marine Exchange of Southern California If any threats to inspection team safety are identified, STOP the
 Mariners Advisory Committee for the Bay & inspection and notify the Command Center and facility
River Delaware (MAC) representative immediately
 Maritime Navigation and Safety Association
 Miami River Marine Group Opening the Container (CIM 16616.11c, Ch 3.D)
 Port of Morgan City Remove and record old seals
 Puget Sound HSC Attached safety strap prior to opening the container
 Savannah Maritime Association Open the curbside door to container partially to check for shifted
 Southeast Texas Waterways Advisory cargo
Council Verify the container is safe to open while the safety strap is still
 Tennessee River Valley Association attached to the locking bars. After verification undo safety strap
 The Harbor Safety Committee of the San and open both doors.
Francisco Bay Region Conduct atmospheric monitoring at tailgate of container

The Maine and New Hampshire Port Safety If any threats to inspection team safety are identified, STOP the
Forum inspection and notify the Command Center and facility
 Toledo Metropolitan Area Council of representative immediately
Governments
 Waterways Association of Pittsburgh Ventilate the Container (CIM 16616.11c, Ch 3.D)
Verify container ventilated for a minimum of:
a. 30 Minutes for Poison‐Inhalation Hazard materials and
 Facility/AOR Familiarity
fumigated shipments
b. 15 Minutes for all other cargos (HM & general)
o All MTSA regulated facilities in AOR
148 9
Security Section 2420 S LINCOLN MEMORIAL 414‐747‐7100
SECTOR LAKE MICHIGAN DR MILWAUKEE, WI 53207‐

1997
33 CFR 101—MARITIME SECURITY: GENERAL
120 WOODWARD AVENUE 203‐468‐4401/ ‐
SECTOR LONG ISLAND SOUND
Contents NEW HAVEN, CT 6512 4402/03/04
Subpart A—General SECTOR LOS ANGELES/LONG 1001 SOUTH SEASIDE AVE
§101.100 Purpose. 310‐521‐3600
BEACH SAN PEDRO, CA 90731‐0208
§101.105 Definitions.
2 A W WILLIS AVENUE
§101.110 Applicability. SECTOR LOWER MISSISSIPPI 901‐521‐4822
MEMPHIS, TN 38105
§101.115 Incorporation by reference.
§101.120 Alternatives. 100 MACARTHUR
305‐535‐4472/ ‐
§101.125 [Reserved] SECTOR MIAMI CAUSEWAY MIAMI BEACH,
4473/8701
§101.130 Equivalent security measures. FL 33139
Subpart B—Maritime Security (MARSEC) Levels 1500 15th Street MOBILE,
SECTOR MOBILE 251‐441‐6215/ ‐6211
§101.200 MARSEC Levels. AL 36615‐1300
§101.205 [Reserved] 200 HENDEE STREET NEW
Subpart C—Communication (Port—Facility—Vessel) SECTOR NEW ORLEANS 504‐846‐6160
ORLEANS, LA 70114
§101.300 Preparedness communications.
212 COAST GUARD DRIVE
§101.305 Reporting. SECTOR NEW YORK 718‐354‐4037
STATEN ISLAND, NY 10305
§101.310 Additional communication devices.
Subpart D—Control Measures for Security 721 MEDICAL CENTER DR
SECTOR NORTH CAROLINA 910‐772‐2200
§101.400 Enforcement. WILMINGTON, NC 28401
§101.405 Maritime Security (MARSEC) Directives. SECTOR NORTHERN NEW 259 HIGH ST SOUTH
§101.410 Control and Compliance Measures. 207‐767‐0320
ENGLAND PORTLAND, ME 4106
§101.415 Penalties.
600 MARTIN LUTHER KING
§101.420 Right to appeal.
SECTOR OHIO VALLEY JR LOUISVILLE, KY 40202‐ 502‐779‐5422
Subpart E—Other Provisions
2251
§101.500 Procedures for authorizing a Recognized Security Organization
(RSO). [Reserved] 1519 ALASKAN WAY SOUTH
SECTOR PUGET SOUND 206‐217‐6200
§101.505 Declaration of Security (DoS). SEATTLE, WA 98134‐1192
§101.510 Assessment tools. 2710 N. HARBOR DRIVE SAN
SECTOR SAN DIEGO 619‐278‐7030
§101.514 TWIC Requirement. DIEGO, CA 92101
§101.515 TWIC/Personal Identification. 1 YERBA BUENA ISLAND
SECTOR SAN FRANCISCO SAN FRANCISCO, CA 94130‐ 415‐399‐3530
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701; 50 U.S.C. 191, 192; 9309
Executive Order 12656, 3 CFR 1988 Comp., p. 585; 33 CFR 1.05‐1, 6.04‐11,
5 CALLE LA PUNTILLA SAN
6.14, 6.16, and 6.19; Department of Homeland Security Delegation No. SECTOR SAN JUAN 787‐729‐6800
JUAN, PR 00901‐1800
0170.1.
EDITORIAL NOTE: Nomenclature changes to part 101 appear at 73 FR 35009, 337 WATER STREET SAULT
SECTOR SAULT STE MARIE 906‐635‐0967
June 19, 2008. STE MARIE, MI 49783
SOURCE: USCG‐2003‐14792, 68 FR 39278, July 1, 2003, unless otherwise 1 LITTLE HARBOR ROAD
SECTOR SOUTHEASTERN NEW
noted. WOODS HOLE, MA 02543‐ 866‐819‐9128
ENGLAND
1099
Security 33 CFR 101
33 CFR 101 Subpart A— General 600 8TH AVENUE SE SAINT
SECTOR ST PETERSBURG 727‐824‐7506
PETERSBURG, FL 33701
101.100 Purpose.
SECTOR UPPER MISSISSIPPI 1222 SPRUCE STREET ST. 314‐269‐2500
(a) The purpose of this subchapter is:
RIVER LOUIS, MO 63103‐2846
(1) To implement portions of the maritime security regime
USCG Directory
required by the Maritime Transportation Security Act of 2002, as
codified in 46 U.S.C. Chapter 701;
10 147
Local Sector/Group Commands (2) To align, where appropriate, the requirements of domestic
maritime security regulations with the international maritime
security standards in the International Convention for the Safety
of Life at Sea, 1974 (SOLAS Chapter XI‐2) and the International
G Wing ‐ BLDG 49000 JBER, Code for the Security of Ships and of Port Facilities, parts A and B,
SECTOR ANCHORAGE 907‐229‐8203
AK 99505 adopted on 12 December 2002; and
2401 HAWKINS POINT ROAD (3) To ensure security arrangements are as compatible as possible
SECTOR BALTIMORE BALTIMORE, MD 21226‐ 410‐576‐2525 for vessels trading internationally.
1797 (b) For those maritime elements of the national transportation system
455 COMMERCIAL ST where international standards do not directly apply, the requirements
SECTOR BOSTON 617‐223‐5757
BOSTON, MA 2109 in this subchapter emphasize cooperation and coordination with local
1 FUHRMANN BLVD port community stakeholders, and are based on existing domestic
SECTOR BUFFALO 716‐843‐9315 standards, as well as established industry security practices.
In reference to Security Audits, also review PAC 52‐05 Personnel Conducting Security Audits and
BUFFALO, NY 14203‐3189
(c) The assessments and plans required by this subchapter are intended
196 TRADD STREET for use in implementing security measures at various MARSEC Levels.
SECTOR CHARLESTON 843‐724‐7600
CHARLESTON, SC 29401 The specific security measures and their implementation are planning
2185 SE AIRPORT ROAD criteria based on a set of assumptions made during the development of
SECTOR COLUMBIA RIVER WARRENTON, OR 97146‐ 503‐861‐6211 the security assessment and plan. These assumptions may not exist
9693 during an actual transportation security incident.
8930 OCEAN DR CORPUS [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR
SECTOR CORPUS CHRISTI 361‐939‐6227 60470, Oct. 22, 2003]
CHRISTI, TX 78419
1 WASHINGTON AVENUE
SECTOR DELAWARE BAY PHILADELPHIA, PA 19147‐ 215‐271‐4800 101.105 Definitions.
4395 Unless otherwise specified, as used in this subchapter:
Alternative Security Program means a third‐party or industry
100 MT ELLIOTT AVE
SECTOR DETROIT 313‐568‐9525 organization developed standard that the Commandant has
DETROIT, MI 48207‐4380
determined provides an equivalent level of security to that established
PAC 55‐05 Auditing of Alternative Security Programs
PSC 455 BOX 176 FPO, AP by this subchapter.
SECTOR GUAM 671‐339‐6100
96540‐1056 Area Commander means the U.S. Coast Guard officer designated by the
4000 COAST GUARD BLVD Commandant to command a Coast Guard Area as described in 33 CFR
SECTOR HAMPTON ROADS PORTSMOUTH, VA 23703‐ 757‐668‐5555 part 3.
2199 Area Maritime Security (AMS) Assessment means an analysis that
400 SAND ISLAND PARKWAY examines and evaluates the infrastructure and operations of a port
SECTOR HONOLULU 808‐842‐2600 taking into account possible threats, vulnerabilities, and existing
HONOLULU, HI 96819‐4398
protective measures, procedures and operations.
13411 Hillard Street Area Maritime Security (AMS) Committee means the committee
SECTOR HOUSTON/GALVESTON 281‐464‐4800
HOUSTON, TX 77034 established pursuant to 46 U.S.C. 70112(a)(2)(A). This committee can
1001 LYCOMING AVE be the Port Security Committee established pursuant to Navigation and
SECTOR HUMBOLDT BAY 707‐839‐6123
MCKINLEYVILLE,CA 95519 Vessel Inspection Circular (NVIC) 09‐02 change 2, available from the
4200 OCEAN STREET cognizant Captain of the Port (COTP) or at
SECTOR JACKSONVILLE ATLANTIC BEACH, FL 32233‐ 904‐564‐7511/ ‐7512 http://www.uscg.mil/hq/cg5/nvic/.
2416 Area Maritime Security (AMS) Plan means the plan developed
pursuant to 46 U.S.C. 70103(b). This plan may be the Port Security plan
PO BOX 25517 JUNEAU, AK
SECTOR JUNEAU 907‐463‐2000 developed pursuant to NVIC 09‐02 provided it meets the requirements
99801

of part 103 of this subchapter.
100 TRUMBO POINT RD KEY Area of Responsibility (AOR) means a Coast Guard area, district, marine
SECTOR KEY WEST 305‐292‐8727
Security 33 CFR 101
WEST, FL 33040‐5566 inspection zone or COTP zone described in 33 CFR part 3.
Audit means an evaluation of a security assessment or security plan
performed by an owner or operator, the owner or operator's designee,
USCG Directory
or an approved third‐party, intended to identify deficiencies, non‐

146 11
conformities and/or inadequacies that would render the assessment or District Command Centers
In reference to CSO and SSO, also review PAC 39‐04 Communications Between Ships Security Officers and Company Security Officers
plan insufficient.
Barge means a non‐self‐propelled vessel (46 CFR 24.10‐1).
Barge fleeting facility means a commercial area, subject to permitting
by the Army Corps of Engineers, as provided in 33 CFR part 322, part DISTRICT 1 COMMAND
BLDG. 408 ATLANTIC
330, or pursuant to a regional general permit the purpose of which is CENTER (ME, MA, VT,NH, RI, 617‐223‐8555/ ‐
AVENUE BOSTON, MA
for the making up, breaking down, or staging of barge tows. CT, EASTERN NY, & NORTH 56/57/58/59
02110‐3350
Breach of security means an incident that has not resulted in a EAST NJ)
transportation security incident, in which security measures have been
circumvented, eluded, or violated. 431 CRAWFORD STREET –
Bulk or in bulk means a commodity that is loaded or carried on board a DISTRICT 5 COMMAND
FEDERAL BLDG.
vessel without containers or labels, and that is received and handled CENTER (SOUTHERN NJ, 757‐398‐6390
PORTSMOUTH, VA 23704‐
without mark or count. EASTERN PA, MD, VA, NC)
5004
Bunkers means a vessel's fuel supply.
Captain of the Port (COTP) means the local officer exercising authority
for the COTP zones described in 33 CFR part 3. The COTP is the Federal BRICKELL PLAZA FEDERAL
Maritime Security Coordinator described in 46 U.S.C. 70103(a)(2)(G) DISTRICT 7 COMMAND
BLDG. 909 SE First Avenue 305‐415‐6800
and also the Port Facility Security Officer as described in the ISPS Code, CENTER (FL, GA, SC)
MIAMI, FL 33131‐3050
part A.
Cargo means any goods, wares, or merchandise carried, or to be
carried, for consideration, whether directly or indirectly flowing to the
HALE BOGGS FEDERAL BLDG
owner, charterer, operator, agent, or any other person interested in the District 8 COMMAND CENTER
500 POYDRAS STREET,
vessel, facility, or OCS facility, except dredge spoils. (MS, TN, OH RIVER 504‐589‐6225
SUITE 1240 NEW ORLEANS,
In reference to bulk, also review PAC 10‐04 Bulk Cargo Facilities
Cargo vessel means a vessel that carries, or intends to carry, cargo as WATERSHEDS)
LA 70130‐3310
defined in this section.
Certain Dangerous Cargo (CDC) means the same as defined in 33 CFR
160.204. 1240 EAST 9TH STREET
DISTRICT 9 COMMAND
Commandant means the Commandant of the U.S. Coast Guard. CLEVELAND, OH 44199‐ 216‐902‐6118/ ‐6117
CENTER (GREAT LAKES)
Company means any person or entity that owns any facility, vessel, or 2060
OCS facility subject to the requirements of this subchapter, or has
assumed the responsibility for operation of any facility, vessel, or OCS COAST GUARD ISLAND
DISTRICT 11 COMMAND
facility subject to the requirements of this subchapter, including the BLDG 50‐6 ALAMEDA, CA 510‐437‐3701
CENTER (CA, NV, AZ, UT)
duties and responsibilities imposed by this subchapter. 94501‐5100
PAC 02‐11 Low Risk Commodities
Company Security Officer (CSO) means the person designated by the
Company as responsible for the security of the vessel or OCS facility,
including implementation and maintenance of the vessel or OCS facility JACKSON FEDERAL BLDG
DISTRICT 13 COMMAND
security plan, and for liaison with their respective vessel or facility 915 SECOND AVENUE 206‐220‐7001
CENTER (WA,OR, ID, MT)
security officer and the Coast Guard. SEATTLE, WA 98174‐1067
Contracting Government means any government of a nation that is a
signatory to SOLAS, other than the U.S.
Cruise ship means any vessel over 100 gross register tons, carrying PRINCE KALANIANAOLE
DISTRICT 14 COMMAND
more than 12 passengers for hire which makes voyages lasting more FEDERAL BLDG. 300 ALA
CENTER (Hawaii & Guam / 808‐535‐3333
than 24 hours, of which any part is on the high seas. Passengers from MOANA Blvd., 9TH FLOOR
Pacific Ocean)
cruise ships are embarked or disembarked in the U.S. or its territories. HONOLULU, HI 96850‐4982

Cruise ships do not include ferries that hold Coast Guard Certificates of
Inspection endorsed for “Lakes, Bays, and Sounds”, that transit
907‐463‐2000
Security 33 CFR 101
international waters for only short periods of time on frequent DISTRICT 17 COMMAND P.O. BOX 25517 JUNEAU, AK

schedules. CENTER (Alaska) 99802‐5517
USCG Directory

12 145
In reference to Exercises, also review PAC 45‐04 Timelines for MTSA Required Exercises and PAC 59‐05 Facilities and Vessels Receiving
U.S. COAST GUARD DIRECTORY Dangerous goods and/or hazardous substances, for the purposes of
this subchapter, means cargoes regulated by parts 126, 127, or 154 of
this chapter.
Unit Office Locations Number Dangerous substances or devices means any material, substance, or
item that reasonably has the potential to cause a transportation
security incident.
COMMANDANT US COAST
Declaration of Security (DoS) means an agreement executed between
GUARD HEADQUARTERS
NATIONAL COMMAND CENTER 800‐DAD‐SAFE the responsible Vessel and Facility Security Officer, or between Vessel
2703 MARTIN LUTHER KING
(EMERGENCIES ONLY) 202‐372‐2100 Security Officers in the case of a vessel‐to‐vessel activity, that provides
JR AVE SE WASHINGTON DC
a means for ensuring that all shared security concerns are properly
20593
addressed and security will remain in place throughout the time a
In reference to Facilities, also review PAC 09‐09 Exempting Facilities that Transfer and Store Asphalt
vessel is moored to the facility or for the duration of the vessel‐to‐
NATIONAL MARITIME vessel activity, respectively.
MERCHANT MARINER District Commander means the U.S. Coast Guard officer designated by
CENTER 100 FORBES DRIVE 888‐I‐ASK‐NMC (888‐427‐
LINCENSING & the Commandant to command a Coast Guard District described in 33
MARTINSBURG, WV 25404 5662)
DOCUMENTATION CFR part 3.
www.uscg.mil/stcw/
Drill means a training event that tests at least one component of the
AMS, vessel, or facility security plan and is used to maintain a high level
414 MADISON AVE
UNIFORM DIST CENTER ORDER of security readiness.
WOODBINE, NJ 08270‐0000 800 ‐874‐6841
LINE & CUSTOMER SERVICE Escorting means ensuring that the escorted individual is continuously
www.uscg.mil/uniform/
Exercise Credit for Participating in Area Maritime Security Plan Exercises
accompanied while within a secure area in a manner sufficient to
observe whether the escorted individual is engaged in activities other
Washington, DC‐Headquarters than those for which escorted access was granted. This may be
accomplished via having a side‐by‐side companion or monitoring,
depending upon where the escorted individual will be granted access.
COMMANDANT CG‐FAC US
Individuals without TWICs may not enter restricted areas without
COAST GUARD
having an individual who holds a TWIC as a side‐by‐side companion,
HEADQUARTERS 2703
COMDT (CG‐FAC) 202‐372‐1092 except as provided in §§104.267, 105.257, and 106.262 of this
MARTIN LUTHER KING JR
subchapter.
AVE SE WASHINGTON DC
Exercise means a comprehensive training event that involves several of
20593
the functional elements of the AMS, vessel, or facility security plan and
tests communications, coordination, resource availability, and
PSSU US COAST GUARD response.
COMMANDING OFFICER, HEADQUARTERS 2703 Facility means any structure or facility of any kind located in, on, under,
PERSONNEL SERVICE AND MARTIN LUTHER KING JR 202‐372‐4000 or adjacent to any waters subject to the jurisdiction of the U.S. and
SUPPORT UNIT AVE SE WASHINGTON DC used, operated, or maintained by a public or private entity, including
20593 any contiguous or adjoining property under common ownership or
operation.
Facility Security Assessment (FSA) means an analysis that examines and
HSWL US COAST GUARD evaluates the infrastructure and operations of the facility taking into
HEADQUARTERS 2703 account possible threats, vulnerabilities, consequences, and existing
SUPERVISOR, HEALTH, SAFETY,
MARTIN LUTHER KING JR 202‐372‐4084 protective measures, procedures and operations.
AND WORKLIFE
AVE SE WASHINGTON DC Facility Security Officer (FSO) means the person designated as
20593 responsible for the development, implementation, revision and
maintenance of the facility security plan and for liaison with the COTP
and Company and Vessel Security Officers.
Security 33 CFR 101
Facility Security Plan (FSP) means the plan developed to ensure the
application of security measures designed to protect the facility and its
USCG Directory
servicing vessels or those vessels interfacing with the facility, their
cargoes, and persons on board at the respective MARSEC Levels.
144 13
Ferry means a vessel which is limited in its use to the carriage of deck
passengers or vehicles or both, operates on a short run on a frequent 28‐04 Foreign Barges
schedule between two or more points over the most direct water
route, other than in ocean or coastwise service. 30‐04 Credentialing of Federal, State and Local Officials
Foreign vessel means a vessel of foreign registry or a vessel operated
In reference to facilities receiving vessels from Canada, also review PAC 43‐04 Facilities Receiving Vessels from Canada
under the authority of a country, except the U.S., that is engaged in 31‐04 Lightering Operations

commerce.
General shipyard facility means— 33‐04 CH 1 Caustic Soda Solution
(1) For operations on land, any structure or appurtenance thereto
In reference to MTSA and ISPS Gross Tonnage, also review PAC 26‐04 MTSA and ISPS Tonnage Applicability
PACs can be accessed on Homeport at MTSA/ISPS Policy Advisory Council
designed for the construction, repair, rehabilitation, 34‐04 Locking of Public Access Facilities
refurbishment, or rebuilding of any vessel, including graving
docks, building ways, ship lifts, wharves, and pier cranes; the land 35‐04 CH 1 Cruise Ships, Tenders and Public Access Facilities
necessary for any structures or appurtenances; and the
equipment necessary for the performance of any function 36‐04 VSP Amendments
referred to in this definition; and
(2) For operations other than on land, any vessel, floating 37‐04 Screening Guidance to Private Security Firms and
drydock, or barge used for, or a type that is usually used for, Consultants
activities referred to in paragraph (1) of this definition.
Gross register tons (GRT) means the gross ton measurement of the 39‐04 Communications Between Ships Security Officers and
vessel under 46 U.S.C. chapter 145, Regulatory Measurement. For a Company Security Officers
vessel measured under only 46 U.S.C. chapter 143, Convention
Measurement, the vessel's gross tonnage, ITC is used to apply all 41‐04 Shipyard Security
In reference to Shipyards, also review PAC 41‐04 Shipyard Security
thresholds expressed in terms of gross register tons.
Gross tonnage, ITC (GT ITC) means the gross tonnage measurement of 43‐04 Facilities Receiving Vessels from Canada
the vessel under 46 U.S.C. chapter 143, Convention Measurement.
Under international conventions, this parameter may be referred to as 45‐04 CH 1 Timelines for MTSA Required Exercises
“gross tonnage (GT).”
Hazardous materials means hazardous materials subject to regulation 48‐04 Capability to Continuously Monitor
under 46 CFR parts 148, 150, 151, 153, or 154, or 49 CFR parts 171
through 180. 52‐05 CH 1 Personnel Conducting Security Audits
Infrastructure means facilities, structures, systems, assets, or services
so vital to the port and its economy that their disruption, incapacity, or 53‐05 Towing Vessels Moving Regulated Barges NOT Carrying
destruction would have a debilitating impact on defense, security, the CDCs

environment, long‐term economic prosperity, public health or safety of
the port. 57‐05 Exceptions to Part 105 Applicability for Oil and Natural
International voyage means a voyage between a country to which Gas Facilities
SOLAS applies and a port outside that country. A country, as used in this
definition, includes every territory for the internal relations of which a 60‐05 US Flagged Small Passenger Vessels with SOLAS
contracting government to the convention is responsible or for which Documents
the United Nations is the administering authority. For the U.S., the term
“territory” includes the Commonwealth of Puerto Rico, all possessions 02‐11 Low Risk Commodities
of the United States, and all lands held by the U.S. under a protectorate
or mandate. For the purposes of this subchapter, vessels solely
navigating the Great Lakes and the St. Lawrence River as far east as a

straight line drawn from Cap des Rosiers to West Point, Anticosti Island
and, on the north side of Anticosti Island, the 63rd meridian, are
Security 33 CFR 101
considered on an “international voyage” when on a voyage between a
U.S. port and a Canadian port.
ISPS Code means the International Ship and Port Facility Security Code,
as incorporated into SOLAS.
14 143
In reference to OCS Facilities, also review NVIC 05‐03 Implementation Guidance for the Maritime Security Regulations Mandated by the
Grey Area Side Bar Reference List Maritime Security (MARSEC) Directive means an instruction issued by
the Commandant, or his/her delegee, mandating specific security
measures for vessels and facilities that may be involved in a
Navigation and Vessel Inspection Circulars (NVIC) transportation security incident.
Maritime Security (MARSEC) Level means the level set to reflect the
09‐02 CH 3 Guidelines for Development of Area Maritime Security prevailing threat environment to the marine elements of the national
Committees and Area Security Plans for U.S. Ports transportation system, including ports, vessels, facilities, and critical
assets and infrastructure located on or adjacent to waters subject to
11‐02 CH 1 Recommended Security Guidelines for Facilities the jurisdiction of the U.S.
MARSEC Level 1 means the level for which minimum appropriate
03‐03 CH 2 Implementation Guidance for the Regulations protective security measures shall be maintained at all times.
Mandated by the Maritime Transportation Security Act MARSEC Level 2 means the level for which appropriate additional
of 2002 (MTSA) for Facilities protective security measures shall be maintained for a period of time as
a result of heightened risk of a transportation security incident.
04‐03 CH3 Guidance for Verification of Vessel Security Plans on MARSEC Level 3 means the level for which further specific protective
NVICs can be accessed at http://www.uscg.mil/hq/cg5/nvic/
Domestic Vessels in Accordance with the Regulations security measures shall be maintained for a limited period of time when
Mandated by the Maritime Transportation Security Act a transportation security incident is probable or imminent, although it
Maritime Transportation Security Act of 2002 for Outer Continental Shelf Facilities.
(MTSA) of 2002 & International Ship & Port Facility may not be possible to identify the specific target.
Security (ISPS) Code Master means the holder of a valid merchant mariner credential or
license that authorizes the individual to serve as a Master, operator, or
05‐03 Implementation Guidance for the Maritime Security person in charge of the rated vessel. For the purposes of this
Regulations Mandated by the Maritime Transportation subchapter, Master also includes the Person in Charge of a MODU, and
Security Act of 2002 for the Outer Continental Shelf the operator of an uninspected towing vessel.
Facilities Merchant mariner credential or MMC means the credential issued by
the Coast Guard under 46 CFR part 10. It combines the individual
06‐04 Voluntary Screening Guidance for Owners or Operators merchant mariner's document, license, and certificate of registry
Regulated Under Parts 104, 105 & 106 of Subchapter H enumerated in 46 U.S.C. subtitle II part E as well as the STCW
of Title 33, Code of Federal Regulations endorsement into a single credential that serves as the mariner's
qualification document, certificate of identification, and certificate of
03‐07 Guidance for the Implementation of the service.
Transportation Worker Identification Credential (TWIC) OCS Facility means any artificial island, installation, or other complex of
Program in the Maritime Sector one or more structures permanently or temporarily attached to the
subsoil or seabed of the OCS, erected for the purpose of exploring for,
1‐11 Guidance Related to Waterfront Liquid Natural Gas developing or producing oil, natural gas or mineral resources. This
(LNG) Facilities definition includes all mobile offshore drilling units (MODUs) not
covered under part 104 of this subchapter, when attached to the

Policy Advisory Council (PAC) subsoil or seabed of offshore locations, but does not include deepwater
ports, as defined by 33 U.S.C. 1502, or pipelines.
03‐03 CH 2 Remote Facilities Operator, Uninspected Towing Vessel means an individual who holds a

merchant mariner credential or license described in 46 CFR 15.805(a)(5)
10‐04 Bulk Cargo Facilities or 46 CFR 15.810(d).
Owner or operator means any person or entity that owns, or maintains
20‐04 Certain Dangerous Cargo Facilities operational control over, any facility, vessel, or OCS facility subject to
this subchapter. This includes a towing vessel that has operational
22‐04 Declarations of Security control of an unmanned vessel when the unmanned vessel is attached
to the towing vessel and a facility that has operational control of an
Security 33 CFR 101
unmanned vessel when the unmanned vessel is not attached to a
24‐04 Public Access Facilities towing vessel and is moored to the facility; attachment begins with the
securing of the first mooring line and ends with the casting‐off of the
26‐04 MTSA and ISPS Tonnage Applicability last mooring line.
142 15
Passenger vessel means— Summary of MARPOL requirements
(1) On an international voyage, a vessel carrying more than 12
passengers, including at least one passenger‐for‐hire; and
(2) On other than an international voyage:
(i) A vessel of at least 100 gross register tons carrying more
than 12 passengers, including at least one passenger‐for‐
In reference to Passenger vessels, also review PAC 60‐05 US Flagged Small Passenger Vessels with SOLAS Documents
hire;
(ii) A vessel of less than 100 gross register tons carrying
more than 6 passengers, including at least one passenger‐
for‐hire;
(iii) A vessel that is chartered and carrying more than 12
passengers;
(iv) A submersible vessel that is carrying at least one
In reference to Public Access Facilities, also review PAC 34‐04 Locking of Public Access Facilities
passenger‐for‐hire; or
(v) A wing‐in‐ground craft, regardless of tonnage, that is
carrying at least one passenger‐for‐hire.
Passenger‐for‐hire means a passenger for whom consideration is
contributed as a condition of carriage on the vessel, whether directly or
indirectly flowing to the owner, charterer, operator, agent, or any other
person having an interest in the vessel.
Personal Identification Number (PIN) means a personally selected
number stored electronically on the individual's TWIC.
Public access facility means a facility—
(1) That is used by the public primarily for purposes such as
recreation, entertainment, retail, or tourism, and not for receiving
vessels subject to part 104;
(2) That has minimal infrastructure for servicing vessels subject to
Homeport MARPOL page
part 104 of this chapter; and
(3) That receives only:
(i) Vessels not subject to part 104 of this chapter, or
(ii) Passenger vessels, except:
(A) Ferries certificated to carry vehicles;
(B) Cruise ships; or
(C) Passenger vessels subject to SOLAS Chapter XI‐1 or
SOLAS Chapter XI‐2.
Recurring unescorted access means authorization to enter a vessel on a

continual basis after an initial personal identity and credential
Safety & Environmental MARPOL
verification.
Registered length means the registered length as defined in 46 CFR
part 69.
Restricted areas mean the infrastructures or locations identified in an
area, vessel, or facility security assessment or by the operator that
require limited access and a higher degree of security protection. The
entire facility may be designated the restricted area, as long as the
entire facility is provided the appropriate level of security.

Review and approval means the process whereby Coast Guard officials
Security 33 CFR 101
evaluate a plan or proposal to determine if it complies with this
subchapter and/or provides an equivalent level of security.
Screening means a reasonable examination of persons, cargo, vehicles,
or baggage for the protection of the vessel, its passengers and crew.
16 141
(Approved by the Office of Management and Budget under control The purpose of the screening is to secure the vital government interest
number 1625‐0095) of protecting vessels, harbors, and waterfront facilities from
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 88‐102, 55 destruction, loss, or injury from sabotage or other causes of similar
FR 25445, June 21, 1990; CGD 86‐034, 55 FR 36256, Sept. 4, 1990; CGD nature. Such screening is intended to ensure that dangerous substances
93‐056, 61 FR 41461, Aug. 8, 1996; USCG‐2006‐25150, 71 FR 39210, and devices, or other items that pose a real danger of violence or a
July 12, 2006; USCG‐1999‐5150, 78 FR 42641, July 16, 2013] threat to security are not present.
Secure area means the area on board a vessel or at a facility or outer
continental shelf facility over which the owner/operator has
implemented security measures for access control in accordance with a
Coast Guard approved security plan. It does not include passenger
access areas, employee access areas, or public access areas, as those
terms are defined in §§104.106, 104.107, and 105.106, respectively, of
this subchapter. Vessels operating under the waivers provided for at 46

U.S.C. 8103(b)(3)(A) or (B) have no secure areas. Facilities subject to
part 105 of this subchapter located in the Commonwealth of the
Northern Mariana Islands and American Samoa have no secure areas.
Facilities subject to part 105 of this subchapter may, with approval of
the Coast Guard, designate only those portions of their facility that are
directly connected to maritime transportation or are at risk of being
involved in a transportation security incident as their secure areas.
Security sweep means a walkthrough to visually inspect unrestricted
areas to identify unattended packages, briefcases, or luggage and
determine that all restricted areas are secure.
Security system means a device or multiple devices designed, installed
and operated to monitor, detect, observe or communicate about
activity that may pose a security threat in a location or locations on a
vessel or facility.
Sensitive security information (SSI) means information within the
scope of 49 CFR part 1520.
SOLAS means the International Convention for the Safety of Life at Sea
Convention, 1974, as amended.
Survey means an on‐scene examination and evaluation of the physical
characteristics of a vessel or facility, and its security systems, processes,
procedures, and personnel.
Safety & Environmental 33 CFR 156
Transportation security incident (TSI) means a security incident
resulting in a significant loss of life, environmental damage,
transportation system disruption, or economic disruption in a particular
area.
TWIC means a valid, non‐revoked transportation worker identification
credential, as defined and explained in 49 CFR part 1572.
TWIC Program means those procedures and systems that a vessel,
facility, or outer continental shelf facility (OCS) must implement in
order to assess and validate TWICs when maintaining access control.
Unaccompanied baggage means any baggage, including personal
effects, that is not being brought on board on behalf of a person who is
boarding the vessel.
Security 33 CFR 101
Unescorted access means having the authority to enter and move
about a secure area without escort.
Vessel‐to‐facility interface means the interaction that occurs when a
vessel is directly and immediately affected by actions involving the
140 17
In reference to VSPs, also review PAC 36‐04 VSP Amendments and NVIC 04‐03 CH 3 Guidance for verification of vessel security plans on
domestic vessels in accordance with the regulations mandated by the Maritime Transportation Security Act (MTSA) Regulations and
movement of persons, cargo, vessel stores, or the provisions of facility (1) For facilities, annually or not less than 30 days prior to the first
services to or from the vessel. transfer conducted past one year from the date of the last tests and
Vessel‐to‐port interface means the interaction that occurs when a inspections;
vessel is directly and immediately affected by actions involving the (2) For a facility in caretaker status, not less than 30 days prior to
movement of persons, cargo, vessel stores, or the provisions of port the first transfer after the facility is removed from caretaker
services to or from the vessel. status; and
Vessel Security Assessment (VSA) means an analysis that examines and (3) For vessels, annually or as part of the biennial and mid‐period
evaluates the vessel and its operations taking into account possible inspections.
threats, vulnerabilities, consequences, and existing protective (g) If a facility or vessel collects vapor emitted to or from a vessel cargo
measures, procedures and operations. tank with a vapor control system, the system must not be used unless
Vessel Security Plan (VSP) means the plan developed to ensure the the following tests and inspections are satisfactorily completed:
application of security measures designed to protect the vessel and the (1) Each vapor hose, vapor collection arm, pressure or vacuum
facility that the vessel is servicing or interacting with, the vessel's relief valve, and pressure sensor is tested and inspected in
cargoes, and persons on board at the respective MARSEC Levels. accordance with paragraphs (b), (c), and (f) of this section;
Vessel Security Officer (VSO) means the person onboard the vessel, (2) Each remote operating or indicating device is tested for proper
accountable to the Master, designated by the Company as responsible operation in accordance with paragraph (f) of this section;
for security of the vessel, including implementation and maintenance of (3) Each detonation arrester required by 33 CFR 154.2105,
the Vessel Security Plan, and for liaison with the Facility Security Officer 154.2108(b), 154.2109, 154.2110, 154.2111, and 154.2204, or 46
and the vessel's Company Security Officer. CFR 39.4003, and each flame arrester required by 33 CFR
Vessel stores means— 154.2103, 154.2105(j), and 154.2203 has been inspected
(1) Materials that are on board a vessel for the upkeep, internally within the last year, or sooner if operational experience
maintenance, safety, operation or navigation of the vessel; and has shown that frequent clogging or rapid deterioration is likely;
(2) Materials for the safety or comfort of the vessel's passengers and
or crew, including any provisions for the vessel's passengers or (4) Each hydrocarbon and oxygen analyzer required by 33 CFR
crew. 154.2105(a) and (j), 154.2107(d) and (e), and 154.2110 or 46 CFR
Vessel‐to‐vessel activity means any activity not related to a facility or 39.4003 is calibrated:
International Ship & Port Facility Security (ISPS) code.
port that involves the transfer of cargo, vessel stores, or persons from (i) Within the previous two weeks, or
one vessel to another. (ii) Within 24 hours prior to operation when the vapor
Waters subject to the jurisdiction of the U.S., for purposes of this control system is operated less frequently than once a week.
subchapter, includes all waters described in section 2.36(a) of this (h) Upon the request of the owner or operator, the COTP may approve
chapter; the Exclusive Economic Zone, in respect to the living and non‐ alternative methods of compliance to the testing requirements of
living resources therein; and, in respect to facilities located on the paragraph (c) of this section if the COTP determines that the alternative
Outer Continental Shelf of the U.S., the waters superjacent thereto. methods provide an equal level of protection.
[USCG‐2003‐14792, 68 FR 39278, July 1, 2003] (i) Notwithstanding the general provisions of 33 CFR 156.107(a) relating
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting §101.105, see the to the authority of the Captain of the Port to approve alternatives, the
List of CFR Sections Affected, which appears in the Finding Aids section owner or operator may request the written approval of the
of the printed volume and at www.fdsys.gov. Commandant (CG‐ENG), U.S. Coast Guard, 2100 2nd St. SW., Stop 7126,
Washington, DC 20593‐7126, for alternative methods of compliance to
101.110 Applicability. the testing and inspection requirements of paragraph (g)(3) of this
Unless otherwise specified, this subchapter applies to vessels, section. The Commandant (CG‐ENG) will grant that written approval
structures, and facilities of any kind, located under, in, on, or adjacent upon determination that the alternative methods provide an equivalent
to waters subject to the jurisdiction of the U.S. level of safety and protection from fire, explosion, and detonation.
Criteria to consider when evaluating requests for alternative methods
101.115 Incorporation by reference. may include, but are not limited to: operating and inspection history,

(a) Certain material is incorporated by reference into this subchapter type of equipment, new technology, and site‐specific conditions that
with the approval of the Director of the Federal Register under 5 U.S.C. support the requested alternative.
Security 33 CFR 101
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in paragraph (b) of this section, the Coast Guard must publish
notice of change in the FEDERAL REGISTER and the material must be
available to the public. All approved material is on file at the Office of
18 139
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55 the Coast Guard Port Security Directorate (CG‐5P), Coast Guard
FR 36256, Sept. 4, 1990] Headquarters, 2100 2nd St., SW., Stop 7581, Washington, DC 20593‐
7581, or at the National Archives and Records Administration (NARA).
156.170 Equipment tests and inspections. For information on the availability of this material at NARA, call 202‐
(a) Except as provided in paragraph (d) of this section, no person may 741‐6030, or go to:
use any equipment listed in paragraph (c) of this section for transfer http://www.archives.gov/federal_register/code_of_federal_regulations
operations unless the vessel or facility operator, as appropriate, tests /ibr_locations.html. All material is available from the sources indicated
and inspects the equipment in accordance with paragraphs (b), (c) and in paragraph (b) of this section.
(f) of this section and the equipment is in the condition specified in (b) The materials approved for incorporation by reference in this
paragraph (c) of this section. subchapter are as follows:
(b) During any test or inspection required by this section, the entire INTERNATIONAL MARITIME ORGANIZATION (IMO)
external surface of the hose must be accessible. Publication Section, 4 Albert Embankment, London SE1 7SR, United
(c) For the purpose of paragraph (a) of this section: Kingdom.
(1) Each nonmetallic transfer hose must:
(i) Have no unrepaired loose covers, kinks, bulges, soft spots
or any other defect which would permit the discharge of oil Conference resolution 1, Adoption of amendments to 101.120;
or hazardous material through the hose material, and no the Annex to the International Convention for the 101.310;
gouges, cuts or slashes that penetrate the first layer of hose Safety of Life at Sea, 1974, and amendments to 101.410;
reinforcement as defined in §156.120(i). Chapter XI of SOLAS 1974, adopted December 12, 101.505;
(ii) Have no external deterioration and, to the extent internal 2002, (SOLAS Chapter XI‐1 or SOLAS Chapter XI‐2) 104.105;
inspection is possible with both ends of the hose open, no 104.115;
internal deterioration; 104.120;
(iii) Not burst, bulge, leak, or abnormally distort under static 104.297;
1
liquid pressure at least 1 ⁄2 times the maximum allowable 104.400.
working pressure; and
(iv) Hoses not meeting the requirements of paragraph
(c)(1)(i) of this section may be acceptable after a static liquid Conference resolution 2, Adoption of the 101.410;
pressure test is successfully completed in the presence of International Code for the Security of Ships and of 101.505;
the COTP. The test medium is not required to be water. Port Facilities, parts A and B, adopted on December 104.105;
(2) Each transfer system relief valve must open at or below the 12, 2002 (ISPS Code) 104.115;
pressure at which it is set to open; 104.120;
(3) Each pressure gauge must show pressure within 10 percent of 104.297;
the actual pressure; 104.400.
(4) Each loading arm and each transfer pipe system, including
each metallic hose, must not leak under static liquid pressure at [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 69 FR
1
least 1 ⁄2 times the maximum allowable working pressure; and 18803, Apr. 9, 2004; USCG‐2010‐0351, 75 FR 36282, June 25, 2010;
(5) Each item of remote operating or indicating equipment, such USCG‐2013‐0397, 78 FR 39173, July 1, 2013]
as a remotely operated valve, tank level alarm, or emergency
shutdown device, must perform its intended function. 101.120 Alternatives.
(d) No person may use any hose in underwater service for transfer (a) Alternative Security Agreements.
operations unless the operator of the vessel or facility has tested and (1) The U.S. may conclude in writing, as provided in SOLAS
inspected it in accordance with paragraph (c)(1) or (c)(4) of this section, Chapter XI‐2, Regulation 11 (Incorporated by reference, see
as applicable. §101.115), a bilateral or multilateral agreements with other
(e) The test fluid used for the testing required by this section is limited Contracting Governments to SOLAS on Alternative Security
Security 33 CFR 101
to liquids that are compatible with the hose tube as recommended by Arrangements covering short international voyages on fixed
the hose manufacturer. routes between facilities subject to the jurisdiction of the U.S. and
(f) The frequency of the tests and inspections required by this section facilities in the territories of those Contracting Governments.
must be: (2) As further provided in SOLAS Chapter XI‐2, Regulation 11, a
vessel covered by such an agreement shall not conduct any
138 19
vessel‐to‐vessel activity with any vessel not covered by the (a) No person may transfer oil or hazardous material to or from a vessel
agreement. unless each person in charge, designated under §§154.710 and 155.700
(b) Alternative Security Programs. of this chapter, has filled out and signed the declaration of inspection
(1) Owners and operators of vessels and facilities required to have form described in paragraph (c) of this section.
security plans under part 104, 105, or 106 of this subchapter, (b) No person in charge may sign the declaration of inspection unless
other than vessels that are subject to SOLAS Chapter XI, may meet he or she has determined by inspection, and indicated by initialing in
the requirements of an Alternative Security Program that has the appropriate space on the declaration of inspection form, that the
been reviewed and approved by the Commandant (CG‐5P) as facility or vessel, as appropriate, meets §156.120.
meeting the requirements of part 104, 105, or 106, as applicable. (c) The declaration of inspection may be in any form but must contain
(2) Owners or operators must implement an approved Alternative at least:
Security Program in its entirety to be deemed in compliance with (1) The name or other identification of the transferring vessel or
either part 104, 105, or 106. facility and the receiving vessel or facility;
(3) Owners or operators who have implemented an Alternative (2) The address of the facility or location of the transfer operation
Security Program must send a letter to the appropriate plan if not at a facility;
approval authority under part 104, 105, or 106 of this subchapter (3) The date and time the transfer operation is started;
identifying which Alternative Security Program they have (4) A list of the requirements in §156.120 with spaces on the form
implemented, identifying those vessels or facilities that will following each requirement for the person in charge of the vessel
implement the Alternative Security Program, and attesting that or facility to indicate by initialing that the requirement is met for
they are in full compliance therewith. A copy of this letter shall be the transfer operation; and
retained on board the vessel or kept at the facility to which it (5) A space for the date, time of signing, signature, and title of
pertains along with a copy of the Alternative Security Program each person in charge during transfer operations on the
and a vessel, facility, or Outer Continental Shelf facility specific transferring vessel or facility and a space for the date, time of
security assessment report generated under the Alternative signing, signature, and title of each person in charge during
Security Program. transfer operations on the receiving facility or vessel certifying
(4) Owners or operators shall make available to the Coast Guard, that all tests and inspections have been completed and that they
upon request, any information related to implementation of an are both ready to begin transferring product; and
approved Alternative Security Program. (6) The date and time the transfer operation is completed.
(c) Approval of Alternative Security Programs. You must submit to the (d) The form for the declaration of inspection may incorporate the
Commandant (CG‐5P) for review and approval the Alternative Security declaration‐of‐inspection requirements under 46 CFR 35.35‐30.
Program and the following information to assess the adequacy of the (e) The vessel and facility persons in charge shall each have a signed
proposed Alternative Security Program: copy of the declaration of inspection available for inspection by the
(1) A list of the vessel and facility type that the Alternative COTP during the transfer operation.
Security Program is intended to apply; (f) The operators of each vessel and facility engaged in the transfer
(2) A security assessment for the vessel or facility type; operation shall retain a signed copy of the declaration of inspection on
(3) Explanation of how the Alternative Security Program addresses board the vessel or at the facility for at least 1 month from the date of
the requirements of parts 104, 105, or 106, as applicable; and signature.
(4) Explanation of how owners and operators must implement the [CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55
Alternative Security Program in its entirety, including performing FR 36256, Sept. 4, 1990; CGD 93‐056, 61 FR 41461, Aug. 8, 1996]
an operational and vessel or facility specific assessment and
verification of implementation. 156.160 Supervision by person in charge.
(d) Amendment of Approved Alternative Security Programs. (a) No person may connect or disconnect a hose, top off a tank, or
(1) Amendments to an Alternative Security Program approved engage in any other critical procedures during the transfer operation
under this section may be initiated by— unless the person in charge, required by §156.120(s), supervises that
(i) The submitter of an Alternative Security Program under procedure.
Security 33 CFR 101
paragraph (c) of this section; or (b) No person may start the flow of oil or hazardous material to or from
(ii) The Coast Guard upon a determination that an a vessel unless instructed to do so by either person in charge.
amendment is needed to maintain the security of a vessel or (c) No person may transfer oil or hazardous material to or from a vessel
facility. The Coast Guard will give the submitter of an unless each person in charge is in the immediate vicinity and
Alternative Security Program written notice and request that immediately available to the transfer personnel.
the submitter propose amendments addressing any matters
20 137
73 FR 79316, Dec. 29, 2008; USCG‐1999‐5150, 78 FR 42641, July 16, specified in the notice. The submitter will have at least 60
2013] days to submit its proposed amendments.
(2) Proposed amendments must be sent to the Commandant (CG‐
156.125 Discharge cleanup. 5P). If initiated by the submitter, the proposed amendment must
(a) Each person conducting the transfer operation shall stop the be submitted at least 30 days before the amendment is to take
transfer operation whenever oil or hazardous material from any source effect unless the Commandant (CG‐5P) allows a shorter period.
is discharged: The Commandant (CG‐5P) will approve or disapprove the
(1) In the transfer operation work area; or proposed amendment in accordance with paragraph (f) of this
(2) Into the water or upon the adjoining shoreline in the transfer section.
area. (e) Validity of Alternative Security Program. An Alternative Security
(b) Except as permitted under paragraph (c) of this section, no person Program approved under this section is valid for 5 years from the date
may resume the transfer operation after it has been stopped under of its approval.
paragraph (a) of this section, unless: (f) The Commandant (CG‐5P) will examine each submission for
(1) Oil or hazardous material discharged in the transfer operation compliance with this part, and either:
work area is cleaned up; and (1) Approve it and specify any conditions of approval, returning to
(2) Oil or hazardous material discharged into the water or upon the submitter a letter stating its acceptance and any conditions;
the adjoining shoreline is cleaned up, or is contained and being (2) Return it for revision, returning a copy to the submitter with
cleaned up. brief descriptions of the required revisions; or
(c) The COTP may authorize resuming the transfer operation if it is (3) Disapprove it, returning a copy to the submitter with a brief
deemed appropriate. statement of the reasons for disapproval.
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55 [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR
FR 36255, Sept. 4, 1990] 60471, Oct. 22, 2003; USCG‐2013‐0397, 78 FR 39173, July 1, 2013]

156.130 Connection. 101.125 [Reserved]
(a) Each person who makes a connection for transfer operations shall:
(1) Use suitable material in joints and couplings to ensure a leak‐ 101.130 Equivalent security measures.
free seal; (a) For any measure required by part 104, 105, or 106 of this
(2) Use a bolt in at least every other hole, and in no case less than subchapter, the owner or operator may substitute an equivalent
four bolts, in each temporary bolted connection that uses a flange security measure that has been approved by the Commandant (CG‐5P)
that meets American National Standards Institute (ANSI) standard as meeting or exceeding the effectiveness of the required measure. The
flange requirements under §154.500(d)(2) of this chapter; Commandant (CG‐5P) may require that the owner or operator provide
(3) Use a bolt in each hole in each temporary bolted connection data for use in assessing the effectiveness of the proposed equivalent
that uses a flange other than one that meets ANSI standards; security measure.
(4) Use a bolt in each hole of each permanently connected flange; (b) Requests for approval of equivalent security measures should be
(5) Use bolts of the correct size in each bolted connection; and made to the appropriate plan approval authority under parts 104, 105
(6) Tighten each bolt and nut uniformly to distribute the load and or 106 of this subchapter.
sufficiently to ensure a leak free seal. [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended by USCG‐
(b) A person who makes a connection for transfer operations must not 2013‐0397, 78 FR 39173, July 1, 2013]
use any bolt that shows signs of strain or is elongated or deteriorated.
(c) Except as provided in paragraph (d) of this section, no person may 33 CFR 101 Subpart B—Maritime Security (MARSEC) Levels
use a connection for transfer operations unless it is:
(1) A bolted or full threaded connection; or 101.200 MARSEC Levels.
(2) A quick‐connect coupling acceptable to the Commandant. (a) MARSEC Levels advise the maritime community and the public of
Security 33 CFR 101
(d) No person may transfer oil or hazardous material to a vessel that the level of risk to the maritime elements of the national transportation
has a fill pipe for which containment cannot practically be provided system. Ports, under direction of the local COTP, will respond to
unless an automatic back pressure shutoff nozzle is used. changes in the MARSEC Level by implementing the measures specified
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55 in the AMS Plan. Similarly, vessels and facilities required to have
FR 36256, Sept. 4, 1990] security plans under part 104, 105, or 106 of this subchapter shall
implement the measures specified in their security plans for the
156.150 Declaration of inspection. applicable MARSEC Level.
136 21
b) Unless otherwise directed, each port, vessel, and facility shall (6) The tank barge overfill control system, if installed, is connected
operate at MARSEC Level 1. to the facility, tested, and operating properly;
(c) The Commandant will set (raise or lower) the MARSEC Level (7) The following have been performed not more than 24 hours
commensurate with risk, and in consideration of any maritime nexus to prior to the start of the transfer operation or in accordance with
any active National Terrorism Advisory System (NTAS) alerts. 33 CFR 154.2150(b):
Notwithstanding the NTAS, the Commandant retains discretion to (i) Each alarm and automatic shutdown system required by
adjust the MARSEC Level when necessary to address any particular subpart E of part 154 of this chapter and 46 CFR part 39 has
security concerns or circumstances related to the maritime elements of been tested and found to be operating properly, and
the national transportation system. (ii) Analyzers required by 33 CFR 154.2105(a) and (j) and
(d) The COTP may raise the MARSEC Level for the port, a specific 154.2107(d) and (e) or 46 CFR 39.40‐3(a) have been checked
marine operation within the port, or a specific industry within the port, for calibration by use of a span gas;
when necessary to address an exigent circumstance immediately (8) Each vapor recovery hose has no unrepaired loose covers,
affecting the security of the maritime elements of the transportation in kinks, bulges, soft spots, or any other defect which would permit
his/her area of responsibility. Application of this delegated authority the discharge of vapor through the hose material, and no external
will be pursuant to policies and procedures specified by the gouges, cuts, or slashes that penetrate the first layer of hose
Commandant. reinforcement; and
[USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended by USCG‐ (9) The oxygen content in the vapor space of each of the vessel's
2013‐0397, 78 FR 39173, July 1, 2013] cargo tanks connected to the vapor collection system, if inerted,
is—
101.205 [Reserved] (i) At or below 60 percent by volume of the cargo's minimum
oxygen concentration for combustion; or
33 CFR 101 Subpart C—Communication (Port—Facility—Vessel) (ii) At or below 8 percent by volume, at the start of cargo
transfer, for vapor of crude oil, gasoline blends, or benzene;
101.300 Preparedness communications. (10) The freezing point of each cargo has been determined. If
(a) Notification of MARSEC Level change. The COTP will communicate there is a possibility that the ambient air temperature during
any changes in the MARSEC Levels through a local Broadcast Notice to transfer operations will be at or below the freezing point of the
Mariners, an electronic means, if available, or as detailed in the AMS cargo, adequate precautions have been taken to prevent freezing
Plan. of vapor or condensate, or to detect and remove the liquid
(b) Communication of threats. When the COTP is made aware of a condensate and solids to prevent accumulation;
threat that may cause a transportation security incident, the COTP will, (11) If the cargo has the potential to polymerize, adequate
when appropriate, communicate to the port stakeholders, vessels, and precautions have been taken to prevent and detect
facilities in his or her AOR the following details: polymerization of the cargo vapors; and
(1) Geographic area potentially impacted by the probable threat; (12) The VCS has been cleaned, in accordance with 33 CFR
(2) Any appropriate information identifying potential targets; 154.2150(p), between transfers of incompatible cargoes.
(3) Onset and expected duration of probable threat; (bb) If the transfer operation involves loading oil, as defined in §151.05
(4) Type of probable threat; and of this chapter, into a cargo tank, the overfill device required by
(5) Required actions to minimize risk. §155.480 of this chapter is installed and operating properly.
(c) Attainment. (cc) Smoking is not permitted in the facilities marine transfer area
(1) Each owner or operator of a vessel or facility required to have except in designated smoking areas.
a security plan under parts 104 or 105 of this subchapter affected (dd) Welding, hot work operations and smoking are prohibited on
by a change in the MARSEC Level must ensure confirmation to vessels during the transfer of flammable or combustible materials,
their local COTP the attainment of measures or actions described except that smoking may be permitted in accommodation areas
in their security plan and any other requirements imposed by the designated by the master.
Security 33 CFR 101
COTP that correspond with the MARSEC Level being imposed by (Approved by the Office of Management and Budget under control
the change. number 1625‐0039)
(2) Each owner or operator of a facility required to have a security [CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 88‐102, 55
plan under part 106 of this subchapter affected by a change in the FR 25445, June 21, 1990; CGD 86‐034, 55 FR 36255, Sept. 4, 1990; CGD
MARSEC Level must ensure confirmation to their cognizant 90‐071a, 59 FR 53291, Oct. 21, 1994; CGD 93‐056, 61 FR 41461, Aug. 8,
District Commander the attainment of measures or actions 1996; CGD 79‐116, 62 FR 25127, May 8, 1997; USCG‐2001‐9046, 67 FR
described in their security plan and any other requirements 58524, Sept. 17, 2002; USCG‐2006‐25150, 71 FR 39210, July 12, 2006;
22 135
(2) Conduct the transfer operation in accordance with the facility imposed by the District Commander or COTP that correspond
operations manual or vessel transfer procedures, as appropriate; with the MARSEC Level being imposed by the change.
(v) At least one person is at the site of the transfer operation who [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR
fluently speaks the language or languages spoken by both persons in 60472, Oct. 22, 2003]
charge;
(w) The person in charge of the transfer on the transferring vessel or 101.305 Reporting.
facility and the person in charge of it on the receiving vessel or facility (a) Notification of suspicious activities. An owner or operator required
have held a conference, to ensure that each person in charge to have a security plan under part 104, 105, or 106 of this subchapter
understands— shall, without delay, report activities that may result in a transportation
(1) The identity of the product to be transferred; security incident to the National Response Center at the following toll
(2) The sequence of transfer operations; free telephone: 1‐800‐424‐8802, direct telephone 202‐267‐2675, or
(3) The transfer rate; TDD 202‐267‐4477. Any other person or entity is also encouraged to
(4) The name or title and location of each person participating in report activities that may result in a transportation security incident to
the transfer operation; the National Response Center.
(5) Details of the transferring and receiving systems including (b) Notification of breaches of security. An owner or operator required
procedures to ensure that the transfer pressure does not exceed to have a security plan under parts 104, 105, or 106 of this subchapter
the maximum allowable working pressure (MAWP) for each hose shall, without delay, report breaches of security to the National
assembly, loading arm and/or transfer pipe system; Response Center via one of the means listed in paragraph (a) of this
(6) Critical stages of the transfer operation; section.
(7) Federal, state, and local rules that apply to the transfer of oil (c) Notification of transportation security incident (TSI).
or hazardous material; (1) Any owner or operator required to have a security plan under
(8) Emergency procedures; part 104 or 105 of this subchapter shall, without delay, report a
(9) Discharge containment procedures; TSI to their local COTP and immediately thereafter begin following
(10) Discharge reporting procedures; the procedures set out in their security plan, which may include
(11) Watch or shift arrangement; contacting the National Response Center via one of the means
(12) Transfer shutdown procedures; and, listed in paragraph (a) of this section.
(13) If the persons use radios, a predetermined frequency for (2) Any owner or operator required to have a security plan under
communications during the transfer, agreed upon by both. part 106 of this subchapter shall, without delay, report a TSI to
(x) The person in charge of transfer operations on the transferring their cognizant District Commander and immediately thereafter
vessel or facility and the person in charge of transfer operations on the begin following the procedures set out in their security plan,
receiving vessel or facility agree to begin the transfer operation; which may include contacting the National Response Center via
(y) Between sunset and sunrise the lighting required by §§154.570 and one of the means listed in paragraph (a) of this section.
155.790 of this chapter is provided; and (d) Callers to the National Response Center should be prepared to
(z) For transfer operations between tank barges from sunset to sunrise, provide as much of the following information as possible:
lighting is provided as described in §155.790 of this chapter. (1) Their own name and contact information;
(aa) A transfer operation which includes collection of vapor emitted to (2) The name and contact information of the suspicious or
or from a vessel's cargo tanks through a vapor control system (VCS) not responsible party;
located on the vessel must have the following verified by the person in (3) The location of the incident, as specifically as possible; and
charge: (4) The description of the incident or activity involved.
(1) Each manual valve in the vapor collection system is correctly [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended by USCG‐
positioned to allow the collection of cargo vapor; 2004‐18057, 69 FR 34925, June 23, 2004; USCG‐2005‐21531, 70 FR
(2) A vapor collection hose or arm is connected to the vessel's 36349, June 23, 2005; USCG‐2006‐25150, 71 FR 39208, July 12, 2006;
vapor connection; USCG‐2008‐0179, 73 FR 35009, June 19, 2008]
Security 33 CFR 101
(3) The electrical insulating device required by §154.810(g) of this
chapter or 46 CFR 39.40‐3(c) is fitted between the facility vapor 101.310 Additional communication devices.
connection and the vessel vapor connection; (a) Alert Systems. Alert systems, such as the ship security alert system
(4) The initial transfer rate and the maximum transfer rate are required in SOLAS Chapter XI‐2, Regulation 6 (Incorporated by
determined; reference, see §101.115), may be used to augment communication and
(5) The maximum and minimum operating pressures at the facility may be one of the communication methods listed in a vessel or facility
vapor connection are determined; security plan under part 104, 105, or 106 of this subchapter.
134 23
) Automated Identification Systems (AIS). AIS may be used to augment (f) The end of each hose and loading arm that is not connected for the
communication, and may be one of the communication methods listed transfer of oil or hazardous material is blanked off using the closure
in a vessel security plan under part 104 of this subchapter. See 33 CFR devices required by §§154.520 and 155.805 of this chapter;
part 164 for additional information on AIS device requirements. (g) The transfer system is attached to a fixed connection on the vessel
and the facility except that when a vessel is receiving fuel, an automatic
33 CFR 101 Subpart D—Control Measures for Security back pressure shutoff nozzle may be used;
(h) Each overboard discharge or sea suction valve that is connected to
101.400 Enforcement. the vessel's transfer or cargo tank system is sealed or lashed in the
(a) The rules and regulations in this subchapter are enforced by the closed position; except when used to receive or discharge ballast in
COTP under the supervision and general direction of the District compliance with 33 CFR Part 157;
Commander, Area Commander, and the Commandant. All authority (i) Each transfer hose has no unrepaired loose covers, kinks, bulges, soft
and power vested in the COTP by the rules and regulations in this spots, or any other defect which would permit the discharge of oil or
subchapter is also vested in, and may be exercised by, the District hazardous material through the hose material and no gouges, cuts, or
Commander, Area Commander, and the Commandant. slashes that penetrate the first layer of hose reinforcement
(b) The COTP, District Commander, Area Commander, or Commandant (“reinforcement” means the strength members of the hose, consisting
may assign the enforcement authority described in paragraph (a) of this of fabric, cord and/or metal);
section to any other officer or petty officer of the Coast Guard or other (j) Each hose or loading arm in use meets §§154.500 and 154.510 of this
designees authorized by the Commandant. chapter, respectively;
(c) The provisions in this subchapter do not limit the powers conferred (k) Each connection meets §156.130;
upon Coast Guard commissioned, warrant, or petty officers by any (l) Any monitoring devices required by §154.525 of this chapter are
other law or regulation, including but not limited to 33 CFR parts 6, 160, installed and operating properly;
and 165. (m) The discharge containment equipment required by §154.545 of this
chapter is readily accessible or deployed as applicable;
101.405 Maritime Security (MARSEC) Directives. (n) The discharge containment required by §§154.530, 155.310, and
(a) 155.320 of this chapter, as applicable, is in place and periodically
(1) When the Coast Guard determines that additional security drained to provide the required capacity;
measures are necessary to respond to a threat assessment or to a (o) Each drain and scupper is closed by the mechanical means required
specific threat against the maritime elements of the national by §155.310;
transportation system, the Coast Guard may issue a MARSEC (p) All connections in the transfer system are leak free except that a
Directive setting forth mandatory measures. Only the component in the transfer system, such as the packing glands of a
Commandant or his/her delegee may issue MARSEC Directives pump, may leak at a rate that does not exceed the capacity of the
under this section. Prior to issuing a MARSEC Directive, the discharge containment provided during the transfer operation;
Commandant or his/her delegee will consult with those Federal (q) The communications required by §§154.560 and 155.785 of this
agencies having an interest in the subject matter of that MARSEC chapter are operable for the transfer operation;
Directive. All MARSEC Directives issued under this section shall be (r) The emergency means of shutdown required by §§154.550 and
marked as sensitive security information (SSI) in accordance with 155.780 of this chapter, as applicable, is in position and operable;
49 CFR part 1520. (s) There is a person in charge on the transferring vessel or facility and
(2) When a MARSEC Directive is issued, the Coast Guard will the receiving vessel or facility except as otherwise authorized under
immediately publish a notice in the FEDERAL REGISTER, and affected §156.115;
owners and operators will need to go to their local COTP or (t) Each person in charge required by paragraph (s) of this section:
cognizant District Commander to acquire a copy of the MARSEC (1) Is at the site of the transfer operation and immediately
Directive. COTPs and District Commanders will require owners or available to the transfer personnel;
operators to prove that they are a person required by 49 CFR (2) Has in his or her possession a copy of the facility operations
Security 33 CFR 101
1520.5(a) to restrict disclosure of and access to sensitive security manual or vessel transfer procedures, as appropriate; and
information, and that under 49 CFR 1520.5(b), they have a need (3) Conducts the transfer operation in accordance with the facility
to know sensitive security information. operations manual or vessel transfer procedures, as appropriate;
(b) Each owner or operator of a vessel or facility to whom a MARSEC (u) The personnel required, under the facility operations manual and
Directive applies is required to comply with the relevant instructions the vessel transfer procedures, to conduct the transfer operation:
contained in a MARSEC Directive issued under this section within the (1) Are on duty; and
time prescribed by that MARSEC Directive.
24 133
between two or more vessels and a facility unless authorized by the c) Each owner or operator of a vessel or facility required to have a
COTP. security plan under parts 104, 105 or 106 of this subchapter that
(b) No person may serve as the person in charge of both a vessel and a receives a MARSEC Directive must:
facility during transfer operations unless authorized by the COTP. (1) Within the time prescribed in the MARSEC Directive,
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55 acknowledge receipt of the MARSEC Directive to their local COTP
FR 36255, Sept. 4, 1990] or, if a facility regulated under part 106 of this subchapter, to
In reference to lightering, also review PAC 31‐04 Lightering Operations.
their cognizant District Commander; and
(2) Within the time prescribed in the MARSEC Directive, specify
the method by which the measures in the MARSEC Directive have
been implemented (or will be implemented, if the MARSEC
156.118 Advance notice of transfer. Directive is not yet effective).
(a) The COTP may require a facility operator to notify the COTP of the (d) In the event that the owner or operator of a vessel or facility
time and place of each transfer operation at least 4 hours before it required to have a security plan under part 104, 105, or 106 of this
begins for facilities that: subchapter is unable to implement the measures in the MARSEC
(1) Are mobile; Directive, the owner or operator must submit proposed equivalent
(2) Are in a remote location; security measures and the basis for submitting the equivalent security
(3) Have a prior history of oil or hazardous material spills; or measures to the COTP or, if a facility regulated under part 106 of this
(4) Conduct infrequent transfer operations. subchapter, to their cognizant District Commander, for approval.
(b) In the case of a vessel to vessel transfer, the COTP may require a (e) The owner or operator must submit the proposed equivalent
vessel operator of a lightering or fueling vessel to notify the COTP of security measures within the time prescribed in the MARSEC Directive.
the time and place of each transfer operation, as specified by the COTP, The owner or operator must implement any equivalent security
at least 4 hours before it begins. measures approved by the COTP, or, if a facility regulated under part
(c) No person may conduct such transfer operations until advance 106 of this subchapter, by their cognizant District Commander.
notice has been given as specified by the COTP. [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR
NOTE: The notification may be accomplished by submitting a written 60472, Oct. 22, 2003]
schedule, periodically updated to be current.
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55 101.410 Control and Compliance Measures.
FR 36255, Sept. 4, 1990] (a) The COTP may exercise authority pursuant to 33 CFR parts 6, 160
and 165, as appropriate, to rectify non‐compliance with this
156.120 Requirements for transfer. subchapter. COTPs or their designees are the officers duly authorized to
A transfer is considered to begin when the person in charge on the exercise control and compliance measures under SOLAS Chapter XI‐2,
transferring vessel or facility and the person in charge on the receiving Regulation 9, and the ISPS Code (Incorporated by reference, see
facility or vessel first meet to begin completing the declaration of §101.115).
inspection, as required by §156.150 of this part. No person shall (b) Control and compliance measures for vessels not in compliance with
conduct an oil or hazardous material transfer operation unless: this subchapter may include, but are not limited to, one or more of the
(a) The vessel's moorings are strong enough to hold during all expected following:
conditions of surge, current, and weather and are long enough to allow (1) Inspection of the vessel;
adjustment for changes in draft, drift, and tide during the transfer (2) Delay of the vessel;
operation; (3) Detention of the vessel;
(b) Transfer hoses and loading arms are long enough to allow the vessel (4) Restriction of vessel operations;
to move to the limits of its moorings without placing strain on the hose, (5) Denial of port entry;
loading arm, or transfer piping system; (6) Expulsion from port;
(c) Each hose is supported to prevent kinking or other damage to the (7) Lesser administrative and corrective measures; or
Security 33 CFR 101
hose and strain on its coupling. (8) Suspension or revocation of a security plan approved by the
(d) Each part of the transfer system is aligned to allow the flow of oil or U.S., thereby making that vessel ineligible to operate in, on, or
hazardous material; under waters subject to the jurisdiction of the U.S. in accordance
(e) Each part of the transfer system not necessary for the transfer with 46 U.S.C. 70103(c)(5).
operation is securely blanked or shut off; (c) Control and compliance measures for facilities not in compliance
with this subchapter may include, but are not limited to, one or more of
the following:
132 25
1) Restrictions on facility access; finds there is a condition requiring action to prevent the discharge or
(2) Conditions on facility operations; threat of discharge of oil or hazardous material, or when the COTP or
(3) Suspension of facility operations; OCMI is unable to verify compliance with the regulations through an
(4) Lesser administrative and corrective measures; or inspection. A suspension order:
(5) Suspension or revocation of security plan approval, thereby (a) May be effective immediately;
making that facility ineligible to operate in, on, under or adjacent (b) Is issued in writing unless it is effective immediately and then it may
to waters subject to the jurisdiction of the U.S. in accordance with be issued orally and followed up in writing;
46 U.S.C. 70103(c)(5). (c) Includes a statement of each condition requiring correction to—
(d) Control and compliance measures under this section may be (1) Prevent the discharge of oil or hazardous material; or
imposed on a vessel when it has called on a facility or at a port that (2) Comply with §154.735 of this chapter; and
does not maintain adequate security measures to ensure that the level (d) Is withdrawn when the COTP, OCMI, or District Commander, as
of security to be achieved by this subchapter has not been applicable, determines that the condition requiring action to prevent
compromised. the discharge or threat of discharge of oil or hazardous material has
[USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR been corrected or no longer exists.
60472, Oct. 22, 2003] [CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55
FR 36255, Sept. 4, 1990]
101.415 Penalties.
(a) Civil and criminal penalty. Violation of any order or other 156.113 Compliance with suspension order.
requirement imposed under section 101.405 of this part is punishable (a) No vessel or facility operator to whom a suspension order has been
by the civil and criminal penalties prescribed in 33 U.S.C. 1232 or 50 issued may conduct transfer operations from the time the order is
U.S.C. 192, as appropriate. effective until that order is withdrawn by the applicable COTP, OCMI, or
(b) Civil penalty. As provided in 46 U.S.C. 70119, any person who does by the District Commander.
not comply with any other applicable requirement under this (b) The vessel or facility operator may request reconsideration of the
subchapter, including a Maritime Security Directive, shall be liable to suspension order either orally or in writing to the COTP or OCMI who
the U.S. for a civil penalty of not more than $ 25,000 for each violation. issued it. The request may contain supporting documentation and
Enforcement and administration of this provision will be in accordance evidence that the vessel or facility operator wishes to have considered.
with 33 CFR 1.07. (c) Any person not satisfied with a ruling made under the procedure
[USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended by USCG‐ contained in paragraph (b) of this section may appeal that ruling in
2008‐0179, 73 FR 35009, June 19, 2008] writing, except as allowed under paragraph (e) of this section, to the
Coast Guard District Commander of the district in which the suspension
101.420 Right to appeal. order was issued. The appeal may contain supporting documentation
(a) Any person directly affected by a decision or action taken by a COTP and evidence that the appellant wishes to have considered. The appeal
under this subchapter, may appeal that action or decision to the does not stay the effect of the suspension order while the COTP or
cognizant District Commander according to the procedures in 46 CFR OCMI ruling is being reviewed. The District Commander issues a ruling
1.03‐15. after reviewing the appeal.
(b) Any person directly affected by a decision or action taken by a (d) The ruling by the District Commander is final agency action.
District Commander, whether made under this subchapter generally or (e) If the delay in presenting a written appeal under paragraph (c) of
pursuant to paragraph (a) of this section, with the exception of those this section would have a significant adverse impact on the appellant,
decisions made under §101.410 of this subpart, may appeal that the appeal may initially be presented orally. If an initial presentation of
decision or action to the Commandant (CG‐5P), according to the the appeal is made orally, the appellant must submit the appeal in
procedures in 46 CFR 1.03‐15. Appeals of District Commander decisions writing within five days of the oral presentation to the District
or actions made under §101.410 of this subpart should be made to the Commander to whom the oral appeal was made, containing, at a
Commandant (CG‐CVC), according to the procedures in 46 CFR 1.03‐15. minimum the basis for the appeal and a summary of the material
Security 33 CFR 101
(c) Any person directly affected by a decision or action taken by the presented orally.
Commanding Officer, Marine Safety Center, under this subchapter, may [CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55
appeal that action or decision to the Commandant (CG‐5P) according to FR 36255, Sept. 4, 1990]
the procedures in 46 CFR 1.03‐15.
(d) Decisions made by Commandant (CG‐5P), whether made under this 156.115 Person in charge: Limitations.
subchapter generally or pursuant to the appeal provisions of this (a) No person may serve as the person in charge of transfer operations
section, are considered final agency action. on more than one vessel at a time during transfers between vessels or
26 131
safety and protection from pollution by oil or hazardous [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR
material; and 60472, Oct. 22, 2003; 68 FR 62502, Nov. 4, 2003; USCG‐2008‐0179, 73
(iii) The likelihood of oil or hazardous material being FR 35009, June 19, 2008; USCG‐2013‐0397, 78 FR 39173, July 1, 2013]
discharged as a result of the exemption is minimal.
(b) If requested, the applicant must submit any appropriate 33 CFR 101 Subpart E—Other Provisions
information, including an environmental and economic assessment of
the effects of and reasons for the exemption and proposed procedures, 101.500 Procedures for authorizing a Recognized Security Organization
methods or equipment standards. (RSO). [Reserved]
(c) The exemption may specify the procedures, methods, or equipment
standards that will apply. 101.505 Declaration of Security (DoS).
(d) An exemption is granted or denied in writing. The decision of the (a) The purpose of a DoS, as described in SOLAS Chapter XI‐2,
Assistant Commandant for Marine Safety, Security and Environmental Regulation 10, and the ISPS Code (Incorporated by reference, see
Protection is a final agency action. §101.115), is to state the agreement reached between a vessel and a
[CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 88‐052, 53 facility, or between vessels in the case of a vessel‐to‐vessel activity, as
FR 25122, July 1, 1988; CGD 86‐034, 55 FR 36255, Sept. 4, 1990; CGD to the respective security measures each must undertake during a
93‐081, 60 FR 45017, Aug. 29, 1995; CGD 96‐026, 61 FR 33666, June 28, specific vessel‐to‐facility interface, during a series of interfaces
1996; CGD 93‐056, 61 FR 41461, Aug. 8, 1996; CGD0 97‐023, 62 FR between the vessel and the facility, or during a vessel‐to‐vessel activity.
33364, June 19, 1997; USCG‐2002‐12471, 67 FR 41333, June 18, 2002] (b) Details as to who must complete a DoS, when a DoS must be
completed, and how long a DoS must be retained are included in parts
156.111 Incorporation by reference. 104 through 106 of this subchapter. A DoS must, at a minimum, include
In reference to DOS, also review PAC 22‐04 Declarations of Security
(a) Certain material is incorporated by reference into this part with the the information found in the ISPS Code, part B, appendix 1
approval of the Director of the Federal Register under 5 U.S.C. 552(a) (Incorporated by reference, see §101.115).
and 1 CFR part 51. To enforce any edition other than that specified in (c) All vessels and facilities required to comply with parts 104, 105, and
paragraph (b) of this section, the Coast Guard must publish notice of 106 of this subchapter must, at a minimum, comply with the DoS
the change in the FEDERAL REGISTER; and the material must be available requirements of the MARSEC Level set for the port.
to the public. All approved material is available for inspection at the (d) The COTP may also require a DoS be completed for vessels and
U.S. Coast Guard, Office of Compliance (CG‐543), 2100 2nd St. SW., facilities during periods of critical port operations, special marine
Stop 7581, Washington, DC 20593‐7581 and at the National Archives events, or when vessels give notification of a higher MARSEC Level than
and Records Administration (NARA). For information on the availability that set in the COTP's Area of Responsibility (AOR).
of this material at NARA, call 202‐741‐6030, or go to: [USCG‐2003‐14792, 68 FR 39278, July 1, 2003, as amended at 68 FR
http://www.archives.gov/federal_register/code_of_federal_regulations 60472, Oct. 22, 2003]
/ibr_locations.html. All approved material is available from the sources
indicated in paragraph (b) of this section. 101.510 Assessment tools.
(b) The material approved for incorporation by reference in this part Ports, vessels, and facilities required to conduct security assessments
and the sections affected are as follows: by part 103, 104, 105, or 106 of this subchapter may use any
Oil Companies International Marine Forum (OCIMF) assessment tool that meets the standards set out in part 103, 104, 105,
15th Floor, 96 Victoria Street, London SW1E 5JW, England. or 106, as applicable. These tools may include USCG assessment tools,
Ship to Ship Transfer Guide (Petroleum), Second Edition, 1988— which are available from the cognizant COTP or at
156.330. http://www.uscg.mil/hq/g‐m/nvic, as set out in the following:
International Chamber of Shipping (a) Navigation and Vessel Inspection Circular titled, “Guidelines for Port
12 Carthusian Street, London EC1M 6EB, England. Security Committees, and Port Security Plans Required for U.S. Ports”
Guide to Helicopter/Ship Operations, Third Edition, 1989—156.330. (NVIC 9‐02 change 3);
[CGD 93‐081, 60 FR 45017, Aug. 29, 1995, as amended by CGD 96‐026, (b) Navigation and Vessel Inspection Circular titled, “Security Guidelines
61 FR 33666, June 28, 1996; 69 FR 18803, Apr. 9, 2004; USCG‐2008‐ for Vessels”, (NVIC 10‐02 change 1); and
0179, 73 FR 35015, June 19, 2008; USCG‐2010‐0351, 75 FR 36285, June (c) Navigation and Vessel Inspection Circular titled, “Security Guidelines
Security 33 CFR 101
25, 2010] for Facilities”, (NVIC 11‐02 change 1).
[USCG‐2012‐0306, 77 FR 37313, June 21, 2012, as amended by USCG‐
156.112 Suspension order. 2013‐0397, 78 FR 39173, July 1, 2013]
The COTP or OCMI may issue a suspension order to suspend transfer
operations to the vessel or facility operator when the COTP or OCMI 101.514 TWIC Requirement.
130 27
In reference to implementation of TWIC, also review NVIC 03‐07 Guidance for the Implementation of the Transportation Worker (a) All persons requiring unescorted access to secure areas of vessels, 156.100 Applicability.
facilities, and OCS facilities regulated by parts 104, 105 or 106 of this This subpart applies to the transfer of oil or hazardous material on the
subchapter must possess a TWIC before such access is granted, except navigable waters or contiguous zone of the United States to, from, or
as otherwise noted in this section. A TWIC must be obtained via the within each vessel with a capacity of 250 barrels or more; except that,
procedures established by TSA in 49 CFR part 1572. this subpart does not apply to transfer operations within a public
(b) Federal officials are not required to obtain or possess a TWIC. vessel.
Except in cases of emergencies or other exigent circumstances, in order [CGD 86‐034, 55 FR 36255, Sept. 4, 1990]
to gain unescorted access to a secure area of a vessel, facility, or OCS
facility regulated by parts 104, 105 or 106 of this subchapter, a federal
official must present his/her agency issued, HSPD 12 compliant 156.105 Definitions.
credential. Until each agency issues its HSPD 12 compliant cards, Except as specifically stated in a section, the definitions in §154.105 of
Federal officials may gain unescorted access by using their agency's this chapter apply to this subpart.
official credential. The COTP will advise facilities and vessels within his [CGD 90‐071a, 59 FR 53291, Oct. 21, 1994]
or her area of responsibility as agencies come into compliance with
In reference to credentialing federal, state, and local officials, also review PAC 30‐04
HSPD 12. 156.107 Alternatives.
(c) Law enforcement officials at the State or local level are not required (a) The COTP may consider and approve alternative procedures,
to obtain or possess a TWIC to gain unescorted access to secure areas. methods, or equipment standards to be used by a vessel or facility
They may, however, voluntarily obtain a TWIC where their offices fall operator in lieu of any requirements in this part if:
within or where they require frequent unescorted access to a secure (1) Compliance with the requirement is economically or physically
area of a vessel, facility or OCS facility. impractical;
(d) Emergency responders at the State, or local level are not required to (2) The vessel or facility operator submits a written request for
Identification Credential (TWIC) Program in the Maritime Sector
obtain or possess a TWIC to gain unescorted access to secure areas the alternative at least 30 days before operations under the
during an emergency situation. They may, however, voluntarily obtain a alternative are proposed, unless the COTP authorizes a shorter
TWIC where their offices fall within or where they desire frequent time; and
unescorted access to a secure area of a vessel, facility or OCS facility in (3) The alternative provides an equivalent level of safety and
non‐emergency situations. protection from pollution by oil or hazardous material, which is
(e) Before April 15, 2009, mariners do not need to obtain or possess a documented in the request.
TWIC but may be provided unescorted access to secure areas of (b) The COTP takes final approval or disapproval action on any
vessels, facilities, and OCS facilities regulated by parts 104, 105 or 106 alternative requested, in writing, within 30 days of receipt of the
of this subchapter if they are able to show one of the following: request.
(1) A valid Merchant Mariner Document (MMD); [CGD 75‐124, 45 FR 7177, Jan. 31, 1980, as amended by CGD 86‐034, 55
(2) A valid Merchant Mariner License and a valid photo FR 36255, Sept. 4, 1990]
identification; or
(3) A valid Certificate of Registry and a valid photo identification. 156.110 Exemptions.
[USCG‐2006‐24196, 72 FR 3578, Jan. 25, 2007, as amended at 73 FR (a) The Assistant Commandant for Marine Safety, Security and
25565, May 7, 2008] Environmental Protection, acting for the Commandant, may grant an
exemption or partial exemption from compliance with any requirement
101.515 TWIC/Personal Identification. in this part, and the District Commander may grant an exemption or
(a) Persons not described in §101.514 of this part shall be required to partial exemption from compliance with any operating condition or
present personal identification in order to gain entry to a vessel, facility, requirement in subpart C of this part, if:
and OCS facility regulated by parts 104, 105 or 106 of this subchapter. (1) The vessel or facility operator submits an application for
These individuals must be under escort, as that term is defined in exemption via the COTP at least 30 days before operations under

§101.105 of this part, while inside a secure area. This personal the exemption are proposed, unless the COTP authorizes a
identification must, at a minimum, meet the following requirements: shorter time; and
(1) Be laminated or otherwise secure against tampering; (2) It is determined, from the application, that:
Security 33 CFR 101
(2) Contain the individual's full name (full first and last names, (i) Compliance with a specific requirement is economically or
middle initial is acceptable); physically impractical;
(3) Contain a photo that accurately depicts that individual's (ii) No alternative procedures, methods, or equipment
current facial appearance; and standards exist that would provide an equivalent level of
(4) Bear the name of the issuing authority.
28 129
(a) Each end of each transfer hose on board which is not connected for (b) The issuing authority in paragraph (a)(4) of this section must be:
the transfer of oil or hazardous material must be blanked off with (1) A government authority, or an organization authorized to act
butterfly valves, wafer‐type resilient seated valves, blank flanges, or on behalf of a government authority; or
other means acceptable to the COTP or OCMI. (2) The individual's employer, union, or trade association.
(b) New, unused hose is exempt from the requirement in paragraph (a) (c) Vessel, facility, and OCS facility owners and operators must permit
of this section. law enforcement officials, in the performance of their official duties,
[CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55 who present proper identification in accordance with this section and
FR 36255, Sept. 4, 1990] §101.514 of this part to enter or board that vessel, facility, or OCS
facility at any time, without delay or obstruction. Law enforcement
155.810 Tank vessel security. officials, upon entering or boarding a vessel, facility, or OCS facility, will,
Operators of tank vessels carrying more oil cargo residue than normal as soon as practicable, explain their mission to the Master, owner, or
in any cargo tank must assign a surveillance person or persons operator, or their designated agent.
responsible for maintaining standard vessel security. (d) Inspection of credential.
[ USCG‐2000‐7641, 66 FR 55572, Nov. 2, 2001] (1) Each person who has been issued or possesses a TWIC must
present the TWIC for inspection upon a request from TSA, the
155.815 Tank vessel integrity. Coast Guard, or other authorized DHS representative; an
(a) Except as provided in paragraph (b) of this section, a tank vessel authorized representative of the National Transportation Safety
underway or at anchor must have all closure mechanisms on the Board; or a Federal, State, or local law enforcement officer.
following openings properly closed: (2) Each person who has been issued or who possesses a TWIC
(1) Expansion trunk hatches; must allow his or her TWIC to be read by a reader and must
(2) Ullage openings; submit his or her reference biometric, such as a fingerprint, and
(3) Sounding ports; any other required information, such as a PIN, to the reader, upon
(4) Tank cleaning openings; and a request from TSA, the Coast Guard, other authorized DHS
(5) Any other tank vessel openings that maintain the seaworthy representative; or a Federal, State, or local law enforcement
condition of the tank vessel and prevent the inadvertent release officer.
of oil or hazardous material in the event of a tank vessel accident. [USCG‐2006‐24196, 72 FR 3578, Jan. 25, 2007]
(b) No person may open any of the closure mechanisms in paragraph
(a) of this section while the tank vessel is underway or at anchor except
when authorized and supervised by a licensed or credentialed officer or 33 CFR 105—MARITIME SECURITY: FACILITIES
the tankerman required by 46 CFR 31.15‐5(a).
[CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55 Contents
FR 36255, Sept. 4, 1990; USCG‐2006‐24371, 74 FR 11212, Mar. 16, Subpart A—General
2009] §105.100 Definitions.
§105.105 Applicability.
155.820 Records. §105.106 Public access areas.
The vessel operator shall keep a written record available for inspection §105.110 Exemptions.
by the COTP or OCMI of: §105.115 Compliance dates.
(a) The name of each person currently designated as a person in charge §105.120 Compliance documentation.
of transfer operations. §105.125 Noncompliance.
(b) The date and result of the most recent test and inspection of each §105.130 Waivers.
item tested or inspected as required by §156.170 of this chapter; §105.135 Equivalents.
(c) The hose information required by §154.500(e) and (g) of this chapter §105.140 Alternative Security Program.
unless that information is marked on the hose; and §105.145 Maritime Security (MARSEC) Directive.
(d) The Declaration of Inspection as required by §156.150(f) of this §105.150 Right to appeal.
chapter. Subpart B—Facility Security Requirements
[CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55 §105.200 Owner or operator.
FR 36255, Sept. 4, 1990] §105.205 Facility Security Officer (FSO).
Security 33 CFR 105
§105.210 Facility personnel with security duties.
33 CFR 156 Subpart A—Oil and Hazardous Material Transfer Operations §105.215 Security training for all other facility personnel.
§105.220 Drill and exercise requirements.
128 29
In reference to FSAs, FSPs, and overarching general facility security, also review NVIC 06‐03 Ch 2 Coast Guard Port State Control targeting
§105.225 Facility recordkeeping requirements. 155.785 Communications.
§105.230 Maritime Security (MARSEC) Level coordination and (a) During vessel to vessel transfers, each tank vessel with a capacity of
implementation. 250 or more barrels of cargo that is carrying oil or hazardous material
§105.235 Communications. must have a means that enables continuous two‐way voice
§105.240 Procedures for interfacing with vessels. communication between the persons in charge of the transfer
§105.245 Declaration of Security (DoS). operations on both vessels.
§105.250 Security systems and equipment maintenance. (b) Each vessel must have a means, which may be the communication
§105.255 Security measures for access control. system itself, that enables a person on board each vessel to effectively
§105.257 Security measures for newly‐hired employees. indicate his desire to use the means of communication required by
§105.260 Security measures for restricted areas. paragraph (a) of this section.
§105.265 Security measures for handling cargo. (c) The means required by paragraph (a) of this section must be usable
§105.270 Security measures for delivery of vessel stores and bunkers. and effective in all phases of the transfer operation and all conditions of
§105.275 Security measures for monitoring. weather.
§105.280 Security incident procedures. (d) Portable radio devices used to comply with paragraph (a) of this
§105.285 Additional requirements‐passenger and ferry facilities. section during the transfer of flammable or combustible liquids must be
§105.290 Additional requirements—cruise ship terminals. intrinsically safe, as defined in 46 CFR 110.15‐100(i), and meet Class I,
§105.295 Additional requirements‐Certain Dangerous Cargo (CDC) facilities. Division I, Group D requirements as defined in 46 CFR 111.80.
§105.296 Additional requirements‐barge fleeting facilities. [CGD 75‐124, 45 FR 7175, Jan. 31, 1980; 45 FR 43705, June 30, 1980, as
Subpart C—Facility Security Assessment (FSA) amended by CGD 86‐034, 55 FR 36255, Sept. 4, 1990]
§105.300 General.
§105.305 Facility Security Assessment (FSA) requirements. 155.790 Deck lighting.
§105.310 Submission requirements. (a) A self‐propelled vessel with a capacity of 250 or more barrels of oil
Subpart D—Facility Security Plan (FSP) or hazardous material that is conducting transfer operations between
§105.400 General. sunset and sunrise must have deck lighting that adequately
§105.405 Format and content of the Facility Security Plan (FSP). illuminates—
§105.410 Submission and approval. (1) Each transfer operations work area and each transfer
§105.415 Amendment and audit. connection point in use on the vessel; and
Appendix A to Part 105—Facility Vulnerability and Security Measures (2) Each transfer operations work area and each transfer
and boarding policy for vessel security and safety.
Summary (Form CG‐6025) connection point in use on each barge, if any, moored to the
vessel to or from which oil or hazardous material is being
AUTHORITY: 33 U.S.C. 1226, 1231; 46 U.S.C. 70103; 50 U.S.C. 191; 33 CFR transferred;
1.05‐1, 6.04‐11, 6.14, 6.16, and 6.19; Department of Homeland Security (b) Where the illumination is apparently inadequate the OCMI or COTP
Delegation No. 0170.1. may require verification by instrument of the levels of illumination. On
SOURCE: USCG‐2003‐14732, 68 FR 39322, July 1, 2003, unless otherwise a horizontal plane 3 feet above the deck the illumination must measure
noted. at least:
(1) 5.0 foot candles at transfer connection points; and
33 CFR 105 Subpart A—General (2) 1.0 foot candle in transfer operations work areas.
(c) Lighting must be located or shielded so as not to mislead or
105.100 Definitions. otherwise interfere with navigation on the adjacent waterways.
Except as specifically stated in this subpart, the definitions in part 101 [CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55
of this subchapter apply to this part. FR 36255, Sept. 4, 1990]

105.105 Applicability. 155.800 Transfer hose.
(a) The requirements in this part apply to the owner or operator of any Hose used to transfer oil or hazardous material must meet the
U.S.: requirements of §154.500 of this chapter.

(1) Facility subject to 33 CFR parts 126, 127, or 154; [CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55
(2) Facility that receives vessels certificated to carry more than FR 36255, Sept. 4, 1990]
Security 33 CFR 105
150 passengers, except those vessels not carrying and not
embarking or disembarking passengers at the facility; 155.805 Closure devices.
30 127
COTP or OCMI shall notify the vessel operator of any amendment (3) Facility that receives vessels subject to the International
required or adopted, or the COTP or OCMI may rescind the notice. The Convention for Safety of Life at Sea, 1974, chapter XI;
amendment becomes effective 30 days after the vessel operator (4) Facility that receives foreign cargo vessels greater than 100
receives the notice, unless the vessel operator petitions the gross register tons;
Commandant to review the COTP or OCMI notice, in which case its (5) Facility that receives U.S. cargo vessels, greater than 100 gross
effective date is delayed pending a decision by the Commandant. register tons, subject to 46 CFR chapter I, subchapter I, except for
Petitions to the Commandant must be submitted in writing via the those facilities that receive only commercial fishing vessels
COTP or OCMI who issued the requirement to amend. inspected under 46 CFR part 105; or
(c) If the COTP or OCMI finds that there is a condition requiring (6) Barge fleeting facility that receives barges carrying, in bulk,
immediate action to prevent the discharge or risk of discharge that cargoes regulated by 46 CFR chapter I, subchapters D or O, or
makes the procedure in paragraph (b) of this section impractical or Certain Dangerous Cargoes.
contrary to the public interest, he or she may issue an amendment (b) An owner or operator of any facility not covered in paragraph (a) of
effective on the date the vessel operator receives notice of it. In such a this section is subject to parts 101 through 103 of this subchapter.
case, the COTP or OCMI includes a brief statement of the reasons for (c) This part does not apply to the owner or operator of the following
the findings in the notice, and the vessel operator may petition the U.S. facilities:
In reference to Public Access Areas, also review PAC 24‐04 Public Access Facilities
Commandant, in any manner, to review the amendment. The petition (1) A facility owned or operated by the U.S. that is used primarily
does not postpone the amendment. for military purposes.
[CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55 (2) An oil and natural gas production, exploration, or development
FR 36255, Sept. 4, 1990] facility regulated by 33 CFR parts 126 or 154 if:
(i) The facility is engaged solely in the exploration,
155.770 Draining into bilges. development, or production of oil and natural gas; and
No person may intentionally drain oil or hazardous material from any (ii) The facility does not meet or exceed the operating
source into the bilge of a vessel. conditions in §106.105 of this subchapter;
[CGD 86‐034, 55 FR 36255, Sept. 4, 1990] (3) A facility that supports the production, exploration, or
development of oil and natural gas regulated by 33 CFR parts 126
155.775 Maximum cargo level of oil. or 154 if:
(a) For the purposes of this section, “oil” has the same meaning as (i) The facility is engaged solely in the support of exploration,
provided in §151.05 of this chapter. development, or production of oil and natural gas and
(b) A cargo tank on a tank vessel may not be filled with oil higher than— transports or stores quantities of hazardous materials that
(1) 98.5 percent of the cargo tank volume; or do not meet or exceed those specified in 49 CFR
(2) The level at which the overfill alarm required by §155.480 is 172.800(b)(1) through (b)(6); or
set. (ii) The facility stores less than 42,000 gallons of cargo
[CGD 90‐071a, 59 FR 53291, Oct. 21, 1994] regulated by 33 CFR part 154;
(4) A mobile facility regulated by 33 CFR part 154; or
155.780 Emergency shutdown. (5) An isolated facility that receives materials regulated by 33 CFR
(a) A tank vessel with a capacity of 250 or more barrels that is carrying parts 126 or 154 by vessel due to the lack of road access to the
oil or hazardous material as cargo must have on board an emergency facility and does not distribute the material through secondary
means to enable the person in charge of a transfer operation to a marine transfers.
facility, to another vessel, or within the vessel to stop the flow of oil or (d) The TWIC requirements found in this part do not apply to mariners
hazardous material. employed aboard vessels moored at U.S. facilities only when they are
(b) The means to stop the flow may be a pump control, a quick‐acting, working immediately adjacent to their vessels in the conduct of vessel
power actuated valve, or an operating procedure. If an emergency activities.
pump control is used, it must stop the flow of oil or hazardous material [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
if the oil or hazardous material could siphon through the stopped 60541, Oct. 22, 2003; USCG‐2006‐24196, 72 FR 55048, Sept. 28, 2007]
pump.
Security 33 CFR 105
(c) The means to stop the flow must be operable from the cargo deck, 105.106 Public access areas.
cargo control room, or the usual operating station of the person in (a) A facility serving ferries or passenger vessels certificated to carry
charge of the transfer operation. more than 150 passengers, other than cruise ships, may designate an
[CGD 86‐034, 55 FR 36255, Sept. 4, 1990] area within the facility as a public access area.

126 31
In reference to voluntary screening, also review NVIC 06‐04 Voluntary Screening Guidance for Owners or Operators Regulated Under
(b) A public access area is a defined space within a facility that is open (1) A line diagram of the vessel's vapor collection system piping,
to all persons and provides pedestrian access through the facility from including the location of each valve, control device, pressure‐
public thoroughfares to the vessel. vacuum relief valve, pressure indicator, flame arresters, and
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR detonation arresters, if fitted;
60540, Oct. 22, 2003] (2) The location of spill valves and rupture disks, if fitted;
(3) The maximum allowable transfer rate determined in
105.110 Exemptions. accordance with 46 CFR 39.3001(d)(1) through (3);
(a) An owner or operator of any barge fleeting facility subject to this (4) The initial transfer rate for each tank that complies with 46
part is exempt from complying with §105.265, Security measures for CFR 39.3001(g);
handling cargo; and §105.270, Security measures for delivery of vessel (5) A table or graph of transfer rates and corresponding vapor
stores and bunkers. collection system pressure drops calculated in accordance with 46
(b) A public access area designated under §105.106 is exempt from the CFR 39.3001(c);
requirements for screening of persons, baggage, and personal effects (6) The relief settings of each spill valve, rupture disk, and
and identification of persons in §105.255(c), (e)(1), (e)(3), (f)(1), and pressure‐vacuum relief valve; and
(g)(1) and §105.285(a)(1). (7) A description of and procedures for operating the vapor
(c) An owner or operator of any general shipyard facility as defined in collection system, including the:
Parts 104, 105 & 106 of Subchapter H of Title 33, Code of Federal Regulations
§101.105 is exempt from the requirements of this part unless the (i) Pre‐transfer equipment inspection requirements;
facility: (ii) Vapor line connection;
(1) Is subject to parts 126, 127, or 154 of this chapter; or (iii) Closed gauging system;
(2) Provides any other service to vessels subject to part 104 of this (iv) High level alarm system, if fitted; and
subchapter not related to construction, repair, rehabilitation, (v) Independent automatic shutdown system, if fitted.
refurbishment, or rebuilding. (e) If a cargo tank of a tank vessel is fitted with an overfill device, the
(d) Public access facility. transfer procedures must contain a description of the overfill device,
(1) The COTP may exempt a public access facility from the including:
requirements of this part, including establishing conditions for (1) The tank overfill device system and specific procedures for the
which such an exemption is granted, to ensure that adequate person in charge to—
security is maintained. (i) Monitor the level of cargo in the tank; and
(2) The owner or operator of any public access facility exempted (ii) Shut down transfer operations in time to ensure that the
under this section must: cargo level in each tank does not exceed the maximum
(i) Comply with any COTP conditions for the exemption; and amount permitted by §155.775(b).
(ii) Ensure that the cognizant COTP has the appropriate (2) Pre‐transfer overfill device equipment inspection and test
information for contacting the individual with security requirements.
responsibilities for the public access facility at all times. (Approved by the Office of Management and Budget under control
(3) The cognizant COTP may withdraw the exemption for a public number 1625‐0030)
access facility at any time the owner or operator fails to comply [CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 88‐102, 55
with any requirement of the COTP as a condition of the FR 25445, June 21, 1990; CGD 86‐034, 55 FR 36254, Sept. 4, 1990; CGD
exemption or any measure ordered by the COTP pursuant to 92‐027, 58 FR 39662, July 26, 1993; CGD 90‐071a, 59 FR 53291, Oct. 21,
existing COTP authority. 1994; USCG‐2006‐25150, 71 FR 39210, July 12, 2006; USCG‐1999‐5150,
(e) An owner or operator of a facility is not subject to this part if the 78 FR 42641, July 16, 2013]
facility receives only vessels to be laid‐up, dismantled, or otherwise
placed out of commission provided that the vessels are not carrying 155.760 Amendment of transfer procedures.

and do not receive cargo or passengers at that facility. (a) The COTP or OCMI may require the vessel operator of any vessel
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR that is required to have transfer procedures under §155.720 to amend
60540, Oct. 22, 2003] those procedures if the COTP or OCMI finds that the transfer
procedures do not meet the requirements of this part.
Security 33 CFR 105
105.115 Compliance dates. (b) The COTP or OCMI shall notify the vessel operator in writing of any
(a) On or before December 31, 2003, facility owners or operators must inadequacies in the oil transfer procedures. The vessel operator may
submit to the cognizant COTP for each facility— submit written information, views, and arguments on and proposals for
(1) The Facility Security Plan described in subpart D of this part for amending the procedures within 14 days from the date of the COTP or
review and approval; or OCMI notice. After considering all relevant material presented, the
32 125
(1) A list of each product transferred to or from the vessel, (2) If intending to operate under an approved Alternative Security
including the following information: Program, a letter signed by the facility owner or operator stating
(i) Generic or chemical name; which approved Alternative Security Program the owner or
(ii) Cargo information as described in §154.310(a)(5)(ii) of operator intends to use.
this chapter; and (b) On or before July 1, 2004, each facility owner or operator must be
(iii) Applicability of transfer procedures; operating in compliance with this part.
(2) A description of each transfer system on the vessel including: (c) Facility owners or operators wishing to designate only those
(i) A line diagram of the vessel's transfer piping, including portions of their facility that are directly connected to maritime
the location of each valve, pump, control device, vent, and transportation or are at risk of being involved in a transportation
overflow; security incident as their secure area(s) must do so by submitting an
(ii) The location of the shutoff valve or other isolation device amendment to their Facility Security Plan to their cognizant COTP, in
that separates any bilge or ballast system from the transfer accordance with §105.415 of this part, by September 4, 2007.
system; and (d) Persons required to obtain a TWIC under this part may enroll
(iii) A description of and procedures for emptying the beginning after the date set by the Coast Guard in a Notice to be
discharge containment system required by §§155.310 and published in the FEDERAL REGISTER. This notice will be directed to all
155.320; facilities and vessels within a specific COTP zone.
(3) The number of persons required to be on duty during transfer (e) Facility owners or operators must be operating in accordance with
operations; the TWIC provisions in this part by the date set by the Coast Guard in a
(4) The duties by title of each officer, person in charge, Notice to be published in the FEDERAL REGISTER. This Notice will be
tankerman, deckhand, and any other person required for each published at least 90 days before compliance must begin, and will be
transfer operation; directed to all facilities within a specific Captain of the Port zone, based
(5) Procedures and duty assignments for tending the vessel's on whether enrollment has been completed in that zone. Unless an
moorings during the transfer of oil or hazardous material; earlier compliance date is specified in this manner, all facility owner or
(6) Procedures for operating the emergency shutdown and operators will need to implement their TWIC provisions no later than
communications means required by §§155.780 and 155.785, April 15, 2009.
respectively; [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
(7) Procedures for topping off tanks; 60540, Oct. 22, 2003; USCG‐2004‐19963, 70 FR 74669, Dec. 16, 2005;
(8) Procedures for ensuring that all valves used during the transfer USCG‐2006‐24196, 72 FR 3582, Jan. 25, 2007; 72 FR 38486, July 13,
operations are closed upon completion of transfer; 2007; 73 FR 25565, May 7, 2008]
(9) Procedures for reporting discharges of oil or hazardous
material into the water; and 105.120 Compliance documentation.
(10) Procedures for closing and opening the vessel openings in Each facility owner or operator subject to this part must ensure, on or
§155.815. before July 1, 2004, that copies of the following documentation are
(11) Statements explaining that each hazardous materials transfer available at the facility and are made available to the Coast Guard upon
hose is marked with either the name of each product which may request:
be transferred through the hose or with letters, numbers or other (a) The approved Facility Security Plan (FSP), as well as any approved
symbols representing all such products and the location in the revisions or amendments thereto, and a letter of approval from the
transfer procedures where a chart or list of the symbols used and COTP dated within the last 5 years;
a list of the compatible products which may be transferred (b) The FSP submitted for approval and an acknowledgement letter
through the hose can be found for consultation before each from the COTP stating that the Coast Guard is currently reviewing the
transfer. FSP submitted for approval, and that the facility may continue to
(b) Exemptions or alternatives granted must be placed in the front of operate so long as the facility remains in compliance with the
the transfer procedures. submitted FSP; or
(c) The vessel operator shall incorporate each amendment to the (c) For facilities operating under a Coast Guard‐approved Alternative
Security 33 CFR 105
transfer procedures under §155.760 in the procedures with the related Security Program as provided in §105.140, a copy of the Alternative
existing requirement, or at the end of the procedures if not related to Security Program the facility is using, including a facility specific security
an existing requirement. assessment report generated under the Alternative Security Program,
(d) If a vessel is fitted with a vapor control system, the transfer as specified in §101.120(b)(3) of this subchapter, and a letter signed by
procedures must contain a description of the vapor collection system the facility owner or operator, stating which Alternative Security
on the vessel which includes:
124 33
Program the facility is using and certifying that the facility is in full credentials, licenses, documents, certificates, or endorsements
compliance with that program. required in paragraphs (a) through (f) of this section, if he or she is a
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR National Fire Protection Association Certificated Marine Chemist.
60541, Oct. 22, 2003] [CGD 79‐116, 60 FR 17141, Apr. 4, 1995, as amended by CGD 79‐116, 61
FR 25126, May 8, 1997; CGD 79‐116, 63 FR 35826, July 1, 1998; USCG‐
105.125 Noncompliance. 2006‐24371, 74 FR 11212, Mar. 16, 2009]
When a facility must temporarily deviate from the requirements of this
part, the facility owner or operator must notify the cognizant COTP, and 155.715 Contents of letter of designation as a person‐in‐charge of the
either suspend operations or request and receive permission from the transfer of fuel oil.
COTP to continue operating. The letter of instruction required in §155.710(e)(2) must designate the
[USCG‐2003‐14732, 68 FR 60541, Oct. 22, 2003] holder as a person‐in‐charge of the transfer of fuel oil and state that
the holder has received sufficient formal instruction from the operator
105.130 Waivers. or agent of the vessel to ensure his or her ability to safely and
Any facility owner or operator may apply for a waiver of any adequately carry out the duties and responsibilities of the PIC described
requirement of this part that the facility owner or operator considers in 33 CFR 156.120 and 156.150.
unnecessary in light of the nature or operating conditions of the facility, [CGD 79‐116, 63 FR 35826, July 1, 1998]
prior to operating. A request for a waiver must be submitted in writing
with justification to the Commandant (CG‐5P) at 2100 2nd St. SW., Stop 155.720 Transfer procedures.
7581, Washington, DC 20593‐7581. The Commandant (CG‐5P) may The operator of a vessel with a capacity of 250 or more barrels of oil,
require the facility owner or operator to provide data for use in hazardous material, or liquefied gas as regulated in Table 4 of 46 CFR
determining the validity of the requested waiver. The Commandant part 154 shall provide transfer procedures that meet the requirements
(CG‐5P) may grant, in writing, a waiver with or without conditions only of this part and part 156 of this chapter for transferring—
if the waiver will not reduce the overall security of the facility, its (a) To or from the vessel; and
employees, visiting vessels, or ports. (b) From tank to tank within the vessel.
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003; 68 FR 41916, July 16, [CGD 86‐034, 55 FR 36254, Sept. 4, 1990, as amended by CGD 79‐116,
2003; USCG‐2008‐0179, 73 FR 35009, June 19, 2008; USCG‐2010‐0351, 62 FR 25127, May 8, 1997]
75 FR 36282, June 25, 2010; USCG‐2013‐0397, 78 FR 39173, July 1,
2013] 155.730 Compliance with transfer procedures.
The vessel operator of each vessel required by §155.720 to have
105.135 Equivalents. transfer procedures shall maintain them current and shall require
For any measure required by this part, the facility owner or operator vessel personnel to use the transfer procedures for each transfer
may propose an equivalent as provided in §101.130 of this subchapter. operation.
[CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55
105.140 Alternative Security Program. FR 36254, Sept. 4, 1990]
(a) A facility owner or operator may use an Alternative Security
Program approved under §101.120 of this subchapter if: 155.740 Availability of transfer procedures.
(1) The Alternative Security Program is appropriate to that facility; The transfer procedures required by §155.720 must be:
(2) The Alternative Security Program is implemented in its (a) Available for inspection by the COTP or OCMI whenever the vessel is
entirety. in operation;
(b) A facility owner or operator using an Alternative Security Program (b) Legibly printed in a language or languages understood by personnel
approved under §101.120 of this subchapter must complete and submit engaged in transfer operations; and
to the cognizant COTP a Facility Vulnerability and Security Measures (c) Permanently posted or available at a place where the procedures
Summary (Form CG‐6025) in Appendix A to Part 105—Facility can be easily seen and used by members of the crew when engaged in
Vulnerability and Security (CG‐6025). transfer operations.
Security 33 CFR 105
[CGD 75‐124, 45 FR 7175, Jan. 31, 1980, as amended by CGD 86‐034, 55
105.145 Maritime Security (MARSEC) Directive. FR 36254, Sept. 4, 1990]
Each facility owner or operator subject to this part must comply with
any instructions contained in a MARSEC Directive issued under 155.750 Contents of transfer procedures.
§101.405 of this subchapter. (a) The transfer procedures required by §155.720 must contain, either
in the order listed or by use of a cross‐reference index page:
34 123
(3) Is capable of reading, speaking, and understanding in English, 105.150 Right to appeal.
or a language mutually‐agreed‐upon with the shoreside PIC of the Any person directly affected by a decision or action taken under this
transfer, all instructions needed to commence, conduct, and part, by or on behalf of the Coast Guard, may appeal as described in
complete a transfer of fuel oil, a transfer of liquid cargo in bulk, or §101.420 of this subchapter.
cargo‐tank cleaning, except that the use of an interpreter meets
this requirement if the interpreter— 33 CFR 105 Subpart B—Facility Security Requirements
(i) Fluently speaks the language spoken by each PIC;
(ii) Is immediately available to the PIC on the tankship at all 105.200 Owner or operator.
times during the transfer or cargo‐tank cleaning; and (a) Each facility owner or operator must ensure that the facility
(iii) Is knowledgeable about, and conversant with operates in compliance with the requirements of this part.
terminology of, ships, transfers, and cargo‐tank cleaning; (b) For each facility, the facility owner or operator must:
and (1) Define the security organizational structure and provide each
(4) Is capable of effectively communicating with all crewmembers person exercising security duties and responsibilities within that
involved in the transfer or cargo‐tank cleaning, with or without an structure the support needed to fulfill those obligations;
interpreter. (2) Designate, in writing, by name or by title, a Facility Security
(e) The operator or agent of each vessel to which this section applies Officer (FSO) and identify how the officer can be contacted at any
shall verify to his or her satisfaction that the PIC of any transfer of fuel time;
oil requiring a Declaration of Inspection— (3) Ensure that a Facility Security Assessment (FSA) is conducted;
(1) On each inspected vessel required by 46 CFR chapter I to have (4) Ensure the development and submission for approval of an
an officer aboard, holds a valid license or merchant mariner FSP;
credential issued under 46 CFR chapter I, subchapter B, (5) Ensure that the facility operates in compliance with the
authorizing service as a master, mate, pilot, engineer, or operator approved FSP;
aboard that vessel, or holds a valid merchant mariner's document (6) Ensure that the TWIC program is properly implemented as set
or merchant Mariner credential endorsed as Tankerman‐PIC; forth in this part, including:
(2) On each uninspected vessel, either complies with the (i) Ensuring that only individuals who hold a TWIC and are
requirements of paragraph (e)(1) of this section or carries a letter authorized to be in the secure area in accordance with the
satisfying the requirements of §155.715 and designating him or FSP are permitted to escort;
her as a PIC, unless equivalent evidence is immediately available (ii) Identifying what action is to be taken by an escort, or
aboard the vessel or at his or her place of employment. other authorized individual, should individuals under escort
(3) On each tank barge, for its own engine‐driven pumps, either engage in activities other than those for which escorted
complies with paragraph (e)(1) or (2) of this section or has been access was granted; and
instructed by the operator or agent of the vessel both in his or her (iii) Notifying facility employees, and passengers if
duties and in the Federal statutes and regulations on water applicable, of what parts of the facility are secure areas and
pollution that apply to the vessel; or public access areas, as applicable, and ensuring such areas
(4) On each foreign vessel, holds a license or certificate issued by are clearly marked.
a flag state party to STCW, or other form of evidence acceptable (7) Ensure that restricted areas are controlled and TWIC
to the Coast Guard, attesting the qualifications of the PIC to act as provisions are coordinated, if applied to such restricted areas;
master, mate, pilot, operator, engineer, or tankerman aboard that (8) Ensure that adequate coordination of security issues takes
vessel. place between the facility and vessels that call on it, including the
(f) Except as provided in paragraph (g) of this section, the operator or execution of a Declaration of Security (DoS) as required by this
agent of each self‐propelled tank vessel carrying oil or hazardous part;
material in bulk shall verify to his or her satisfaction that the PIC of the (9) Ensure coordination of shore leave for vessel personnel or
transfer of oil or hazardous material in bulk to or from a vessel, or of crew change‐out, as well as access through the facility for visitors
Security 33 CFR 105
cargo‐tank cleaning, holds a Tankerman‐PIC endorsement on his or her to the vessel (including representatives of seafarers' welfare and
MMD or merchant mariner credential and either a license, officer labor organizations), with vessel operators in advance of a vessel's
endorsement, or a Certificate issued by a flag state party to STCW arrival. In coordinating such leave, facility owners or operators
authorizing service as a master, mate, pilot, engineer, or operator may refer to treaties of friendship, commerce, and navigation
aboard that vessel. between the U.S. and other nations;
(g) The PIC of a cargo‐tank cleaning on a vessel at a tank‐cleaning
facility or shipyard need not hold any of the merchant mariner
122 35
(10) Ensure, within 12 hours of notification of an increase in monitoring systems, the procedures for reporting pollution
MARSEC Level, implementation of the additional security incidents, and, if installed, the systems for crude‐oil washing, inert
measures required for the new MARSEC Level; gas, and vapor control, to safely conduct either a transfer of liquid
(11) Ensure security for unattended vessels moored at the facility; cargo in bulk or cargo‐tank cleaning;
(12) Ensure the report of all breaches of security and (2) Except as provided in paragraph (g) of this section, holds a
transportation security incidents to the National Response Center license or other document issued by the flag state or its
in accordance with part 101 of this chapter; authorized agent authorizing service as master, mate, pilot,
(13) Ensure consistency between security requirements and engineer, or operator on that vessel;
safety requirements; (3) Except as provided in paragraph (g) of this section, holds a
(14) Inform facility personnel of their responsibility to apply for Dangerous‐Cargo Endorsement or Certificate issued by a flag state
and maintain a TWIC, including the deadlines and methods for party to the International Convention on Standards of Training,
such applications, and of their obligation to inform TSA of any Certification and Watchkeeping for Seafarers, 1978 (STCW), or
event that would render them ineligible for a TWIC, or which other form of evidence acceptable to the Coast Guard, attesting
would invalidate their existing TWIC; the PIC's meeting the requirements of Chapter V of STCW as a PIC
(15) Ensure that protocols consistent with section 105.255(c) of of the transfer of fuel oil, of the transfer of liquid cargo in bulk, or
this part, for dealing with individuals requiring access who report of cargo‐tank cleaning;
a lost, damaged, or stolen TWIC, or who have applied for and not (4) Is capable of reading, speaking, and understanding in English,
yet received a TWIC, are in place; and or a language mutually‐agreed‐upon with the shoreside PIC of the
(16) If applicable, ensure that protocols consistent with §105.257 transfer, all instructions needed to commence, conduct, and
of this part, for dealing with newly hired employees who have complete a transfer of fuel oil, a transfer of liquid cargo in bulk, or
applied for and not yet received a TWIC, are in place. cargo‐tank cleaning, except that the use of an interpreter meets
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR this requirement if the interpreter—
60541, Oct. 22, 2003; USCG‐2006‐24196, 72 FR 3582, Jan. 25, 2007; (i) Fluently speaks the language spoken by each PIC;
USCG‐2013‐0397, 78 FR 39173, July 1, 2013] (ii) Is immediately available to the PIC on the tankship at all
times during the transfer or cargo‐tank cleaning; and
105.205 Facility Security Officer (FSO). (iii) Is knowledgeable about, and conversant with
(a) General. terminology of, ships, transfers, and cargo‐tank cleaning;
(1) The FSO may perform other duties within the owner's or and
operator's organization, provided he or she is able to perform the (5) Is capable of effectively communicating with all crewmembers
duties and responsibilities required of the FSO. involved in the transfer or cargo‐tank cleaning, with or without an
(2) The same person may serve as the FSO for more than one interpreter.
facility, provided the facilities are in the same COTP zone and are (d) On each foreign tank barge, the operator or agent of the vessel shall
not more than 50 miles apart. If a person serves as the FSO for verify to his or her satisfaction that each PIC either of the transfer of
more than one facility, the name of each facility for which he or liquid cargo in bulk or of cargo‐tank cleaning—
she is the FSO must be listed in the Facility Security Plan (FSP) of (1) Has sufficient training and experience with the relevant
each facility for which or she is the FSO. characteristics of the vessel on which he or she is engaged—
(3) The FSO may assign security duties to other facility personnel; including the cargo for transfer, the cargo‐containment system,
however, the FSO retains the responsibility for these duties. the cargo system (including transfer procedures, and shipboard‐
(4) The FSO must maintain a TWIC. emergency equipment and procedures), the control and
(b) Qualifications. monitoring systems, the procedures for reporting pollution
(1) The FSO must have general knowledge, through training or incidents, and, if installed, the COW, inert‐gas, and vapor‐control
equivalent job experience, in the following: systems—to safely conduct a transfer of fuel oil, a transfer of
(i) Security organization of the facility; liquid cargo in bulk, or cargo‐tank cleaning;
(ii) General vessel and facility operations and conditions; (2) Except as provided in paragraph (g) of this section, holds a
Security 33 CFR 105
(iii) Vessel and facility security measures, including the Dangerous‐Cargo Endorsement or Certificate issued by a flag state
meaning and the requirements of the different MARSEC party to STCW, or other form of evidence acceptable to the Coast
Levels; Guard, attesting the PIC's meeting the requirements of Chapter V
(iv) Emergency preparedness, response, and contingency of STCW as a PIC of the transfer of fuel oil, of the transfer of liquid
planning; cargo in bulk, or of cargo‐tank cleaning;
36 121
cargo in bulk or of cargo‐tank cleaning, shall verify to his or her (v) Security equipment and systems, and their operational
satisfaction that each person designated as a PIC— limitations; and
(1) Has sufficient training and experience with the relevant (vi) Methods of conducting audits, inspections, control, and
characteristics of the vessel on which he or she is engaged— monitoring techniques.
including the cargo for transfer, the cargo‐containment system, (2) In addition to knowledge and training required in paragraph
the cargo system (including transfer procedures, and shipboard‐ (b)(1) of this section, the FSO must have knowledge of and receive
emergency equipment and procedures), the control and training in the following, as appropriate:
monitoring systems, the procedures for reporting pollution (i) Relevant international laws and codes, and
incidents, and, if installed, the Crude‐Oil Washing (COW), inert‐ recommendations;
gas, and vapor‐control systems—to safely conduct a transfer of (ii) Relevant government legislation and regulations;
fuel oil, a transfer of liquid cargo in bulk, or cargo‐tank cleaning; (iii) Responsibilities and functions of local, State, and
(2) Except as provided in paragraph (g) of this section, holds a Federal law enforcement agencies;
license or officer endorsement issued under 46 CFR part 10 (iv) Security assessment methodology;
authorizing service aboard a vessel certified for voyages beyond (v) Methods of facility security surveys and inspections;
any Boundary Line described in 46 CFR part 7, except on tankships (vi) Instruction techniques for security training and
or self‐propelled tank vessels not certified for voyages beyond the education, including security measures and procedures;
Boundary Line; and (vii) Handling sensitive security information and security
(3) Except as provided in paragraph (g) of this section and 46 CFR related communications;
13.113 (a) or (c), holds a Tankerman‐PIC endorsement issued (viii) Current security threats and patterns;
under 46 CFR part 13 that authorizes the holder to supervise the (ix) Recognizing and detecting dangerous substances and
transfer of fuel oil, the transfer of liquid cargo in bulk, or cargo‐ devices;
tank cleaning, as appropriate to the product. (x) Recognizing characteristics and behavioral patterns of
(b) On each tank barge required to be inspected under 46 U.S.C. 3703, persons who are likely to threaten security;
the operator or agent of the vessel, or the person who arranges and (xi) Techniques used to circumvent security measures;
hires a person to be in charge of a transfer of fuel oil, of a transfer of (xii) Conducting physical searches and non‐intrusive
liquid cargo in bulk, or of cargo‐tank cleaning, shall verify to his or her inspections;
satisfaction that each PIC— (xiii) Conducting security drills and exercises, including
(1) Has sufficient training and experience with the relevant exercises with vessels; and
characteristics of the vessel on which he or she is engaged— (xiv) Assessing security drills and exercises.
including the cargo for transfer, the cargo‐containment system, (xv) Knowledge of TWIC requirements.
the cargo system (including transfer procedures, and shipboard‐ (c) Responsibilities. In addition to those responsibilities and duties
emergency equipment and procedures), the control and specified elsewhere in this part, the FSO must, for each facility for
monitoring systems, the procedures for reporting pollution which he or she has been designated:
incidents, and, if installed, the COW, inert‐gas, and vapor‐control (1) Ensure that the Facility Security Assessment (FSA) is
systems—to safely conduct either a transfer of liquid cargo in bulk conducted;
or cargo‐tank cleaning; and (2) Ensure the development and implementation of a FSP;
(2) Except as provided in paragraph (g) of this section and 46 CFR (3) Ensure that an annual audit is conducted, and if necessary that
part 13.113 (a) or (c), holds a Tankerman‐PIC or Tankerman‐PIC the FSA and FSP are updated;
(Barge) endorsement issued under 46 CFR part 13 that authorizes (4) Ensure the FSP is exercised per §105.220 of this part;
the holder to supervise the transfer of fuel oil, the transfer of (5) Ensure that regular security inspections of the facility are
liquid cargo in bulk, or cargo‐tank cleaning, as appropriate to the conducted;
product and vessel. (6) Ensure the security awareness and vigilance of the facility
(c) On each foreign tankship, the operator or agent of the vessel shall personnel;
verify to his or her satisfaction that each PIC either of a transfer of (7) Ensure adequate training to personnel performing facility
Security 33 CFR 105
liquid cargo in bulk or of cargo‐tank cleaning— security duties;
(1) Has sufficient training and experience with the relevant (8) Ensure that occurrences that threaten the security of the
characteristics of the vessel on which he or she is engaged, facility are recorded and reported to the owner or operator;
including the cargo for transfer, the cargo‐containment system, (9) Ensure the maintenance of records required by this part;
the cargo system (including transfer procedures, and shipboard‐ (10) Ensure the preparation and the submission of any reports as
emergency equipment and procedures), the control and required by this part;
120 37
(11) Ensure the execution of any required Declarations of Security (c) The date and result of the most recent test or examination of each
with Masters, Vessel Security Officers or their designated item tested or examined under §156.170 of this chapter;
representatives; (d) The hose information required by §154.500 (e) and (g) except that
(12) Ensure the coordination of security services in accordance marked on the hose;
with the approved FSP; (e) The record of all examinations of the facility by the COTP within the
(13) Ensure that security equipment is properly operated, tested, last 3 years;
calibrated, and maintained; (f) The Declaration of Inspection required by §156.150(f) of this
(14) Ensure the recording and reporting of attainment changes in chapter;
MARSEC Levels to the owner or operator and the cognizant COTP; (g) A record of all repairs made within the last three years involving any
(15) When requested, ensure that the Vessel Security Officers component of the facility's vapor control system required by subpart P
receive assistance in confirming the identity of visitors and service of this part;
providers seeking to board the vessel through the facility; (h) A record of all automatic shut downs of the facility's vapor control
(16) Ensure notification, as soon as possible, to law enforcement system within the last 3 years; and
personnel and other emergency responders to permit a timely (i) Plans, calculations, and specifications of the facility's vapor control
response to any transportation security incident; system certified under 33 CFR 154.2020 through 154.2025.
(17) Ensure that the FSP is submitted to the cognizant COTP for (j) If they are not marked as such, documentation that the portable
approval, as well as any plans to change the facility or facility radio devices in use at the facility under §154.560 of this part are
infrastructure prior to amending the FSP; and intrinsically safe.
(18) Ensure that all facility personnel are briefed of changes in (Approved by the Office of Management and Budget under control
security conditions at the facility. number 1625‐0060)
(19) Ensure the TWIC program is being properly implemented. [CGD 75‐124, 45 FR 7173, Jan. 31, 1980, as amended by CGD 88‐102, 55
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR FR 25429, June 21, 1990; CGD 86‐034, 55 FR 36254, Sept. 4, 1990; CGD
60541, Oct. 22, 2003; USCG‐2006‐24196, 72 FR 3583, Jan. 25, 2007] 93‐056, 61 FR 41461, Aug. 8, 1996; USCG‐2006‐25150, 71 FR 39209,
July 12, 2006; USCG‐1999‐5150, 78 FR 42618, July 16, 2013]
105.210 Facility personnel with security duties.
Facility personnel responsible for security duties must maintain a TWIC, 154.750 Compliance with operations manual.
and must have knowledge, through training or equivalent job The facility operator shall require facility personnel to use the
experience, in the following, as appropriate: procedures in the operations manual prescribed by §154.300 for
(a) Knowledge of current security threats and patterns; operations under this part.
(b) Recognition and detection of dangerous substances and devices; [CGD 75‐124, 45 FR 7174, Jan. 31, 1980]
(c) Recognition of characteristics and behavioral patterns of persons
who are likely to threaten security; 33 CFR 155 Subpart C—Transfer Personnel, Procedures, Equipment, and
(d) Techniques used to circumvent security measures; Records
(e) Crowd management and control techniques;
(f) Security related communications; 155.700 Designation of person in charge.
(g) Knowledge of emergency procedures and contingency plans; Each operator or agent of a vessel with a capacity of 250 or more
(h) Operation of security equipment and systems; barrels of fuel oil, cargo oil, hazardous material, or liquefied gas as
(i) Testing, calibration, and maintenance of security equipment and regulated in Table 4 of 46 CFR part 154, or each person who arranges
systems; for and hires a person to be in charge of a transfer of fuel oil, of a
(j) Inspection, control, and monitoring techniques; transfer of liquid cargo in bulk, or of cargo‐tank cleaning, shall
(k) Relevant provisions of the Facility Security Plan (FSP); designate, either by name or by position in the crew, the person in
(l) Methods of physical screening of persons, personal effects, baggage, charge (PIC) of each transfer to or from the vessel and of each tank‐
cargo, and vessel stores; and cleaning.
(m) The meaning and the consequential requirements of the different [CGD 79‐116, 62 FR 25126, May 8, 1997]
Security 33 CFR 105
MARSEC Levels.
(n) Familiar with all relevant aspects of the TWIC program and how to 155.710 Qualifications of person in charge.
carry them out. (a) On each tankship required to be documented under the laws of the
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended by USCG‐ United States, the operator or agent of the vessel, or the person who
2006‐24196, 72 FR 3583, Jan. 25, 2007] arranges and hires a person to be in charge either of a transfer of liquid

38 119
(s) Tank‐cleaning or gas‐freeing operations conducted by the facility on 105.215 Security training for all other facility personnel.
vessels carrying oil residues or mixtures must be conducted in All other facility personnel, including contractors, whether part‐time,
accordance with sections 11.3 and 11.4 of OCIMF ISGOTT (incorporated full‐time, temporary, or permanent, must have knowledge of, through
by reference, see 33 CFR 154.106), except that— training or equivalent job experience, in the following, as appropriate:
(1) Prohibitions in ISGOTT against the use of recirculated wash (a) Relevant provisions of the Facility Security Plan (FSP);
water do not apply if the wash water is first processed to remove (b) The meaning and the consequential requirements of the different
product residues; MARSEC Levels as they apply to them, including emergency procedures
(2) The provisions in ISGOTT section 11.3.6.10 that removal of and contingency plans;
sludge, scale, and sediment do not apply if personnel use (c) Recognition and detection of dangerous substances and devices;
breathing apparatuses which protect them from the tank (d) Recognition of characteristics and behavioral patterns of persons
atmosphere; and who are likely to threaten security; and
(3) Upon the request of the facility owner or operator in (e) Techniques used to circumvent security measures.
accordance with 33 CFR 154.107, the COTP may approve the use (f) Familiar with all relevant aspects of the TWIC program and how to
of alternate standards to ISGOTT if the COTP determines that the carry them out.
alternative standards provide an equal level of protection to the [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
ISGOTT standards. 60541, Oct. 22, 2003; USCG‐2006‐24196, 72 FR 3583, Jan. 25, 2007]
(t) Guards are stationed, or equivalent controls acceptable to the COTP
are used to detect fires, report emergency conditions, and ensure that 105.220 Drill and exercise requirements.
access to the marine transfer area is limited to— (a) General.
(1) Personnel who work at the facility including persons assigned (1) Drills and exercises must test the proficiency of facility
for transfer operations, vessel personnel, and delivery and service personnel in assigned security duties at all MARSEC Levels and the
personnel in the course of their business; effective implementation of the Facility Security Plan (FSP). They
(2) Coast Guard personnel; must enable the Facility Security Officer (FSO) to identify any
(3) Other Federal, State, or local governmental officials; and related security deficiencies that need to be addressed.
(4) Other persons authorized by the operator. (2) A drill or exercise required by this section may be satisfied with
(u) Smoking shall be prohibited at the facility except that facility owners the implementation of security measures required by the FSP as
or operators may authorize smoking in designated areas if— the result of an increase in the MARSEC Level, provided the facility
(1) Smoking areas are designated in accordance with local reports attainment to the cognizant COTP.
ordinances and regulations; (b) Drills.
(2) Signs are conspicuously posted marking such authorized (1) The FSO must ensure that at least one security drill is
smoking areas; and conducted every 3 months. Security drills may be held in
(3) “No Smoking” signs are conspicuously posted elsewhere on conjunction with non‐security drills, where appropriate.
the facility. (2) Drills must test individual elements of the FSP, including
(v) Warning signs shall be displayed on the facility at each shoreside response to security threats and incidents. Drills should take into
entry to the dock or berth, without obstruction, at all times for fixed account the types of operations of the facility, facility personnel
facilities and for mobile facilities during coupling, transfer operation, changes, the type of vessel the facility is serving, and other
and uncoupling. The warning signs shall conform to 46 CFR 151.45‐ relevant circumstances. Examples of drills include unauthorized
2(e)(1) or 46 CFR 153.955. entry to a restricted area, response to alarms, and notification of
[CGD 86‐034, 55 FR 36253, Sept. 4, 1990, as amended by CGD 93‐056, law enforcement authorities.
61 FR 41460, Aug. 8, 1996; USCG‐2001‐8661, 74 FR 45022, Aug. 31, (3) If a vessel is moored at the facility on the date the facility has
2009; USCG‐1999‐5150, 78 FR 42618, July 16, 2013] planned to conduct any drills, the facility cannot require the
vessel or vessel personnel to be a part of or participate in the
154.740 Records. facility's scheduled drill.
Each facility operator shall maintain at the facility and make available (c) Exercises.
Security 33 CFR 105
for examination by the COTP: (1) Exercises must be conducted at least once each calendar year,
(a) A copy of the letter of intent for the facility; with no more than 18 months between exercises.
(b) The name of each person designated as a person in charge of (2) Exercises may be:
transfer operations at the facility and certification that each person in (i) Full scale or live;
charge has completed the training requirements of §154.710 of this (ii) Tabletop simulation or seminar;
part; (iii) Combined with other appropriate exercises; or
118 39
(iv) A combination of the elements in paragraphs (c)(2)(i) (1) Use solid fuel; or
through (iii) of this section. (2) Are located where sparks constitute a hazard to nearby
(3) Exercises may be facility‐specific or part of a cooperative combustible material.
exercise program with applicable facility and vessel security plans (l) All welding or hot work conducted on or at the facility is the
or comprehensive port exercises. responsibility of the facility operator. The COTP may require that the
(4) Each exercise must test communication and notification operator of the facility notify the COTP before any welding or hot work
procedures, and elements of coordination, resource availability, operations are conducted. Any welding or hot work operations
and response. conducted on or at the facility must be conducted in accordance with
(5) Exercises are a full test of the security program and must NFPA 51B (incorporated by reference; see §154.106). The facility
include substantial and active participation of FSOs, and may operator shall ensure that the following additional conditions or criteria
include government authorities and vessels visiting the facility. are met:
Requests for participation of Company and Vessel Security (1) Welding or hot work is prohibited during gas freeing
Officers in joint exercises should consider the security and work operations, within 30.5 meters (100 feet) of bulk cargo operations
implications for the vessel. involving flammable or combustible materials, within 30.5 meters
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR (100 feet) of fueling operations, or within 30.5 meters (100 feet)
60541, Oct. 22, 2003] of explosives or 15.25 meters (50 feet) of other hazardous
materials.
105.225 Facility recordkeeping requirements. (2) If the welding or hot work is on the boundary of a
(a) Unless otherwise specified in this section, the Facility Security compartment (i.e., bulkhead, wall or deck) an additional fire
Officer (FSO) must keep records of the activities as set out in paragraph watch shall be stationed in the adjoining compartment.
(b) of this section for at least 2 years and make them available to the (3) Personnel on fire watch shall have no other duties except to
Coast Guard upon request. watch for the presence of fire and to prevent the development of
(b) Records required by this section may be kept in electronic format. If hazardous conditions.
kept in an electronic format, they must be protected against (4) Flammable vapors, liquids or solids must first be completely
unauthorized deletion, destruction, or amendment. The following removed from any container, pipe or transfer line subject to
records must be kept: welding or hot work.
(1) Training. For training under §105.210, the date of each (5) Tanks used for storage of flammable or combustible
session, duration of session, a description of the training, and a substances must be tested and certified gas free prior to starting
list of attendees; hot work.
(2) Drills and exercises. For each drill or exercise, the date held, (6) Proper safety precautions in relation to purging, inserting, or
description of drill or exercise, list of participants, and any best venting shall be followed for hot work on containers;
practices or lessons learned which may improve the Facility (7) All local laws and ordinances shall be observed;
Security Plan (FSP); (8) In case of fire or other hazard, all cutting, welding or other hot
(3) Incidents and breaches of security. For each incident or breach work equipment shall be completely secured.
of security, the date and time of occurrence, location within the (m) Heating equipment has sufficient clearance to prevent unsafe
facility, description of incident or breaches, to whom it was heating of nearby combustible material.
reported, and description of the response; (n) Automotive equipment having an internal combustion engine is not
(4) Changes in MARSEC Levels. For each change in MARSEC Level, refueled on a pier, wharf, or other similar structure.
the date and time of notification received, and time of compliance (o) There are no open fires or open flame lamps.
with additional requirements; (p) Electric wiring and equipment is maintained in a safe condition so as
(5) Maintenance, calibration, and testing of security equipment. to prevent fires.
For each occurrence of maintenance, calibration, and testing, (q) Electrical wiring and electrical equipment installed after October 4,
record the date and time, and the specific security equipment 1990, meet NFPA 70 (1987) (incorporated by reference, see 33 CFR
involved; 154.106).
Security 33 CFR 105
(6) Security threats. For each security threat, the date and time of (r) Electrical equipment, fittings, and devices installed after October 4,
occurrence, how the threat was communicated, who received or 1990, show approval for that use by—
identified the threat, description of threat, to whom it was (1) Underwriters Laboratories;
reported, and description of the response; (2) Factory Mutual Research Corporation; or
(3) Canadian Standards Association.
40 117
1910.1200) or the Environmental Protection Agency (EPA) (40 CFR (7) Declaration of Security (DoS) A copy of each single‐visit DoS
311.1), or to meet the requirements of subpart F of this part may be and a copy of each continuing DoS for at least 90 days after the
used to satisfy the requirements in paragraphs (c) and (d) of this end of its effective period; and
section, as long as the training addresses the requirements in (8) Annual audit of the FSP. For each annual audit, a letter
paragraphs (c) and (d) of this section. certified by the FSO stating the date the audit was completed.
(Sec. 311(j)(1)(C) of the Federal Water Pollution Control Act (86 Stat. (c) Any record required by this part must be protected from
816, 868); 33 U.S.C. 1161(j)(1)(C); EO 11548, 3 CFR, 1966‐1970 Comp., unauthorized access or disclosure.
p. 949; 49 CFR 1.46(m)) [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
[CGD 71‐160R, 37 FR 28253, Dec. 21, 1972, as amended by CGD 86‐034, 60541, Oct. 22, 2003]
55 FR 36253, Sept. 4, 1990; CGD 93‐056, 61 FR 41460, Aug. 8, 1996]
105.230 Maritime Security (MARSEC) Level coordination and
154.730 Persons in charge: Evidence of designation. implementation.
Each person in charge shall carry evidence of his designation as a (a) The facility owner or operator must ensure the facility operates in
person in charge when he is engaged in transfer operations unless such compliance with the security requirements in this part for the MARSEC
evidence is immediately available at the facility. Level in effect for the port.
(Sec. 311(j)(1)(C) of the Federal Water Pollution Control Act (86 Stat. (b) When notified of an increase in the MARSEC Level, the facility
816, 868); 33 U.S.C. 1161(j)(1)(C); EO 11548, 3 CFR, 1966‐1970 Comp., owner and operator must ensure:
p. 949; 49 CFR 1.46(m)) (1) Vessels moored to the facility and vessels scheduled to arrive
[CGD 71‐160R, 37 FR 28253, Dec. 21, 1972] at the facility within 96 hours of the MARSEC Level change are
notified of the new MARSEC Level and the Declaration of Security
154.735 Safety requirements. is revised as necessary;
Each operator of a facility to which this part applies shall ensure that (2) The facility complies with the required additional security
the following safety requirements are met at the facility: measures within 12 hours; and
(a) Access to the facility by firefighting personnel, fire trucks, or other (3) The facility reports compliance or noncompliance to the COTP.
emergency personnel is not impeded. (c) For MARSEC Levels 2 and 3, the Facility Security Officer must inform
(b) Materials which are classified as hazardous under 49 CFR parts 170 all facility personnel about identified threats, and emphasize reporting
through 179 are kept only in the quantities needed for the operation or procedures and stress the need for increased vigilance.
maintenance of the facility and are stored in storage compartments. (d) An owner or operator whose facility is not in compliance with the
(c) Gasoline or other fuel is not stored on a pier, wharf, or other similar requirements of this section, must inform the COTP and obtain
structure. approval prior to interfacing with a vessel or continuing operations.
(d) A sufficient number of fire extinguishers approved by an (e) At MARSEC Level 3, in addition to the requirements in this part, a
independent laboratory listed in 46 CFR 162.028‐5 for fighting small, facility owner or operator may be required to implement additional
localized fires are in place throughout the facility and maintained in a measures, pursuant to 33 CFR part 6, 160, or 165, as appropriate, which
ready condition. may include but are not limited to:
(e) The location of each hydrant, standpipe, hose station, fire (1) Use of waterborne security patrol;
extinguisher, and fire alarm box is conspicuously marked and readily (2) Use of armed security personnel to control access to the
accessible. facility and to deter, to the maximum extent practical, a
(f) Each piece of protective equipment is ready to operate. transportation security incident; and
(g) Signs indicating that smoking is prohibited are posted in areas where (3) Examination of piers, wharves, and similar structures at the
smoking is not permitted. facility for the presence of dangerous substances or devices
(h) Trucks and other motor vehicles are operated or parked only in underwater or other threats.
designated locations.
(i) All rubbish is kept in receptacles. 105.235 Communications.
(j) All equipment with internal combustion engines used on the (a) The Facility Security Officer must have a means to effectively notify
Security 33 CFR 105
facility— facility personnel of changes in security conditions at the facility.
(1) Does not constitute a fire hazard; and (b) Communication systems and procedures must allow effective and
(2) Has a fire extinguisher attached that is approved by an continuous communications between the facility security personnel,
independent laboratory listed in 46 CFR 162.028‐5, unless such a vessels interfacing with the facility, the cognizant COTP, and national
fire extinguisher is readily accessible nearby on the facility. and local authorities with security responsibilities.
(k) Spark arresters are provided on chimneys or appliances which—
116 41
(c) At each active facility access point, provide a means of contacting 33 CFR 154 Subpart D—Facility Operations
police, security control, or an emergency operations center, by
telephones, cellular phones, and/or portable radios, or other equivalent Contents
means. §154.700 General.
(d) Facility communications systems must have a backup means for §154.710 Persons in charge: Designation and qualification.
both internal and external communications. §154.730 Persons in charge: Evidence of designation.
§154.735 Safety requirements.
105.240 Procedures for interfacing with vessels. §154.740 Records.
The facility owner or operator must ensure that there are measures for §154.750 Compliance with operations manual.
interfacing with vessels at all MARSEC Levels.
154.700 General.
105.245 Declaration of Security (DoS). No person may operate a facility unless the equipment, personnel, and
(a) Each facility owner or operator must ensure procedures are operating procedures of that facility meet the requirements of this
established for requesting a DoS and for handling DoS requests from a part.
vessel. [CGD 75‐124, 45 FR 7173, Jan. 31, 1980]
(b) At MARSEC Level 1, a facility receiving a cruise ship or a manned
vessel carrying Certain Dangerous Cargo, in bulk, must comply with the 154.710 Persons in charge: Designation and qualification.
following: No person may serve, and the facility operator may not use the services
(1) Prior to the arrival of a vessel to the facility, the Facility of a person, as person in charge of facility transfer operations unless:
Security Officer (FSO) and Master, Vessel Security Officer (VSO), or (a) The facility operator has designated that person as a person in
their designated representatives must coordinate security needs charge;
and procedures, and agree upon the contents of the DoS for the (b) The person has had at least 48 hours of experience in transfer
period of time the vessel is at the facility; and operations at a facility in operations to which this part applies. The
(2) Upon the arrival of the vessel at the facility, the FSO and person also has enough experience at the facility for which qualification
Master, VSO, or their designated representative, must sign the is desired to enable the facility operator to determine that the person's
written DoS. experience is adequate;
(c) Neither the facility nor the vessel may embark or disembark (c) The person has completed a training and qualification program
passengers, nor transfer cargo or vessel stores until the DoS has been established by the facility operator and described in the Operations
signed and implemented. Manual in accordance with §154.310(a)(21), that provides the person
(d) At MARSEC Levels 2 and 3, the FSOs, or their designated with the knowledge and training necessary to properly operate the
representatives, of facilities interfacing with manned vessels subject to transfer equipment at the facility, perform the duties described in
part 104, of this subchapter must sign and implement DoSs as required paragraph (d) of this section, follow the procedures required by this
in (b)(1) and (2) of this section. part, and fulfill the duties required of a person in charge during an
(e) At MARSEC Levels 1 and 2, FSOs of facilities that frequently interface emergency, except that the COTP may approve alternative experience
with the same vessel may implement a continuing DoS for multiple and training requirements for new facilities; and
visits, provided that: (d) The facility operator must certify that each person in charge has the
(1) The DoS is valid for a specific MARSEC Level; knowledge of, and skills necessary to—
(2) The effective period at MARSEC Level 1 does not exceed 90 (1) The hazards of each product to be transferred;
days; and (2) The rules in this part and in part 156 of this chapter;
(3) The effective period at MARSEC Level 2 does not exceed 30 (3) The facility operating procedures as described in the
days. operations manual;
(f) When the MARSEC Level increases beyond that contained in the (4) Vessel transfer systems, in general;
DoS, the continuing DoS is void and a new DoS must be executed in (5) Vessel transfer control systems, in general;
accordance with this section. (6) Each facility transfer control system to be used;
Security 33 CFR 105
(g) A copy of all currently valid continuing DoSs must be kept with the (7) Follow local discharge reporting procedures; and
Facility Security Plan. (8) Carry out the facility's response plan for discharge reporting
(h) The COTP may require, at any time, at any MARSEC Level, any and containment.
facility subject to this part to implement a DoS with the VSO prior to (e) Training conducted to comply with the hazard communication
any vessel‐to‐facility interface when he or she deems it necessary. programs required by the Occupational Safety and Health
Administration (OSHA) of the Department of Labor (DOL) (29 CFR
42 115
transfer operation and the person in charge of the facility transfer [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
operation. 60541, Oct. 22, 2003]
(b) Each facility must have a means, which may be the communications
system itself, that enables a person on board a vessel or on the facility 105.250 Security systems and equipment maintenance.
to effectively indicate the desire to use the means of communication (a) Security systems and equipment must be in good working order and
required by paragraph (a) of this section. inspected, tested, calibrated, and maintained according to
(c) The means required by paragraph (a) of this section must be usable manufacturers' recommendations.
and effective in all phases of the transfer operation and all conditions of (b) Security systems must be regularly tested in accordance with the
weather at the facility. manufacturers' recommendations; noted deficiencies corrected
(d) A facility may use the system in §154.550(a)(2) to meet the promptly; and the results recorded as required in §105.225 of this
requirement of paragraph (a) of this section. subpart.
(e) Portable radio devices used to comply with paragraph (a) of this (c) The FSP must include procedures for identifying and responding to
section during the transfer of flammable or combustible liquids must be security system and equipment failures or malfunctions.
marked as intrinsically safe by the manufacturer of the device and
certified as intrinsically safe by a national testing laboratory or other 105.255 Security measures for access control.
certification organization approved by the Commandant as defined in (a) General. The facility owner or operator must ensure the
46 CFR 111.105‐11. As an alternative to the marking requirement, implementation of security measures to:
facility operators may maintain documentation at the facility certifying (1) Deter the unauthorized introduction of dangerous substances
that the portable radio devices in use at the facility are in compliance and devices, including any device intended to damage or destroy
with this section. persons, vessels, facilities, or ports;
[CGD 75‐124, 45 FR 7172, Jan. 31, 1980; 45 FR 43705, June 30, 1980, as (2) Secure dangerous substances and devices that are authorized
amended by CGD 93‐056, 61 FR 41460, Aug. 8, 1996] by the owner or operator to be on the facility;
(3) Control access to the facility; and
154.570 Lighting. (4) Prevent an unescorted individual from entering an area of the
(a) Except as provided in paragraph (c) of this section, for operations facility that is designated as a secure area unless the individual
between sunset and sunrise, a facility must have fixed lighting that holds a duly issued TWIC and is authorized to be in the area.
adequately illuminates: (b) The facility owner or operator must ensure that the following are
(1) Each transfer connection point on the facility; specified:
(2) Each transfer connection point in use on any barge moored at (1) The locations where restrictions or prohibitions that prevent
the facility to or from which oil or hazardous material is being unauthorized access are applied for each MARSEC Level, including
transferred; those points where TWIC access control provisions will be applied.
(3) Each transfer operations work area on the facility; and Each location allowing means of access to the facility must be
(4) Each transfer operation work area on any barge moored at the addressed;
facility to or from which oil or hazardous material is being (2) The types of restrictions or prohibitions to be applied and the
transferred. means of enforcing them;
(b) Where the illumination is apparently inadequate, the COTP may (3) The means used to establish the identity of individuals not in
require verification by instrument of the levels of illumination. On a possession of a TWIC, in accordance with §101.515 of this
horizontal plane 3 feet above the barge deck or walking surface, subchapter, and procedures for escorting them;
illumination must measure at least: (4) Procedures for identifying authorized and unauthorized
(1) 5.0 foot candles at transfer connection points; and persons at any MARSEC level; and
(2) 1.0 foot candle in transfer operations work areas. (5) The locations where persons, personal effects and vehicle
(c) For small or remote facilities, the COTP may authorize operations screenings are to be conducted. The designated screening areas
with an adequate level of illumination provided by the vessel or by should be covered to provide for continuous operations
portable means. regardless of the weather conditions.
Security 33 CFR 105
(d) Lighting must be located or shielded so as not to mislead or (c) The facility owner or operator must ensure that a TWIC program is
otherwise interfere with navigation on the adjacent waterways. implemented as follows:
[CGD 75‐124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86‐034, 55 (1) All persons seeking unescorted access to secure areas must
FR 36253, Sept. 4, 1990] present their TWIC for inspection before being allowed
unescorted access, in accordance with §101.514 of this
subchapter. Inspection must include:
114 43
(i) A match of the photo on the TWIC to the individual (1) The environmental sensitivity of the area requires the added
presenting the TWIC; protection;
(ii) Verification that the TWIC has not expired; and (2) The products transferred at the facility pose a significant
(iii) A visual check of the various security features present on threat to the environment;
the card to determine whether the TWIC has been tampered (3) The past record of discharges at the facility is poor; or
with or forged. (4) The size or complexity of the transfer operation poses a
(2) If an individual cannot present a TWIC because it has been lost, significant potential for a discharge of oil or hazardous material;
damaged or stolen, and he or she has previously been granted and
unescorted access to the facility and is known to have had a valid (5) The use of vessel containment provides the only practical
TWIC, the individual may be given unescorted access to secure means to reduce the extent of environmental damage.
areas for a period of no longer than 7 consecutive calendar days (e) Equipment and procedures maintained to satisfy the provisions of
if: this chapter may be utilized in the planning requirements of subpart F
(i) The individual has reported the TWIC as lost, damaged, or and subpart H of this part.
stolen to TSA as required in 49 CFR 1572.19(f); [CGD 75‐124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86‐034, 55
(ii) The individual can present another identification FR 36253, Sept. 4, 1990; CGD 93‐056, 61 FR 41460, Aug. 8, 1996; USCG‐
credential that meets the requirements of §101.515 of this 1999‐5149, 65 FR 40825, June 30, 2000]
subchapter; and
(iii) There are no other suspicious circumstances associated 154.550 Emergency shutdown.
with the individual's claim of loss or theft. (a) The facility must have an emergency means to enable the person in
(3) If an individual cannot present his or her TWIC for any other charge of the transfer on board the vessel, at that person's usual
reason than outlined in paragraph (c)(2) of this section, he or she operating station, to stop the flow of oil or hazardous material from the
may not be granted unescorted access to the secure area. The facility to the vessel. The means must be—
individual must be under escort, as that term is defined in part (1) An electrical, pneumatic, or mechanical linkage to the facility;
101 of this subchapter, at all times when inside of a secure area. or
(4) With the exception of persons granted access according to (2) An electronic voice communications system continuously
paragraph (c)(2) of this section, all persons granted unescorted operated by a person on the facility who can stop the flow of oil
access to secure areas of the facility must be able to produce his or hazardous material immediately.
or her TWIC upon request. (b) The point in the transfer system at which the emergency means
(5) There must be disciplinary measures in place to prevent fraud stops the flow of oil or hazardous material on the facility must be
and abuse. located near the dock manifold connection to minimize the loss of oil or
(6) The facility's TWIC program should be coordinated, when hazardous material in the event of the rupture or failure of the hose,
practicable, with identification and TWIC access control measures loading arm, or manifold valve.
of vessels or other transportation conveyances that use the (c) For oil transfers, the means used to stop the flow under paragraph
facility. (a) of this section must stop that flow within—
(d) If the facility owner or operator uses a separate identification (1) 60 seconds on any facility or portion of a facility that first
system, ensure that it complies and is coordinated with TWIC provisions transferred oil on or before November 1, 1980; and
in this part. (2) 30 seconds on any facility that first transfers oil after
(e) The facility owner or operator must establish in the approved November 1, 1980.
Facility Security Plan (FSP) the frequency of application of any access (d) For hazardous material transfers, the means used to stop the flow
controls, particularly if they are to be applied on a random or under paragraph (a) of this section must stop that flow within—
occasional basis. (1) 60 seconds on any facility or portion of a facility that first
(f) MARSEC Level 1. The facility owner or operator must ensure the transferred hazardous material before October 4, 1990; and
following security measures are implemented at the facility: (2) 30 seconds on any facility that first transfers hazardous
(1) Implement TWIC as set out in paragraph (c) of this section. material on or after October 4, 1990.
Security 33 CFR 105
(2) Screen persons, baggage (including carry‐on items), personal [CGD 86‐034, 55 FR 36253, Sept. 4, 1990]
effects, and vehicles, for dangerous substances and devices at the
rate specified in the approved FSP, excluding government‐owned 154.560 Communications.
vehicles on official business when government personnel present (a) Each facility must have a means that enables continuous two‐way
identification credentials for entry; voice communication between the person in charge of the vessel
44 113
this section must have a capacity of at least: (3) Conspicuously post signs that describe security measures
(1) Two barrels if it serves one or more hoses of 6‐inch inside currently in effect and clearly state that:
diameter or smaller, or loading arms of 6‐inch nominal pipe size (i) Entering the facility is deemed valid consent to screening
diameter or smaller; or inspection; and
(2) Three barrels if it serves one or more hoses with an inside (ii) Failure to consent or submit to screening or inspection
diameter of more than 6‐inches, but less than 12 inches, or will result in denial or revocation of authorization to enter.
loading arms with a nominal pipe size diameter of more than 6 (4) Check the identification of any person not holding a TWIC and
inches, but less than 12 inches; or seeking entry to the facility, including vessel passengers, vendors,
(3) Four barrels if it serves one or more hoses of 12‐inch inside personnel duly authorized by the cognizant government
diameter or larger, or loading arms of 12‐inch nominal pipe size authorities, and visitors. This check shall include confirming the
diameter or larger. reason for boarding by examining at least one of the following:
1
(c) The facility may use portable means of not less than ⁄2 barrel (i) Joining instructions;
capacity each to meet the requirements of paragraph (a) of this section (ii) Passenger tickets;
for part or all of the facility if the COTP finds that fixed means to (iii) Boarding passes;
contain oil or hazardous material discharges are not feasible. (iv) Work orders, pilot orders, or surveyor orders;
(d) A mobile facility may have portable means of not less than five (v) Government identification; or
gallons capacity to meet the requirements of paragraph (a) of this (vi) Visitor badges issued in accordance with an
section. identification system implemented under paragraph (d) of
(e) Fixed or portable containment may be used to meet the this section.
requirements of paragraph (a)(3) of this section. (5) Deny or revoke a person's authorization to be on the facility if
[CGD 75‐124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86‐034, 55 the person is unable or unwilling, upon the request of facility
FR 36253, Sept. 4, 1990; CGD 93‐056, 61 FR 41460, Aug. 8, 1996] personnel or a law enforcement officer, to establish his or her
identity in accordance with this part or to account for his or her
154.540 Discharge removal. presence. Any such incident must be reported in compliance with
Each facility to which this part applies must have a means to safely this part;
remove discharged oil or hazardous material, within one hour of (6) Designate restricted areas and provide appropriate access
completion of the transfer, from the containment required by §154.530 controls for these areas;
of this part without discharging the oil or hazardous material into the (7) Identify access points that must be secured or attended to
water. deter unauthorized access;
[CGD 93‐056, 61 FR 41460, Aug. 8, 1996] (8) Deter unauthorized access to the facility and to designated
restricted areas within the facility;
154.545 Discharge containment equipment. (9) Screen by hand or device, such as x‐ray, all unaccompanied
(a) Each facility must have ready access to enough containment baggage prior to loading onto a vessel; and
material and equipment to contain any oil or hazardous material (10) Secure unaccompanied baggage after screening in a
discharged on the water from operations at that facility. designated restricted area and maintain security control during
(b) For the purpose of this section, “access” may be by direct transfers between the facility and a vessel.
ownership, joint ownership, cooperative venture, or contractual (g) MARSEC Level 2. In addition to the security measures required for
agreement. MARSEC Level 1 in this section, at MARSEC Level 2, the facility owner or
(c) Each facility must establish time limits, subject to approval by the operator must ensure the implementation of additional security
COTP, for deployment of the containment material and equipment measures, as specified for MARSEC Level 2 in their approved FSP. These
required by paragraph (a) of this section considering: additional security measures may include:
(1) Oil or hazardous material handling rates; (1) Increasing the frequency and detail of the screening of
(2) Oil or hazardous material capacity susceptible to being spilled; persons, baggage, and personal effects for dangerous substances
(3) Frequency of facility operations; and devices entering the facility;
Security 33 CFR 105
(4) Tidal and current conditions; (2) X‐ray screening of all unaccompanied baggage;
(5) Facility age and configuration; and (3) Assigning additional personnel to guard access points and
(6) Past record of discharges. patrol the perimeter of the facility to deter unauthorized access;
(d) The COTP may require a facility to surround each vessel conducting (4) Limiting the number of access points to the facility by closing
an oil or hazardous material transfer operation with containment and securing some access points and providing physical barriers to
material before commencing a transfer operation if— impede movement through the remaining access points;
112 45
(5) Denying access to visitors who do not have a verified (b) The manufacturer's certification that the standard in paragraph (a)
destination; of this section has been met must be permanently marked on the
(6) Deterring waterside access to the facility, which may include, loading arm or recorded elsewhere at the facility with the loading arm
using waterborne patrols to enhance security around the facility; marked to identify it with that information.
or (c) Each mechanical loading arm used for transferring oil or hazardous
(7) Except for government‐owned vehicles on official business material must have a means of being drained or closed before being
when government personnel present identification credentials for disconnected after transfer operations are completed.
entry, screening vehicles and their contents for dangerous [CGD 75‐124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86‐034, 55
substances and devices at the rate specified for MARSEC Level 2 in FR 36253, Sept. 4, 1990; USCG‐2001‐8661, 74 FR 45022, Aug. 31, 2009]
the approved FSP.
(h) MARSEC Level 3. In addition to the security measures required for 154.520 Closure devices.
MARSEC Level 1 and MARSEC Level 2, at MARSEC level 3, the facility (a) Except as provided in paragraph (b) of this section, each facility to
owner or operator must ensure the implementation of additional which this part applies must have enough butterfly valves, wafer‐type
security measures, as specified for MARSEC Level 3 in their approved resilient seated valves, blank flanges, or other means acceptable to the
FSP. These additional security measures may include: COTP to blank off the ends of each hose or loading arm that is not
(1) Screening all persons, baggage, and personal effects for connected for the transfer of oil or hazardous material. Such hoses
dangerous substances and devices; and/or loading arms must be blanked off during the transfer of oil or
(2) Performing one or more of the following on unaccompanied hazardous material. A suitable material in the joints and couplings shall
baggage: be installed on each end of the hose assembly or loading arm not being
(i) Screen unaccompanied baggage more extensively; for used for transfer to ensure a leak‐free seal.
example, x‐raying from two or more angles; (b) A new, unused hose, and a hose that has been cleaned and is gas
(ii) Prepare to restrict or suspend handling of free, is exempt from the requirements of paragraph (a) of this section.
unaccompanied baggage; or [CGD 93‐056, 61 FR 41459, Aug. 8, 1996]
(iii) Refuse to accept unaccompanied baggage.
(3) Being prepared to cooperate with responders and facilities; 154.525 Monitoring devices.
(4) Granting access to only those responding to the security The COTP may require the facility to install monitoring devices if the
incident or threat thereof; installation of monitoring devices at the facility would significantly limit
(5) Suspending access to the facility; the size of a discharge of oil or hazardous material and either:
(6) Suspending cargo operations; (a) The environmental sensitivity of the area requires added protection;
(7) Evacuating the facility; (b) The products transferred at the facility pose a significant threat to
(8) Restricting pedestrian or vehicular movement on the grounds the environment; or
of the facility; or (c) The size or complexity of the transfer operation poses a significant
(9) Increasing security patrols within the facility. potential for a discharge of oil or hazardous material.
[USCG‐2006‐24196, 72 FR 3583, Jan. 25, 2007] [CGD 75‐124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86‐034, 55
FR 36253, Sept. 4, 1990]
105.257 Security measures for newly‐hired employees.
(a) Newly‐hired facility employees may be granted entry to secure 154.530 Small discharge containment.
areas of the facility for up to 30 consecutive calendar days prior to (a) Except as provided in paragraphs (c), (d), and (e) of this section,
receiving their TWIC provided all of the requirements in paragraph (b) each facility to which this part applies must have fixed catchments,
of this section are met, and provided that the new hire is accompanied curbing, or other fixed means to contain oil or hazardous material
by an individual with a TWIC while within the secure areas of the discharged in at least—
facility. If TSA does not act upon a TWIC application within 30 days, the (1) Each hose handling and loading arm area (that area on the
cognizant Coast Guard COTP may further extend access to secure areas facility that is within the area traversed by the free end of the
for another 30 days. The Coast Guard will determine whether, in hose or loading arm when moved from its normal stowed or idle
Security 33 CFR 105
particular circumstances, certain practices meet the condition of a new position into a position for connection);
hire being accompanied by another individual with a TWIC. The Coast (2) Each hose connection manifold area; and
Guard will issue guidance for use in making these determinations. (3) Under each hose connection that will be coupled or uncoupled
(b) Newly‐hired facility employees may be granted the access provided as part of the transfer operation during coupling, uncoupling, and
for in paragraph (a) of this section if: transfer.
(b) The discharge containment means required by paragraph (a) of
46 111
(a) The minimum design burst pressure for each hose assembly must be (1) The new hire has applied for a TWIC in accordance with 49 CFR
at least four times the sum of the pressure of the relief valve setting (or part 1572 by completing the full enrollment process, paying the
four times the maximum pump pressure when no relief valve is user fee, and is not currently engaged in a waiver or appeal
installed) plus the static head pressure of the transfer system, at the process. The facility owner or operator or the Facility Security
point where the hose is installed. Officer (FSO) must have the new hire sign a statement affirming
(b) The maximum allowable working pressure (MAWP) for each hose this, and must retain the signed statement until the new hire
assembly must be more than the sum of the pressure of the relief valve receives a TWIC;
setting (or the maximum pump pressure when no relief valve is (2) The facility owner or operator or the FSO enters the following
installed) plus the static head pressure of the transfer system, at the information on the new hire into the Coast Guard's Homeport
point where the hose is installed. website (http://homeport.uscg.mil):
(c) Each nonmetallic hose must be usable for oil or hazardous material (i) Full legal name, including middle name if one exists;
service. (ii) Date of birth;
(d) Each hose assembly must either have— (iii) Social security number (optional);
(1) Full threaded connections; (iv) Employer name and 24 hour contact information; and
(2) Flanges that meet ANSI B16.5 or ANSI B16.24 (both (v) Date of TWIC enrollment.
incorporated by reference, see 33 CFR 154.106); or (3) The new hire presents an identification credential that meets
(3) Quick‐disconnect couplings that meet ASTM F1122 the requirements of §101.515 of this subchapter;
(incorporated by reference, see 33 CFR 154.106). (4) There are no other circumstances that would cause reasonable
(e) Each hose must be marked with one of the following: suspicion regarding the new hire's ability to obtain a TWIC, and
(1) The name of each product for which the hose may be used; or the facility owner or operator or FSO have not been informed by
(2) For oil products, the words “OIL SERVICE”; or the cognizant COTP that the new hire poses a security threat; and
(3) For hazardous materials, the words “HAZMAT SERVICE—SEE (5) There would be an adverse impact to facility operations if the
LIST” followed immediately by a letter, number or other symbol new hire is not allowed access.
that corresponds to a list or chart contained in the facility's (c) This section does not apply to any individual being hired as a FSO, or
operations manual or the vessel's transfer procedure documents any individual being hired to perform facility security duties.
which identifies the products that may be transferred through a (d) The new hire may not begin working at the facility under the
hose bearing that symbol. provisions of this section until the owner, operator, or FSO receives
(f) Each hose also must be marked with the following, except that the notification, via Homeport or some other means, the new hire has
information required by paragraphs (f)(2) and (3) of this section need passed an initial name check.
not be marked on the hose if it is recorded in the hose records of the [USCG‐2006‐24196, 72 FR 3584, Jan. 25, 2007, as amended by USCG‐
vessel or facility, and the hose is marked to identify it with that 2013‐0397, 78 FR 39173, July 1, 2013; 78 FR 41305, July 10, 2013]
information:
(1) Maximum allowable working pressure; 105.260 Security measures for restricted areas.
(2) Date of manufacture; and (a) General. The facility owner or operator must ensure the designation
(3) Date of the latest test required by 33 CFR 156.170. of restricted areas in order to:
(g) The hose burst pressure and the pressure used for the test required (1) Prevent or deter unauthorized access;
by 33 CFR 156.170 must not be marked on the hose and must be (2) Protect persons authorized to be in the facility;
recorded elsewhere at the facility as described in paragraph (f) of this (3) Protect the facility;
section. (4) Protect vessels using and serving the facility;
(h) Each hose used to transfer fuel to a vessel that has a fill pipe for (5) Protect sensitive security areas within the facility;
which containment cannot practically be provided must be equipped (6) Protect security and surveillance equipment and systems; and
with an automatic back pressure shutoff nozzle. (7) Protect cargo and vessel stores from tampering.
[USCG‐1999‐5150, 78 FR 42617, July 16, 2013] (b) Designation of Restricted Areas. The facility owner or operator must
ensure restricted areas are designated within the facility. They must
Security 33 CFR 105
154.510 Loading arms. also ensure that all restricted areas are clearly marked and indicate that
(a) Each mechanical loading arm used for transferring oil or hazardous access to the area is restricted and that unauthorized presence within
material and placed into service after June 30, 1973, must meet the the area constitutes a breach of security. The facility owner or operator
design, fabrication, material, inspection, and testing requirements in may also designate the entire facility as a restricted area. Restricted
ANSI B31.3 (incorporated by reference; see §154.106). areas must include, as appropriate:
110 47
(1) Shore areas immediately adjacent to each vessel moored at [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
the facility; FR 39796, Aug. 3, 1995]
(2) Areas containing sensitive security information, including
cargo documentation; 127.705 Security systems.
(3) Areas containing security and surveillance equipment and The operator shall ensure that security patrols of the marine transfer
systems and their controls, and lighting system controls; and area for LNG are conducted once every hour, or that a manned
(4) Areas containing critical facility infrastructure, including: television monitoring system is used, to detect—
(i) Water supplies; (a) Unauthorized personnel;
(ii) Telecommunications; (b) Fires; and
(iii) Electrical system; and (c) LNG releases.
(iv) Access points for ventilation and air‐conditioning [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
systems; FR 39796, Aug. 3, 1995]
(5) Manufacturing or processing areas and control rooms;
(6) Locations in the facility where access by vehicles and 127.707 Security personnel.
personnel should be restricted; The operator shall ensure that no person is assigned security patrol
(7) Areas designated for loading, unloading or storage of cargo duty unless that person has been instructed on security violation
and stores; and procedures.
(8) Areas containing cargo consisting of dangerous goods or
hazardous substances, including certain dangerous cargoes. 127.709 Protective enclosures.
(c) The owner or operator must ensure that all restricted areas have The following must be within a fence or wall that prevents trespassing:
clearly established security measures to: (a) Impounding spaces.
(1) Identify which facility personnel are authorized to have access; (b) Control rooms and stations.
(2) Determine which persons other than facility personnel are (c) Electrical power sources.
authorized to have access;
(3) Determine the conditions under which that access may take 127.711 Communications.
place; The marine transfer area for LNG must have a means of direct
(4) Define the extent of any restricted area; communications between the security patrol and other operating or
(5) Define the times when access restrictions apply; security personnel on duty on the waterfront facility handling LNG.
(6) Clearly mark all restricted areas and indicate that access to the [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
area is restricted and that unauthorized presence within the area FR 39796, Aug. 3, 1995]
constitutes a breach of security;
(7) Control the entry, parking, loading and unloading of vehicles; 33 CFR 154 Subpart C—Equipment Requirements
(8) Control the movement and storage of cargo and vessel stores;
and Contents
(9) Control unaccompanied baggage or personal effects. §154.500 Hose assemblies.
(d) MARSEC Level 1. At MARSEC Level 1, the facility owner or operator §154.510 Loading arms.
must ensure the implementation of security measures to prevent §154.520 Closure devices.
unauthorized access or activities within the area. These security §154.525 Monitoring devices.
measures may include: §154.530 Small discharge containment.
(1) Restricting access to only authorized personnel; §154.540 Discharge removal.
(2) Securing all access points not actively used and providing §154.545 Discharge containment equipment.
physical barriers to impede movement through the remaining §154.550 Emergency shutdown.
access points; §154.560 Communications.
(3) Assigning personnel to control access to restricted areas; §154.570 Lighting.
Security 33 CFR 105
(4) Verifying the identification and authorization of all persons
and all vehicles seeking entry;
(5) Patrolling or monitoring the perimeter of restricted areas; 154.500 Hose assemblies.
(6) Using security personnel, automatic intrusion detection Each hose assembly used for transferring oil or hazardous material
devices, surveillance equipment, or surveillance systems to detect must meet the following requirements:
unauthorized entry or movement within restricted areas;
48 109
The marine transfer area for LNG must have an international shore (7) Directing the parking, loading, and unloading of vehicles within
connection that is in accordance with ASTM F 1121 (incorporated by a restricted area;
1 1
reference, see §127.003), a 2 ⁄2 inch fire hydrant, and 2 ⁄2 inch fire hose (8) Controlling unaccompanied baggage and or personal effects
of sufficient length to connect the fire hydrant to the international after screening;
shore connection on the vessel. (9) Designating restricted areas for performing inspections of
[CGD 88‐032, 56 FR 35819, July 29, 1991, as amended by CGD 88‐049, cargo and vessel stores while awaiting loading; and
60 FR 39796, Aug. 3, 1995; USCG‐2000‐7223, 65 FR 40057, June 29, (10) Designating temporary restricted areas to accommodate
2000] 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
127.613 Smoking. the area has been established.
In the marine transfer area for LNG, the operator shall ensure that no (e) MARSEC Level 2. In addition to the security measures required for
person smokes when there is LNG present. MARSEC Level 1 in this section, at MARSEC Level 2, the facility owner or
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88‐049, 60 operator must also ensure the implementation of additional security
FR 39796, Aug. 3, 1995] measures, as specified for MARSEC Level 2 in their approved FSP. These
additional security measures may include:
127.615 Fires. (1) Increasing the intensity and frequency of monitoring and
In the marine transfer area for LNG, the operator shall ensure that access controls on existing restricted access areas;
there are no fires when there is LNG present. (2) Enhancing the effectiveness of the barriers or fencing
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88‐049, 60 surrounding restricted areas, by the use of patrols or automatic
FR 39796, Aug. 3, 1995] intrusion detection devices;
(3) Reducing the number of access points to restricted areas, and
127.617 Hotwork. enhancing the controls applied at the remaining accesses;
The operator shall ensure that no person conducts welding, torch (4) Restricting parking adjacent to vessels;
cutting, or other hotwork unless that person has a permit from the (5) Further restricting access to the restricted areas and
COTP. movements and storage within them;
(6) Using continuously monitored and recorded surveillance
SECURITY equipment;
(7) Enhancing the number and frequency of patrols, including
127.701 Security on existing facilities. waterborne patrols undertaken on the boundaries of the
The operator shall ensure that any security procedure and arrangement restricted areas and within the areas; or
on existing facilities, that were in use when LNG transfer operations (8) Establishing and restricting access to areas adjacent to the
were last conducted, be continued and maintained, or upgraded, restricted areas.
whenever LNG transfer operations are conducted. (f) MARSEC Level 3. In addition to the security measures required for
MARSEC Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility
127.703 Access to the marine transfer area for LNG. owner or operator must ensure the implementation of additional
The operator shall ensure that— security measures, as specified for MARSEC Level 3 in their approved
(a) Access to the marine transfer area for LNG from the shoreside and FSP. These additional security measures may include:
the waterside is limited to— (1) Restricting access to additional areas;

(1) Personnel who work at the waterfront facility handling LNG (2) Prohibiting access to restricted areas, or
including persons assigned for transfer operations, vessel (3) Searching restricted areas as part of a security sweep of all or
personnel, and delivery and service personnel in the course of part of the facility.
their business;
(2) Coast Guard personnel; and 105.265 Security measures for handling cargo.
Security 33 CFR 105
(3) Other persons authorized by the operator; and (a) General. The facility owner or operator must ensure that security
(b) No person is allowed into the marine transfer area for LNG unless measures relating to cargo handling, some of which may have to be
that person is identified by a waterfront facility handling LNG‐issued applied in liaison with the vessel, are implemented in order to:
identification card or other identification card displaying his or her (1) Deter tampering;
photograph, or is an escorted visitor displaying an identifying badge.
108 49
(2) Prevent cargo that is not meant for carriage from being 127.607 Fire main systems.
accepted and stored at the facility without the knowing consent (a) Each marine transfer area for LNG must have a fire main system that
of the facility owner or operator; provides at least two water streams to each part of the LNG transfer
(3) Identify cargo that is approved for loading onto vessels piping and connections, one of which must be from a single length of
interfacing with the facility; hose or from a fire monitor.
(4) Include cargo control procedures at access points to the (b) The fire main must have at least one isolation valve at each branch
facility; connection and at least one isolation valve downstream of each branch
(5) Identify cargo that is accepted for temporary storage in a connection to isolate damaged sections.
restricted area while awaiting loading or pick up; (c) The fire main system must have the capacity to supply—
(6) Restrict the entry of cargo to the facility that does not have a (1) Simultaneously all fire hydrants, standpipes, and fire monitors
confirmed date for loading, as appropriate; in the system; and
(7) Ensure the release of cargo only to the carrier specified in the (2) At a Pitot tube pressure of 618 kilonewtons per square meter
cargo documentation; (75 p.s.i.), the two outlets having the greatest pressure drop
(8) When there are regular or repeated cargo operations with the between the source of water and the hose or monitor nozzle,
same shipper, coordinate security measures with the shipper or when only those two outlets are open.
other responsible party in accordance with an established (d) If the source of water for the fire main system is capable of
agreement and procedure; and supplying a pressure greater than the system's design working pressure, the
(9) Create, update, and maintain a continuous inventory of all system must have at least one pressure relief device.
dangerous goods and hazardous substances from receipt to (e) Each fire hydrant or standpipe must have at least one length of hose
delivery within the facility, giving the location of those dangerous of sufficient length to meet paragraph (a) of this section.
goods and hazardous substances. (f) Each length of hose must—
1
(b) MARSEC Level 1. At MARSEC Level 1, the facility owner or operator (1) Be 1 ⁄2 inches or more in diameter and 30.5 meters (100 feet)
must ensure the implementation of measures to: or less in length;
(1) Unless unsafe to do so, routinely check cargo, cargo transport (2) Be on a hose rack or reel;
units, and cargo storage areas within the facility prior to, and (3) Be connected to the hydrant or standpipe at all times; and
during, cargo handling operations for evidence of tampering; (4) Have a Coast Guard approved combination solid stream and
(2) Check that cargo, containers, or other cargo transport units water spray fire hose nozzle.
entering the facility match the delivery note or equivalent cargo [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88‐049, 60
documentation; FR 39796, Aug. 3, 1995]
(3) Screen vehicles; and
(4) Check seals and other methods used to prevent tampering 127.609 Dry chemical systems.
upon entering the facility and upon storage within the facility. (a) Each marine transfer area for LNG must have a dry chemical system
(c) MARSEC Level 2. In addition to the security measures required for that provides at least two dry chemical discharges to the area
MARSEC Level 1 in this section, at MARSEC Level 2, the facility owner or surrounding the loading arms, one of which must be—
operator must also ensure the implementation of additional security (1) From a monitor; and
measures, as specified for MARSEC Level 2 in the approved FSP. These (2) Actuated and, except for pre‐aimed monitors, controlled from
additional security measures may include: a location other than the monitor location.
(1) Conducting check of cargo, containers or other cargo transport (b) The dry chemical system must have the capacity to supply
units, and cargo storage areas within the facility for evidence of simultaneously or sequentially each hose or monitor in the system for
tampering; 45 seconds.
(2) Intensifying checks, as appropriate, to ensure that only the (c) Each dry chemical hose station must have at least one length of hose
documented cargo enters the facility, is temporarily stored there, that—
and then loaded onto the vessel; (1) Is on a hose rack or reel; and
(3) Intensifying the screening of vehicles; (2) Has a nozzle with a valve that starts and stops the flow of dry
Security 33 CFR 105
(4) Increasing frequency and detail in checking of seals and other chemical.
methods used to prevent tampering; [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88‐049, 60
(5) Coordinating enhanced security measures with the shipper or FR 39796, Aug. 3, 1995]
other responsible party in accordance with an established
agreement and procedures; 127.611 International shore connection.
50 107
(6) First aid procedures for— (6) Increasing the frequency and intensity of visual and physical
(i) Frostbite; inspections; or
(ii) Burns; (7) Limiting the number of locations where dangerous goods and
(iii) Cardio‐pulmonary resuscitation; and hazardous substances, including certain dangerous cargoes, can
(iv) Transporting injured personnel. be stored.
(c) The personnel who received training under paragraphs (a) and (b) of (d) MARSEC Level 3. In addition to the security measures required for
this section receive refresher training in the same subjects at least once MARSEC Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility
every five years. owner or operator must ensure the implementation of additional
security measures, as specified for MARSEC Level 3 in the approved
FIREFIGHTING FSP. These additional security measures may include:
(1) Restricting or suspending cargo movements or operations
127.601 Fire equipment: General. within all or part of the facility or specific vessels;
(2) Being prepared to cooperate with responders and vessels; or
(a) Fire equipment and systems provided in addition to the (3) Verifying the inventory and location of any dangerous goods
requirements in this subpart must meet the requirements of this and hazardous substances, including certain dangerous cargoes,
subpart. held within the facility and their location.
(b) The following must be red or some other conspicuous color and be [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
in locations that are readily accessible: 60541, Oct. 22, 2003]
(1) Hydrants and standpipes.
(2) Hose stations. 105.270 Security measures for delivery of vessel stores and bunkers.
(3) Portable fire extinguishers. (a) General. The facility owner or operator must ensure that security
(4) Fire monitors. measures relating to the delivery of vessel stores and bunkers are
(c) Fire equipment, if applicable, must bear the approval of implemented to:
Underwriters Laboratories, Inc., the Factory Mutual Research Corp., or (1) Check vessel stores for package integrity;
the Coast Guard. (2) Prevent vessel stores from being accepted without inspection;
(3) Deter tampering;
127.603 Portable fire extinguishers. (4) For vessels that routinely use a facility, establish and execute
Each marine transfer area for LNG must have— standing arrangements between the vessel, its suppliers, and a
(a) Portable fire extinguishers that meet 9‐6.1 of NFPA 59A and Chapter facility regarding notification and the timing of deliveries and their
3 of NFPA 10; and documentation; and
(b) At least one portable fire extinguisher in each designated parking (5) Check vessel stores by the following means:
area. (i) Visual examination;
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 (ii) Physical examination;
FR 39796, Aug. 3, 1995] (iii) Detection devices, such as scanners; or
(iv) Canines.
127.605 Emergency outfits. (b) MARSEC Level 1. At MARSEC Level 1, the facility owner or operator
(a) There must be an emergency outfit for each person whose duties must ensure the implementation of measures to:
include fighting fires, but there must be at least two emergency outfits. (1) Screen vessel stores at the rate specified in the approved
Each emergency outfit must include— Facility Security Plan (FSP);
(1) One explosion‐proof flashlight; (2) Require advance notification of vessel stores or bunkers
(2) Boots and gloves of rubber or other electrically nonconducting delivery, including a list of stores, delivery vehicle driver
material; information, and vehicle registration information;
(3) A rigid helmet that protects the head against impact; (3) Screen delivery vehicles at the frequencies specified in the
(4) Water resistant clothing that also protects the body against approved FSP; and
Security 33 CFR 105
fire; and (4) Escort delivery vehicles within the facility at the rate specified
(5) U.S. Bureau of Mines approved self‐contained breathing by the approved FSP.
apparatus. (c) MARSEC Level 2. In addition to the security measures required for
(b) Emergency outfits under paragraph (a) of this section must be in MARSEC Level 1 in this section, at MARSEC Level 2, the facility owner or
locations that are readily accessible and marked for easy recognition. operator must also ensure the implementation of additional security

106 51
measures, as specified for MARSEC Level 2 in the approved FSP. These (1) The equipment continues to meet the applicable
additional security measures may include: requirements in this subpart and in NFPA 59A; and
(1) Detailed screening of vessel stores; (2) Safety is not compromised; and
(2) Detailed screening of all delivery vehicles; (b) Welding is done in accordance with NFPA 51B and NFPA 59A,
(3) Coordinating with vessel personnel to check the order against Chapter 6, Section 6‐3.4.
the delivery note prior to entry to the facility; [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
(4) Ensuring delivery vehicles are escorted within the facility; or FR 39796, Aug. 3, 1995]
In reference to Continuously Monitoring, also review PAC 48‐04 Capability to Continuously Monitor
(5) Restricting or prohibiting the entry of vessel stores that will
not leave the facility within a specified period. 127.407 Testing.
(d) MARSEC Level 3. In addition to the security measures for MARSEC (a) The operator shall pressure test under paragraph (b) of this section
Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility owner and the transfer system, including piping, hoses, and loading arms, and
operator must ensure implementation of additional security measures, verify the set pressure of the safety and relief valves—
as specified for MARSEC Level 3 in the approved FSP. Examples of these (1) After the system or the valves are altered;
additional security measures may include: (2) After the system or the valves are repaired;
(1) Checking all vessel stores more extensively; (3) After any increase in the MAWP; or
(2) Restricting or suspending delivery of vessel stores; or (4) For those components that are not continuously kept at
(3) Refusing to accept vessel stores on the facility. cryogenic temperature, at least once each calendar year, with
intervals between testing not exceeding 15 months.
105.275 Security measures for monitoring. (b) The pressure for the transfer system test under paragraph (a) of this
(a) General. The facility owner or operator must ensure the section must be at 1.1 times the MAWP and be held for a minimum of
implementation of security measures in this section and have the 30 minutes.
capability to continuously monitor, through a combination of lighting,
security guards, waterborne patrols, automatic intrusion‐detection 127.409 Records.
devices, or surveillance equipment, as specified in the approved Facility (a) The operator shall keep on file the following information:
Security Plan (FSP), the: (1) A description of the components tested under §127.407.
(1) Facility and its approaches, on land and water; (2) The date and results of the test under §127.407.
(2) Restricted areas within the facility; and (3) A description of any corrective action taken after the test.
(3) Vessels at the facility and areas surrounding the vessels. (b) The information required by this section must be retained for 24
(b) MARSEC Level 1. At MARSEC Level 1, the facility owner or operator months.
must ensure the security measures in this section are implemented at
all times, including the period from sunset to sunrise and periods of PERSONNEL TRAINING
limited visibility. For each facility, ensure monitoring capability that:
(1) When automatic intrusion‐detection devices are used, 127.501 Applicability.
activates an audible or visual alarm, or both, at a location that is The training required by this subpart must be completed before LNG is
continuously attended or monitored; transferred.
(2) Is able to function continually, including consideration of the
possible effects of weather or of a power disruption; 127.503 Training: General.
(3) Monitors the facility area, including shore and waterside The operator shall ensure that each of the following is met:
access to it; (a) All full‐time employees have training in the following subjects:

(4) Monitors access points, barriers and restricted areas; (1) Basic LNG firefighting procedures.
(5) Monitors access and movements adjacent to vessels using the (2) LNG properties and hazards.
facility, including augmentation of lighting provided by the vessel (b) In addition to the training under paragraph (a) of this section, each
itself; and person assigned for transfer operations has training in the following
(6) Limits lighting effects, such as glare, and their impact on subjects:
Security 33 CFR 105
safety, navigation, and other security activities. (1) The examined Operations Manual and examined Emergency
(c) MARSEC Level 2. In addition to the security measures for MARSEC Manual.
Level 1 in this section, at MARSEC Level 2, the facility owner or operator (2) Advanced LNG firefighting procedures.
must also ensure the implementation of additional security measures, (3) Security violations.
as specified for MARSEC Level 2 in the approved FSP. These additional (4) LNG vessel design and cargo transfer operations.
measures may include: (5) LNG release response procedures.
52 105
(1) Be in continuous communication with the person in charge of (1) Increasing the coverage and intensity of surveillance
transfer operations on the vessel; equipment, including the provision of additional surveillance
(2) Ensure that an inspection of the transfer piping and equipment coverage;
for leaks, frost, defects, and other symptoms of safety and (2) Increasing the frequency of foot, vehicle or waterborne
operational problems is conducted at least once every transfer; patrols;
(3) Ensure that transfer operations are discontinued— (3) Assigning additional security personnel to monitor and patrol;
(i) Before electrical storms or uncontrolled fires are adjacent or
to the marine transfer area for LNG; and (4) Increasing the coverage and intensity of lighting, including the
(ii) As soon as a fire is detected; and provision of additional lighting and coverage.
(4) Ensure that the lighting systems are turned on between sunset (d) MARSEC Level 3. In addition to the security measures for MARSEC
and sunrise. Level 1 and MARSEC Level 2, at MARSEC Level 3, the facility owner or
NOTE: Vessel transfer requirements are published in 46 CFR Part 154. operator must also ensure implementation of additional security
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 measures, as specified for MARSEC Level 3 in the approved FSP. These
FR 39796, Aug. 3, 1995] additional security measures may include:
(1) Switching on all lighting within, or illuminating the vicinity of,
127.321 Release of LNG. the facility;
(a) The operator of the waterfront facility handling LNG shall ensure (2) Switching on all surveillance equipment capable of recording
that— activities within or adjacent to the facility;
(1) No person releases LNG into the navigable waters of the (3) Maximizing the length of time such surveillance equipment
United States; and can continue to record; or
(2) If there is a release of LNG, vessels near the facility are notified (4) Complying with the instructions issued by those responding to
of the release by the activation of the warning alarm. the security incident.
(b) If there is a release of LNG, the person in charge of shoreside [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
transfer operations shall— 60542, Oct. 22, 2003]
(1) Immediately notify the person in charge of cargo transfer on
the vessel of the intent to shutdown; 105.280 Security incident procedures.
(2) Shutdown transfer operations; For each MARSEC Level, the facility owner or operator must ensure
(3) Notify the COTP of the release; and the Facility Security Officer and facility security personnel are able to:
(4) Not resume transfer operations until authorized by the COTP. (a) Respond to security threats or breaches of security and maintain
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 critical facility and vessel‐to‐facility interface operations;
FR 39796, Aug. 3, 1995] (b) Evacuate the facility in case of security threats or breaches of
security;
MAINTENANCE (c) Report security incidents as required in §101.305 of this
subchapter;
127.401 Maintenance: General. (d) Brief all facility personnel on possible threats and the need for
The operator of the waterfront facility handling LNG shall ensure that vigilance, soliciting their assistance in reporting suspicious persons,
the equipment required under this part is maintained in a safe objects, or activities; and
condition so that it does not cause a release or ignition of LNG. (e) Secure non‐critical operations in order to focus response on critical
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 operations.
FR 39796, Aug. 3, 1995]
105.285 Additional requirements‐passenger and ferry facilities.
127.403 Inspections. (a) At all MARSEC Levels, the owner or operator of a passenger or ferry
The operator shall conduct a visual inspection for defects of each facility must ensure, in coordination with a vessel moored at the
pressure‐relief device not capable of being tested, at least once each facility, that the following security measures are implemented in
Security 33 CFR 105
calendar year, with intervals between inspections not exceeding 15 addition to the requirements of this part:
months, and make all repairs in accordance with §127.405. (1) Establish separate areas to segregate unchecked persons and
personal effects from checked persons and personal effects;
127.405 Repairs. (2) Ensure that a defined percentage of vehicles to be loaded
The operator shall ensure that— aboard are screened prior to loading, in accordance with a
(a) Equipment repairs are made so that— MARSEC Directive or other orders issued by the Coast Guard;
104 53
(3) Ensure that all unaccompanied vehicles to be loaded on (f) Ensure that warning signs that warn that LNG is being transferred,
passenger vessels are screened prior to loading; are displayed;
(4) Deny passenger access to secure and restricted areas unless (g) Eliminate all ignition sources in the marine transfer area for LNG;
escorted by authorized facility security personnel; and (h) Ensure that personnel are on duty in accordance with the examined
(5) In a facility with a public access area designated under Operations Manual; and
§105.106, provide sufficient security personnel to monitor all (i) Test the following to determine that they are operable:
persons within the area. (1) The sensing and alarm systems.
In reference to Cruise Ships, also review PAC 35‐04 Cruise Ships, Tenders and Public Access Facilities
In reference to Certain Dangerous Cargo, also review PAC 20‐04 Certain Dangerous Cargo Facilities
(b) At MARSEC Level 2, in addition to the requirements in paragraph (a) (2) The emergency shutdown system.
of this section, the owner or operator of a passenger or ferry facility (3) The communication systems.
with a public access area designated under §105.106 must increase the [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
intensity of monitoring of the public access area. FR 39796, Aug. 3, 1995]
(c) At MARSEC Level 3, in addition to the requirements in paragraph (a)
of this section, the owner or operator of a passenger or ferry facility 127.317 Declaration of inspection.
with a public access area designated under §105.106 must increase the (a) After the preliminary transfer inspection under §127.315 has been
intensity of monitoring and assign additional security personnel to satisfactorily completed, the person in charge of shoreside transfer
monitor the public access area. operations shall ensure that no person transfers LNG until a Declaration
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR of Inspection that meets paragraph (c) of this section is executed and
60542, Oct. 22, 2003; USCG‐2006‐24196, 72 FR 3584, Jan. 25, 2007] signed in duplicate.
(b) The person in charge of shoreside transfer operations shall give one
105.290 Additional requirements—cruise ship terminals. signed copy of the Declaration of Inspection to the person in charge of
At all MARSEC Levels, in coordination with a vessel moored at the transfer operations on the vessel, and shall retain one signed copy at
facility, the facility owner or operator must ensure the following the waterfront facility handling LNG for 30 days after completion of the
security measures: transfer.
(a) Screen all persons, baggage, and personal effects for dangerous (c) Each Declaration of Inspection must contain—
substances and devices; (1) The name of the vessel and the waterfront facility handling
(b) Check the identification of all persons seeking to enter the facility. LNG;
Persons holding a TWIC shall be checked as set forth in this part. For (2) The date and time that transfer operations begin;
persons not holding a TWIC, this check includes confirming the reason (3) A list of the requirements in §127.315 with the initials of the
for boarding by examining passenger tickets, boarding passes, person in charge of shoreside transfer operations after each
government identification or visitor badges, or work orders; requirement, indicating that the requirement is met;
(c) Designate holding, waiting, or embarkation areas within the facility's (4) The signature of the person in charge of shoreside transfer
secure area to segregate screened persons and their personal effects operations and the date and time of signing, indicating that he or
awaiting embarkation from unscreened persons and their personal she is ready to begin transfer operations; and
effects; (5) The signature of each relief person in charge and the date and
(d) Provide additional security personnel to designated holding, waiting, time of each relief.
or embarkation areas within the facility's secure area; and [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
(e) Deny individuals not holding a TWIC access to secure and restricted FR 39796, Aug. 3, 1995]
areas unless escorted.
[USCG‐2006‐24196, 72 FR 3585, Jan. 25, 2007] 127.319 LNG transfer.

During LNG transfer operations, the following must be met:
105.295 Additional requirements‐Certain Dangerous Cargo (CDC) facilities. (a) The operator of the waterfront facility handling LNG shall ensure
(a) At all MARSEC Levels, owners or operators of CDC facilities must that—
ensure the implementation of the following security measures in (1) The marine transfer area for LNG is under the supervision of a
addition to the requirements of this part: person in charge, who has no other assigned duties during the
Security 33 CFR 105
(1) Escort all visitors, contractors, vendors, and other non‐facility transfer operation;
employees at all times while on the facility, if access identification (2) Personnel transferring fuel or oily waste are not involved in
is not provided. Escort provisions do not apply to prearranged LNG transfer; and
cargo deliveries; (3) No vessels are moored outboard of any LNG vessel without the
(2) Control the parking, loading, and unloading of vehicles within a permission of the COTP.
facility; (b) The person in charge of shoreside transfer operations shall—
54 103
In reference to Barges, review PAC 53‐05 Towing Vessels Moving Regulated Barges NOT Carrying CDCs and PAC 10‐09 Barge
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 (3) Require security personnel to record or report their presence
FR 39796, Aug. 3, 1995] at key points during their patrols;
(4) Search unmanned or unmonitored waterfront areas for
127.311 Motor vehicles. dangerous substances and devices prior to a vessel's arrival at the
(a) The operator shall designate and mark parking spaces that— facility; and
(1) Do not block fire lanes; (5) Provide an alternate or independent power source for security
(2) Do not impede any exits; and communications systems.
(3) Are not located in any impounding space; and (b) At MARSEC Level 2, in addition to the requirements for MARSEC
(4) Are not within 15 meters (49.2 feet) of any storage tank or Level 1, owners or operators of CDC facilities must ensure the
loading flange. implementation of the following security measures:
(b) During transfer operations, no person may— (1) Release cargo only in the presence of the Facility Security
(1) Stop or park a motor vehicle in a space that is not designated a Officer (FSO) or a designated representative of the FSO; and
parking space; or (2) Continuously patrol restricted areas.
(2) Refuel any motor vehicle. (c) At MARSEC Level 3, in addition to the requirements for MARSEC
Level 1 and MARSEC Level 2, owners or operators of CDC facilities must
In reference to Barges, for Foreign Barges, review PAC 28‐04 Foreign Barges
127.313 Bulk storage. ensure the facilities are continuously guarded and restricted areas are
(a) The operator shall ensure that only the following flammable patrolled.
materials are stored in the marine transfer area for LNG: [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
(1) LNG. 60542, Oct. 22, 2003]
(2) LPG.
(3) Vessel fuel. 105.296 Additional requirements‐barge fleeting facilities.
(4) Oily waste from vessels. (a) At MARSEC Level 1, in addition to the requirements of this part, an
(5) Solvents, lubricants, paints, and other fuels in the amount used owner or operator of a barge fleeting facility must ensure the
for one day's operations and maintenance. implementation of the following security measures:
(b) Flammable liquids must be stored in accordance with Chapter 4 of (1) Designate one or more restricted areas within the barge
NFPA 30. fleeting facility to handle those barges carrying, in bulk, cargoes
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 regulated by 46 CFR chapter I, subchapters D or O, or Certain
FR 39796, Aug. 3, 1995] Dangerous Cargoes;
(2) Maintain a current list of vessels and cargoes in the designated
127.315 Preliminary transfer inspection. restricted area; and
Before transferring LNG, the person in charge of shoreside transfer (3) Ensure that at least one towing vessel is available to service
operations shall— the fleeting facility for every 100 barges within the facility.
(a) Inspect the transfer piping and equipment to be used during the (4) Control access to the barges once tied to the fleeting area by
transfer and replace any worn or inoperable parts; implementing TWIC as described in §105.255 of this part.
Fleeting Facilities
(b) For each of the vessel's cargo tanks from which cargo will be (b) At MARSEC Level 2, in addition to the requirements of this part and
transferred, note the pressure, temperature, and volume to ensure MARSEC Level 1 requirements, an owner or operator of a barge fleeting
they are safe for transfer; facility must ensure security personnel are assigned to monitor or
(c) Review and agree with the person in charge of cargo transfer on the patrol the designated restricted area within the barge fleeting facility.
vessel to— (c) At MARSEC Level 3, in addition to the requirements of this part and
(1) The sequence of transfer operations; MARSEC Level 2 requirements, an owner or operator of a barge fleeting

(2) The transfer rate; facility must ensure that both land and waterside perimeters of the
(3) The duties, location, and watches of each person assigned for designated restricted area within the barge fleeting facility are
transfer operations; and continuously monitored or patrolled.
(4) Emergency procedures from the examined Emergency [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
Security 33 CFR 105
Manual; 60542, Oct. 22, 2003; USCG‐2006‐24196, 72 FR 3585, Jan. 25, 2007]
(d) Ensure that transfer connections allow the vessel to move to the
limits of its moorings without placing strain on the loading arm or 33 CFR 105 Subpart C—Facility Security Assessment (FSA)
transfer piping system;
(e) Ensure that each part of the transfer system is aligned to allow the 105.300 General.
flow of LNG to the desired location;
102 55
In reference to vulnerability assessments, also review NVIC 11‐02 CH 1 Recommended security guidelines for facilities and NVIC
09‐02 CH 4 Guidelines for the Area Maritime Security Committees and Area Maritime Security Plans Required for U.S. Ports.
(a) The Facility Security Assessment (FSA) is a written document that is (a) A description of the transfer system including mooring areas,
based on the collection of background information, the completion of transfer connections, control rooms, and diagrams of the piping and
an on‐scene survey and an analysis of that information. electrical systems;
(b) A common FSA may be conducted for more than one similar facility (b) The duties of each person assigned for transfer operations;
provided the FSA reflects any facility‐specific characteristics that are (c) The maximum relief valve setting or maximum allowable working
unique. pressure of the transfer system;
(c) Third parties may be used in any aspect of the FSA if they have the (d) The facility telephone numbers of facility supervisors, persons in
appropriate skills and if the Facility Security Officer (FSO) reviews and charge of shoreside transfer operations, personnel on watch in the
accepts their work. marine transfer area for LNG, and security personnel;
(d) Those involved in a FSA must be able to draw upon expert (e) A description of the security systems for the marine transfer area for
assistance in the following areas, as appropriate: LNG;
(1) Knowledge of current security threats and patterns; (f) The procedures for—
(2) Recognition and detection of dangerous substances and (1) Transfer operations including gauging, cool down, pumping,
devices; venting, and shutdown;
(3) Recognition of characteristics and behavioral patterns of (2) Transfer operations start‐up and shutdown;
persons who are likely to threaten security; (3) Security violations; and
(4) Techniques used to circumvent security measures; (4) The communications systems; and
(5) Methods used to cause a security incident; (g) A description of the training programs established under §127.503.
(6) Effects of dangerous substances and devices on structures and [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
facility services; FR 39796, Aug. 3, 1995]
(7) Facility security requirements;
(8) Facility and vessel interface business practices; 127.307 Emergency Manual.
(9) Contingency planning, emergency preparedness, and Each Emergency Manual must contain—
response; (a) LNG release response procedures, including contacting local
(10) Physical security requirements; response organizations;
(11) Radio and telecommunications systems, including computer (b) Emergency shutdown procedures;
systems and networks; (c) A description of the fire equipment and systems and their operating
(12) Marine or civil engineering; and procedures;
(13) Facility and vessel operations. (d) A description of the emergency lighting and emergency power
systems;
105.305 Facility Security Assessment (FSA) requirements. (e) The telephone numbers of local Coast Guard units, hospitals, fire
(a) Background. The facility owner or operator must ensure that the departments, police departments, and other emergency response
following background information, if applicable, is provided to the organizations;
person or persons who will conduct the assessment: (f) If the waterfront facility handling LNG has personnel shelters, the
(1) The general layout of the facility, including: location of and provisions in each shelter;
(i) The location of each active and inactive access point to (g) First aid procedures and if there are first aid stations, the locations
the facility; of each station; and
(ii) The number, reliability, and security duties of facility (h) Emergency procedures for mooring and unmooring a vessel.
personnel; [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
(iii) Security doors, barriers, and lighting; FR 39796, Aug. 3, 1995]

(iv) The location of restricted areas;
(v) The emergency and stand‐by equipment available to 127.309 Operations Manual and Emergency Manual: Use.
maintain essential services; The operator shall ensure that—
(vi) The maintenance equipment, cargo spaces, storage (a) LNG transfer operations are not conducted unless the waterfront
Security 33 CFR 105
areas, and unaccompanied baggage storage; facility handling LNG has an examined Operations Manual and
(vii) Location of escape and evacuation routes and assembly examined Emergency Manual;
stations; and (b) Each transfer operation is conducted in accordance with the
(viii) Existing security and safety equipment for protection of examined Operations Manual; and
personnel and visitors; (c) Each emergency response is in accordance with the examined
(2) Response procedures for fire or other emergency conditions; Emergency Manual.
56 101
(b) Is activated automatically when the fixed sensors under §127.201(b) (3) Procedures for monitoring facility and vessel personnel,
In reference to Private Security, also review PAC 37‐04 Screening Guidance to Private Security Firms and Consultants
measure LNG concentrations exceeding 40% of the lower flammable vendors, repair technicians, and dock workers;
limit. (4) Existing contracts with private security companies and existing
agreements with local or municipal agencies;
127.207 Warning alarms. (5) Procedures for controlling keys and other access prevention
(a) The marine transfer area for LNG must have a rotating or flashing systems;
amber light with a minimum effective flash intensity, in the horizontal (6) Procedures for cargo and vessel stores operations;
plane, of 5000 candelas. At least 50% of the required effective flash (7) Response capability to security incidents;
intensity must be maintained in all directions from 1.0 degree above to (8) Threat assessments, including the purpose and methodology
1.0 degree below the horizontal plane. of the assessment, for the port in which the facility is located or at
(b) The marine transfer area for LNG must have a siren with a minimum which passengers embark or disembark;
1
⁄3 ‐octave band sound pressure level at l meter of 125 decibels (9) Previous reports on security needs; and
referenced to 0.0002 microbars. The siren must be located so that the (10) Any other existing security procedures and systems,
sound signal produced is audible over 360 degrees in a horizontal equipment, communications, and facility personnel.
plane. (b) On‐scene survey. The facility owner or operator must ensure that an
(c) Each light and siren must be located so that the warning alarm is not on‐scene survey of each facility is conducted. The on‐scene survey
obstructed for a distance of 1.6 km (1 mile) in all directions. examines and evaluates existing facility protective measures,
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 procedures, and operations to verify or collect the information required
FR 39796, Aug. 3, 1995] in paragraph (a) of this section.
(c) Analysis and recommendations. In conducting the FSA, the facility
OPERATIONS owner or operator must ensure that the FSO analyzes the facility
background information and the on‐scene survey, and considering the
127.301 Persons in charge of shoreside transfer operations: Qualifications requirements of this part, provides recommendations to establish and
and certification. prioritize the security measures that should be included in the FSP. The
(a) No person may serve, and the operator of the waterfront facility analysis must consider:
handling LNG may not use the services of any person, as a person in (1) Each vulnerability found during the on‐scene survey including
charge of shoreside transfer operations, unless that person— but not limited to:
(1) Has at least 48 hours of LNG transfer experience; (i) Waterside and shore‐side access to the facility and vessel
(2) Knows the hazards of LNG; berthing at the facility;
(3) Knows the rules of this subpart; and (ii) Structural integrity of the piers, facilities, and associated
(4) Knows the procedures in the examined Operations Manual structures;
and the examined Emergency Manual. (iii) Existing security measures and procedures, including
(b) Before a person in charge of shoreside transfer operations identification systems;
supervises a transfer, the operator shall certify in writing that the (iv) Existing security measures and procedures relating to
criteria in paragraph (a) of this section are met. The operator shall services and utilities;
maintain a copy of each current certification available for inspection at (v) Measures to protect radio and telecommunication
the waterfront facility handling LNG. equipment, including computer systems and networks;
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 (vi) Adjacent areas that may be exploited during or for an
FR 39796, Aug. 3, 1995] attack;
(vii) Areas that may, if damaged or used for illicit
127.303 Compliance with suspension order. observation, pose a risk to people, property, or operations
If an order to suspend is given to the operator or owner of the within the facility;
waterfront facility handling LNG, no LNG transfer operations may be (viii) Existing agreements with private security companies
conducted at the facility until the order is withdrawn by the COTP. providing waterside and shore‐side security services;
Security 33 CFR 105
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 (ix) Any conflicting policies between safety and security
FR 39796, Aug. 3, 1995] measures and procedures;
(x) Any conflicting facility operations and security duty
127.305 Operations Manual. assignments;
Each Operations Manual must contain— (xi) Any enforcement and personnel constraints;
100 57
(xii) Any deficiencies identified during daily operations or (b) Each ship‐to‐shore communication system must be a dedicated
training and drills; and system that allows voice communication between the person in charge
(xiii) Any deficiencies identified following security incidents of transfer operations on the vessel, the person in charge of shoreside
or alerts, the report of security concerns, the exercise of transfer operations, and personnel in the control room.
control measures, or audits; [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
(2) Possible security threats, including but not limited to: FR 39795, Aug. 3, 1995]
(i) Damage to or destruction of the facility or of a vessel
moored at the facility; 127.113 Warning signs.
(ii) Hijacking or seizure of a vessel moored at the facility or (a) The marine transfer area for LNG must have warning signs that—
of persons on board; (1) Meet paragraph (b) of this section;
(iii) Tampering with cargo, essential equipment or systems, (2) Can be seen from the shore and the water; and
or stores of a vessel moored at the facility; (3) Have the following text:
(iv) Unauthorized access or use including the presence of Warning
stowaways; Dangerous Cargo
(v) Smuggling dangerous substances and devices to the No Visitors
facility; No Smoking
(vi) Use of a vessel moored at the facility to carry those No Open Lights
intending to cause a security incident and their equipment; (b) Each letter in the words on the sign must be—
(vii) Use of a vessel moored at the facility as a weapon or as (1) Block style;
a means to cause damage or destruction; (2) Black on a white background; and
(viii) Impact on the facility and its operations due to a (3) 7.6 centimeters (3 inches) high.
blockage of entrances, locks, and approaches; and [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
(ix) Use of the facility as a transfer point for nuclear, FR 39796, Aug. 3, 1995]
biological, radiological, explosive, or chemical weapons;
(3) Threat assessments by Government agencies; EQUIPMENT
(4) Vulnerabilities, including human factors, in the facility's
infrastructure, policies and procedures; 127.201 Sensing and alarm systems.
(5) Any particular aspects of the facility, including the vessels (a) Fixed sensors must have audio and visual alarms in the control room
using the facility, which make it likely to be the target of an attack; and audio alarms nearby.
(6) Likely consequences in terms of loss of life, damage to (b) Fixed sensors that continuously monitor for LNG vapors must—
property, and economic disruption, including disruption to (1) Be in each enclosed area where vapor or gas may accumulate;

transportation systems, of an attack on or at the facility; and and
(7) Locations where access restrictions or prohibitions will be (2) Meet Section 9‐4 of NFPA 59A.
applied for each MARSEC Level. (c) Fixed sensors that continuously monitor for flame, heat, or products
(d) FSA report. of combustion must—
(1) The facility owner or operator must ensure that a written FSA (1) Be in each enclosed or covered Class I, Division 1, hazardous
report is prepared and included as part of the FSP. The report location defined in Section 500‐5(a) of NFPA 70 and each area in
must contain: which flammable or combustible material is stored; and
(i) A summary of how the on‐scene survey was conducted; (2) Meet Section 9‐4 of NFPA 59A.
(ii) A description of existing security measures, including
inspection, control and monitoring equipment, personnel 127.203 Portable gas detectors.
identification documents and communication, alarm, The marine transfer area for LNG must have at least two portable gas
lighting, access control, and similar systems; detectors capable of measuring 0‐100% of the lower flammable limit of
(iii) A description of each vulnerability found during the on‐ methane.
Security 33 CFR 105
scene survey; [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
(iv) A description of security measures that could be used to FR 39796, Aug. 3, 1995]
address each vulnerability;
(v) A list of the key facility operations that are important to 127.205 Emergency shutdown.
protect; and Each transfer system must have an emergency shutdown system that—
(a) Can be activated manually; and
58 99
(vi) A list of identified weaknesses, including human factors,
127.105 Layout and spacing of marine transfer area for LNG. in the infrastructure, policies, and procedures of the facility.
(a) LNG impounding spaces must be located so that the heat flux from a (2) A FSA report must describe the following elements within the
fire over the impounding spaces does not cause structural damage to facility:
an LNG vessel moored or berthed at the waterfront facility handling (i) Physical security;
LNG. (ii) Structural integrity;
(b) Each LNG loading flange must be located at least 300 meters (984.3 (iii) Personnel protection systems;
feet) from the following which are primarily intended for the use of the (iv) Procedural policies;
general public or railways: (v) Radio and telecommunication systems, including
(1) Each bridge crossing a navigable waterway. computer systems and networks;
(2) Each entrance to any tunnel under a navigable waterway. (vi) Relevant transportation infrastructure; and
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 (vii) Utilities.
FR 39796, Aug. 3, 1995] (3) The FSA report must list the persons, activities, services, and
operations that are important to protect, in each of the following
127.107 Electrical power systems. categories:
(a) The electrical power system must have a power source and a (i) Facility personnel;
separate emergency power source, so that failure of one source does (ii) Passengers, visitors, vendors, repair technicians, vessel
not affect the capability of the other source. The system must meet the personnel, etc.;
National Electrical Code, NFPA 70. (iii) Capacity to maintain emergency response;
(b) The emergency power source must provide enough power for the (iv) Cargo, particularly dangerous goods and hazardous
operation of the— substances;
(1) Emergency shutdown system; (v) Delivery of vessel stores;
(2) Communications equipment; (vi) Any facility security communication and surveillance
(3) Firefighting equipment; and systems; and
(4) Emergency lighting. (vii) Any other facility security systems, if any.
(c) If an auxiliary generator is used as an emergency power source, it (4) The FSA report must account for any vulnerabilities in the
must meet Section 700‐12 of NFPA 70. following areas:
(i) Conflicts between safety and security measures;
127.109 Lighting systems. (ii) Conflicts between duties and security assignments;
(a) The marine transfer area for LNG must have a lighting system and (iii) The impact of watch‐keeping duties and risk of fatigue
separate emergency lighting. on facility personnel alertness and performance;
(b) All outdoor lighting must be located or shielded so that it is not (iv) Security training deficiencies; and
confused with any aids to navigation and does not interfere with (v) Security equipment and systems, including
navigation on the adjacent waterways. communication systems.
(c) The lighting system must provide an average illumination on a (5) The FSA report must discuss and evaluate key facility measures
horizontal plane one meter (3.3 feet) above the deck that is— and operations, including:
(1) 54 lux (five foot‐candles) at any loading flange; and (i) Ensuring performance of all security duties;
(2) 11 lux (one foot‐candle) at each work area. (ii) Controlling access to the facility, through the use of
(d) The emergency lighting must provide lighting for the operation of identification systems or otherwise;
the— (iii) Controlling the embarkation of vessel personnel and
(1) Emergency shutdown system; other persons and their effects (including personal effects
(2) Communications equipment; and and baggage whether accompanied or unaccompanied);
(3) Firefighting equipment. (iv) Procedures for the handling of cargo and the delivery of
[CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60 vessel stores;
Security 33 CFR 105
FR 39795, Aug. 3, 1995] (v) Monitoring restricted areas to ensure that only
authorized persons have access;
127.111 Communications systems. (vi) Monitoring the facility and areas adjacent to the pier;
(a) The marine transfer area for LNG must have a ship‐to‐shore and
communication system and a separate emergency ship‐to‐shore (vii) The ready availability of security communications,
communication system. information, and equipment.
98 59
In reference to submissions of plans and TWIC, also review NVIC 03‐03 CH 2 Implementation guidance for the regulations
In reference to LNG, also review NVIC 05‐08 Guidance Related to Waterfront Liquid Natural Gas (LNG) Facilities
In reference to LNG and Oil, also review PAC 57‐05 Exceptions to Part 105 Applicability for Oil and Natural Gas
(e) The FSA, FSA report, and FSP must be protected from unauthorized
access or disclosure. 126.35 Primary responsibility.
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR Nothing contained in the rules, regulations, conditions, and
60542, Oct. 22, 2003] designations in this part shall be construed as relieving the masters,
owners, operators, and agents of vessels, docks, piers, wharves, or
105.310 Submission requirements. other waterfront facilities from their primary responsibility for the
(a) A completed FSA report must be submitted with the Facility Security security of such vessels, docks, piers, wharves, or waterfront facilities.
Plan required in §105.410 of this part. [CGFR 51‐37, 16 FR 8680, Aug. 28, 1951]
(b) A facility owner or operator may generate and submit a report that
contains the Facility Security Assessment for more than one facility
subject to this part, to the extent that they share similarities in design
and operations, if authorized and approved by the cognizant COTP. 126.37 Separability.
mandated by the Maritime Transportation Security Act of 2002 (MTSA) for Facilities.
(c) The FSA must be reviewed and validated, and the FSA report must If any provision of the rules, regulations, conditions, or designations
be updated each time the FSP is submitted for reapproval or revisions. contained in this part or the application of such provision to any
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR person, waterfront facility, or circumstances shall be held invalid, the
60542, Oct. 22, 2003] validity of the remainder of the rules, regulations, conditions, or
designations contained in this part and applicability of such provision to
33 CFR 105 Subpart D—Facility Security Plan (FSP) other persons, waterfront facilities, or circumstances, shall not be
affected thereby. [CGFR 51‐37, 16 FR 8680, Aug. 28, 1951]
105.400 General.
(a) The Facility Security Officer (FSO) must ensure a Facility Security 33 CFR 127—Waterfront Facilities Handling Liquefied Natural Gas
Plan (FSP) is developed and implemented for each facility for which he
or she is designated as FSO. The FSP: 127.101 Design and construction: General.
(1) Must identify the FSO by name and position, and provide 24‐ The marine transfer area for LNG must meet the following criteria in
hour contact information; NFPA 59A:
(2) Must be written in English; (a) Chapter 2, Sections 2‐1.2 and 2‐3.
(3) Must address each vulnerability identified in the Facility (b) Chapter 4, Section 4‐1.3.
Security Assessment (FSA); (c) Chapter 6.
(4) Must describe security measures for each MARSEC Level; and (d) Chapter 7, Sections 7‐6 and 7‐7.
(5) May cover more than one facility to the extent that they share (e) Chapter 8, except Sections 8‐3, 8‐5 and 8‐7.2.
similarities in design and operations, if authorized and approved [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88‐049, 60
by the cognizant COTP. FR 39795, Aug. 3, 1995]
(b) The FSP must be submitted for approval to the cognizant COTP in a
Facilities
written or electronic format. Information for submitting the FSP 127.103 Piers and wharves.
electronically can be found at https://homeport.uscg.mil/cgi‐ (a) If the waterfront facility handling LNG is in a region subject to
bin/st/portal/uscg_docs earthquakes, the piers and wharves must be designed to resist

/MyCG/Editorial/20090220/FSP_Submissi_ earthquake forces.
FAQ05DEC.pdf?id=00388e15db7e7bf4b1fc3 (b) Substructures, except moorings and breasting dolphins, that
556059dac7c3e063b57&user_id=c5535d249 support or are within 5 meters (16.4 feet) of any pipe or equipment

7d5d673ff261157e034a1ea. containing LNG, or are within 15 meters (49.2 feet) of a loading flange,
(c) The FSP is sensitive security information and must be protected in must—
accordance with 49 CFR part 1520. (1) Be made of concrete or steel; and
(d) If the FSP is kept in an electronic format, procedures must be in (2) Have a fire endurance rating of not less than two hours.
place to prevent its unauthorized deletion, destruction, or amendment. (c) LNG or LPG storage tanks must have the minimum volume necessary
Security 33 CFR 105
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR for—
60542, Oct. 22, 2003; USCG‐2013‐0397, 78 FR 39173, July 1, 2013] (1) Surge protection;
(2) Pump suction supply; or
105.405 Format and content of the Facility Security Plan (FSP). (3) Other process needs.
(a) A facility owner or operator must ensure that the FSP consists of the [CGD 78‐038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88‐049, 60
individual sections listed in this paragraph (a). If the FSP does not follow FR 39796, Aug. 3, 1995]
60 97
(c) Before conducting welding or hotwork, flammable vapors, liquids, or the order as it appears in the list, the facility owner or operator must
solids must be completely removed from any container, pipe, or ensure that the FSP contains an index identifying the location of each of
transfer line being worked on. the following sections:
(d) Before conducting welding or hotwork on tanks, tanks used for (1) Security administration and organization of the facility;
storage of flammable or combustible substances must be tested and (2) Personnel training;
certified gas free. (3) Drills and exercises;
(e) All welding and hotwork must be conducted according to NFPA 51B. (4) Records and documentation;
(Incorporated by reference, see §126.5.) (5) Response to change in MARSEC Level;
(f) Welding or hotwork is prohibited during gas freeing operations (6) Procedures for interfacing with vessels;
within 30.5 meters (100 feet) of bulk cargo operations involving (7) Declaration of Security (DoS);
flammable or combustible materials, within 30.5 meters (100 feet) of (8) Communications;
fueling operations, within 30.5 meters (100 feet) of explosives, or (9) Security systems and equipment maintenance;
within 15.25 meters (50 feet) of other hazardous materials. (10) Security measures for access control, including designated
(g) If the welding or hotwork is on the boundary of a compartment (i.e., public access areas;
bulkhead, wall, or deck), a fire watch, in addition to that called for in (11) Security measures for restricted areas;
NFPA 51B, must be stationed in the adjoining compartment. (12) Security measures for handling cargo;
(h) Personnel on fire watch must have no other duties except to watch (13) Security measures for delivery of vessel stores and bunkers;
for the presence of fire and to prevent the development of hazardous (14) Security measures for monitoring;
conditions. (15) Security incident procedures;
(i) All safety precautions in relation to purging, inerting, or venting for (16) Audits and security plan amendments;
all hotwork on containers must be followed. (17) Facility Security Assessment (FSA) report; and
(j) All local laws and ordinances must be followed. (18) Facility Vulnerability and Security Measures Summary (Form
(k) If a fire or other hazard occurs, all cutting, welding, or other hotwork CG‐6025) in appendix A to part 105‐Facility Vulnerability and
equipment must be shut down. Security Measures Summary (CG‐6025).
[USCG‐1998‐4302, 68 FR 55442, Sept. 26, 2003] (b) The FSP must describe in detail how the requirements of subpart B
of this part will be met. FSPs that have been approved by the Coast
126.31 Termination or suspension of general permit. Guard prior to March 26, 2007, do not need to be amended to describe
The Captain of the Port is hereby authorized to terminate or to suspend their TWIC procedures until the next regularly scheduled resubmission
the general permit granted by §126.27 in respect to any particular of the FSP.
designated waterfront facility whenever he deems that the security or (c) The Facility Vulnerability and Security Measures Summary (Form CG‐
safety of the port or vessels or waterfront facilities therein so requires. 6025) must be completed using information in the FSA concerning
Confirmation of such termination or suspension shall be given to the identified vulnerabilities and information in the FSP concerning security
permittee in writing. After such termination, the general permit may be measures in mitigation of these vulnerabilities.
revived by the District Commander with respect to such particular [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended by USCG‐
waterfront facility upon a finding by him that the cause of termination 2006‐24196, 72 FR 3585, Jan. 25, 2007]
no longer exists and is unlikely to recur. After such suspension, the
general permit shall be revived by the Captain of the Port with respect 105.410 Submission and approval.
to such particular waterfront facility when the cause of suspension no (a) On or before December 31, 2003, the owner or operator of each
longer exists, and he shall so advise the permittee in writing. facility currently in operation must either:
[CGFR 51‐37, 16 FR 8680, Aug. 28, 1951, as amended by CGFR 69‐89, 34 (1) Submit one copy of their Facility Security Plan (FSP) for review
FR 17479, Oct. 29, 1969] and approval to the cognizant COTP and a letter certifying that
the FSP meets applicable requirements of this part; or
126.33 Penalties for handling dangerous cargo without permit. (2) If intending to operate under an Approved Alternative Security
Handling, storing, stowing, loading, discharging, or transporting any Program, a letter signed by the facility owner or operator stating
Security 33 CFR 105
dangerous cargo covered by §126.27 under circumstances not covered which approved Alternative Security Program the owner or
by the general permit granted in §126.27 or when such general permit operator intends to use.
is not in force will subject persons responsible therefore to the civil or (b) Owners or operators of facilities not in service on or before
criminal penalties provided in Section 13 of the Ports and Waterways December 31, 2003, must comply with the requirements in paragraph
Safety Act, as amended (33 U.S.C. sec. 1232). (a) of this section 60 days prior to beginning operations or by December
[CGD 78‐023, 44 FR 4644, Jan. 22, 1979] 31, 2003, whichever is later.
96 61
(c) The cognizant COTP will examine each submission for compliance (8) Open drains, traps, pits or pockets which could be filled with
with this part and either: molten ammonium nitrate if a fire occurred (and thus become
(1) Approve it and specify any conditions of approval, returning to potential detonators for the storage piles) must be eliminated or
the submitter a letter stating its acceptance and any conditions; plugged.
(2) Return it for revision, returning a copy to the submitter with NOTE: See 49 CFR 176.415 for permit requirements for nitro carbo
brief descriptions of the required revisions; or nitrate and certain ammonium nitrates.
(3) Disapprove it, returning a copy to the submitter with a brief [CGD 78‐023, 44 FR 4644, Jan. 22, 1979]
statement of the reasons for disapproval.
(d) An FSP may be submitted and approved to cover more than one 126.29 Supervision and control of dangerous cargo.
facility where they share similarities in design and operations, if (a) Authority. The Captain of the Port is authorized to require that any
authorized and approved by each cognizant COTP. transaction of handling, storing, stowing, loading, discharging, or
(e) Each facility owner or operator that submits one FSP to cover two or transporting the dangerous cargo covered by this subchapter shall be
more facilities of similar design and operation must address facility‐ undertaken and continued only under the immediate supervision and
specific information that includes the design and operational control of the Captain of the Port or his duly authorized representative.
characteristics of each facility and must complete a separate Facility In case the Captain of the Port exercises such authority, all directions,
Vulnerability and Security Measures Summary (Form CG‐6025), in instructions, and orders of the Captain of the Port or his representative,
Appendix A to Part 105—Facility Vulnerability and Security Measures not inconsistent with this part, with respect to such handling, storing,
Summary (CG‐6025), for each facility covered by the plan. stowing, loading, discharging, and transporting; with respect to the
(f) A FSP that is approved by the cognizant COTP is valid for five years operation of the waterfront facility; with respect to vessels handling,
from the date of its approval. stowing, loading, or discharging of dangerous cargo at anchorages
[USCG‐2003‐14732, 68 FR 39322, July 1, 2003; 68 FR 41916, July 16, when the operations are under the immediate control and supervision
2003, as amended at 68 FR 60542, Oct. 22, 2003; USCG‐2004‐19963, 70 of the Captain of the Port or his duly authorized representative; with
FR 74669, Dec. 16, 2005; USCG‐2013‐0397, 78 FR 39173, July 1, 2013] respect to the ingress and egress of persons, articles, and things and to
their presence on the waterfront facility or vessel; and with respect to
105.415 Amendment and audit. vessels approaching, moored at, and departing from the waterfront
(a) Amendments. facility, shall be promptly obeyed.
(1) Amendments to a Facility Security Plan (FSP) that is approved (b) Reporting discharge of dangerous liquid commodities into the
by the cognizant COTP may be initiated by: waters of the United States. To enhance the safety of the port and to
(i) The facility owner or operator; or protect vessels, their cargo, and waterfront facilities therein, the
(ii) The cognizant COTP upon a determination that an discharge into the navigable waters of the United States of petroleum
amendment is needed to maintain the facility's security. The products, petroleum byproducts or other dangerous liquid commodities
cognizant COTP, who will give the facility owner or operator which may create a hazard or toxic condition in the port area will be
written notice and request that the facility owner or immediately reported to the Captain of the Port or District Commander
operator propose amendments addressing any matters by the owner or master of the vessel from which the discharge
specified in the notice. The facility owner or operator will occurred, or the owner or operator of a waterfront facility from which
have at least 60 days to submit its proposed amendments. the discharge occurred.
Until amendments are approved, the facility owner or [CGFR 69‐89, 34 FR 17478, Oct. 29, 1969]
operator shall ensure temporary security measures are
implemented to the satisfaction of the COTP. 126.30 What are the conditions for conducting welding and hotwork?
(2) Proposed amendments must be submitted to the cognizant (a) The facility operator must ensure that all welding or hotwork
COTP. If initiated by the facility owner or operator, the proposed conducted at the facility meets the requirements of this section. Each
amendment must be submitted at least 30 days before the operator of a vessel moored to the facility must ensure that all welding
amendment is to take effect unless the cognizant COTP allows a or hotwork conducted on the vessel meets the requirements of this
shorter period. The cognizant COTP will approve or disapprove section.
Security 33 CFR 105
the proposed amendment in accordance with §105.410 of this (b) The COTP may require an operator of a facility or of a vessel moored
subpart. at the facility to notify the COTP before conducting welding or hotwork.
(3) Nothing in this section should be construed as limiting the Regardless of whether or not the COTP required notice, the facility
facility owner or operator from the timely implementation of such operator must notify the COTP before conducting welding or hotwork
additional security measures not enumerated in the approved FSP on a vessel when containerized dangerous cargo is located within the
as necessary to address exigent security situations. In such cases, distances listed in paragraph (f) of this section.
62 95
(i) Corrosive liquids (Class 8) and liquid oxidizers (Division 5.1) must be the owner or operator must notify the cognizant COTP by the
handled and stored so that, in the event of a leak from their packaging, most rapid means practicable as to the nature of the additional
they would not come in contact with organic materials. measures, the circumstances that prompted these additional
(j) Dangerous cargo stored on the facility must be arranged in a manner measures, and the period of time these additional measures are
that retards the spread of fire, such as by interspersing dangerous cargo expected to be in place.
with inert or fire retardant material. (4) If there is a change in the owner or operator, the Facility
In reference to caustic soda, also review PAC 33‐04 Caustic Soda Solution.
(k) Dangerous cargo stored on the facility, but not intended for use on Security Officer (FSO) must amend the FSP to include the name
the facility, must be packaged, marked, and labeled according to 49 CFR and contact information of the new facility owner or operator and
parts 171 through 180, as if the cargo was in transportation. submit the affected portion of the FSP for review and approval in
(l) Class 7 (Radioactive) material must be stored as specified in 49 CFR accordance with §105.410 if this subpart.
173.447. (b) Audits.
[CGD 78‐023, 44 FR 4643, Jan. 22, 1979, as amended by CGD 75‐238, 44 (1) The FSO must ensure an audit of the FSP is performed
FR 63676, Nov. 5, 1979; CGD 75‐238, 45 FR 57394, Aug. 28, 1980; CGD annually, beginning no later than one year from the initial date of
92‐050, 59 FR 39965, Aug. 5, 1994; USCG‐1998‐4302, 68 FR 55442, approval, and attach a letter to the FSP certifying that the FSP
Sept. 26, 2003] meets the applicable requirements of this part.
(2) The FSP must be audited if there is a change in the facility's
126.28 Ammonium nitrate, ammonium nitrate fertilizers, fertilizer ownership or operator, or if there have been modifications to the
mixtures, or nitro carbo nitrate; general provisions. facility, including but not limited to physical structure, emergency
(a) When any item of ammonium nitrate, ammonium nitrate fertilizers, response procedures, security measures, or operations.
fertilizer mixtures, or nitro carbo nitrate, described and defined as an (3) Auditing the FSP as a result of modifications to the facility may
oxidizer by the regulations of 49 CFR part 173 is handled, stored, be limited to those sections of the FSP affected by the facility
stowed, loaded, discharged or transported on a waterfront facility, the modifications.
following provisions shall apply: (4) Unless impracticable due to the size and nature of the
(1) All outside containers shall be marked with the proper company or the facility, personnel conducting internal audits of
shipping name of the nitrate packed within the container. the security measures specified in the FSP or evaluating its
(2) The building on a waterfront facility used for storage of any of implementation must:
these materials shall be of such construction as to afford good (i) Have knowledge of methods for conducting audits and
ventilation. inspections, and security, control, and monitoring
(3) Storage of any of these materials shall be at a safe distance techniques;
from electric wiring, steam pipes, radiators or any heating (ii) Not have regularly assigned security duties; and
mechanism. (iii) Be independent of any security measures being audited.
(4) These materials shall be separated by a fire resistant wall or by (5) If the results of an audit require amendment of either the FSA
a distance of at least 30 feet from organic materials or other or FSP, the FSO must submit, in accordance with §105.410 of this
chemicals and substances which could cause contamination such subpart, the amendments to the cognizant COTP for review and
as flammable liquids, combustible liquids, corrosive liquids, approval no later than 30 days after completion of the audit and a
chlorates, permanganates, finely divided metals, caustic soda, letter certifying that the amended FSP meets the applicable
charcoal, sulfur, cotton, coal, fats, fish oils or vegetable oils. requirements of this part.
(5) Storage of any of these materials shall be in a clean area upon [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR
clean wood dunnage, or on pallets over a clean floor. In the case 60542, Oct. 22, 2003]
of a concrete floor, storage may be made directly on the floor if it
is first covered with a moisture barrier such as a polyethylene
sheet or asphaltic laminated paper.
(6) Any spilled material shall be promptly and thoroughly cleaned
up and removed from the waterfront facility. If any spilled
Security 33 CFR 105
material has remained in contact with a wooden floor for any
length of time the floor shall be scrubbed with water and all
spilled material shall be thoroughly dissolved and flushed away.
(7) An abundance of water for firefighting shall be readily
available.
94 63
Appendix A to Part 105—Facility Vulnerability and Security Measures A general permit is hereby issued for the handling, storing, stowing,
Summary (Form CG‐6025) loading, discharging or transporting of dangerous cargo (other than
designated dangerous cargo) in bulk, portable tanks, containers, or
packagings, at designated waterfront facilities, conditioned upon the
observance and fulfillment of the following:
(a) The conditions set forth in §126.15 shall at all times be strictly
observed.
(b) You must notify the COTP before you handle, store, stow, load,
discharge, or transport, in the net weight amounts specified, the
following dangerous cargo, except when contained within transport
units or railroad or highway vehicles being transported across or on the
waterfront facility solely for transfer to or from a railroad‐car ferry,
highway‐vehicle ferry, or carfloat:
(1) Class 1, Division 1.3 and Division 1.5 (Explosive) materials, with
a net explosive quantity in excess of 36,400 kg (40 net tons) at any
one time.
(2) Class 2, Division 2.1 (Flammable Gas) materials in bulk
packaging; or Division 2.3 (Poison Gas) materials in excess of
72,800 kg (80 net tons) at any one time.
(3) A Class 7 (Radioactive) material in a highway route controlled
quantity, as defined in 49 CFR 173.403.
(4) Flammable solids or oxidizers, in excess of 100 net tons at any
one time.
(5) Flammable gases, in excess of 10 net tons at any one time.
(6) Poisons (Class A).
(7) A bulk shipment of a cargo of particular hazard.
(c) No Class 1 (explosive) materials (as defined in 49 CFR 173.50) or
Security 33 CFR 105 Appendix A Form CG‐6025
other dangerous cargoes prohibited from, or not permitted for,
transportation by 46 CFR part 148 or 49 CFR parts 171 through 179 may
be present on the waterfront facility.
(d) Break‐bulk dangerous cargo must be segregated according to 49 CFR
176.83(a) through (c). No separation is required for break‐bulk
dangerous cargo in limited‐quantity packaging.
(e) Transport units and portable tanks containing dangerous cargo must
be segregated according to 49 CFR 176.83(a), (b), and (f). The
requirements for vertical segregation and for on‐deck, horizontal
segregation in 49 CFR 176.83(f) apply. No separation is required for
transport units containing dangerous cargo only in limited quantity
packaging.
(f) Break‐bulk dangerous cargo must be segregated from transport units
containing dangerous cargo according to 49 CFR 176.83(e).
(g) Solid dangerous bulk cargo must be separated to prevent the
interaction of incompatible materials in the event of an accident. Cargo
not required to be segregated, when in break‐bulk form, is not required
View or download PDF
to be segregated, when in bulk form. Dangerous cargo in break‐bulk
http://www.ecfr.gov/graphics/pdfs/er22oc03.000.pdf
form must be segregated from solid dangerous cargo in bulk according
to 49 CFR 176.83.
(h) Materials that are dangerous when wet (Division 4.3), water‐soluble
oxidizers (Division 5.1), and corrosive solids (Class 8) must be stored in a
manner that prevents them from coming into contact with water.
64 93
conditions shall specify that the limits so established shall not be
exceeded.
[CGFR 53‐27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92‐050, 59
FR 39965, Aug. 5, 1994]

126.21 Permitted transactions.
All permits issued pursuant to §126.19 are hereby conditioned upon
the observance and fulfillment of the following:
(a) The conditions set forth in §126.15 shall at all times be strictly
observed.
(b) No amount of designated dangerous cargo, except Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States, in excess of the maximum quantity established by local,
municipal, territorial, or State authorities shall be present on the
waterfront facility and vessels moored thereto.
(c) Designated dangerous cargo shall not be brought onto the
waterfront facility from shore except when laden within a railroad car
or highway vehicle and shall remain in such railroad car or highway
vehicle except when removed as an incident of its prompt
transshipment. Designated dangerous cargo shall not be brought onto
the waterfront facility from a vessel except as an incident of its prompt
transshipment by railroad car or highway vehicle.
(d) No other dangerous cargo shall be on the waterfront facility during
the period of transactions involving designated dangerous cargo, unless
its presence is authorized by the Captain of the Port. This shall not
apply to maintenance stores and supplies on the waterfront facility in
conformity with §126.15(g).
[CGFR 53‐27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92‐050, 59
FR 39965, Aug. 5, 1994]

126.23 Termination or suspension of permits.
Any permit issued pursuant to §126.19 shall terminate automatically at
the conclusion of the transaction for which the permit has been issued
and may be terminated, or suspended, prior thereto by the Captain of
the Port whenever he deems that the security or safety of the port or
vessels or waterfront facilities therein so requires. Confirmation of such
termination or suspension by the Captain of the Port shall be given to
the permittee in writing.
[CGFR 51‐37, 16 FR 8679, Aug. 28, 1951]

126.25 Penalties for handling designated dangerous cargo without permit.
Handling, loading, discharging, or transporting any designated

dangerous cargo without a permit, as provided under §126.17, being in
force, will subject persons responsible therefore to the civil or criminal
penalties provided in Section 13 of the Ports and Waterways Safety Act, View or download PDF
as amended (33 U.S.C. 1232). http://www.ecfr.gov/graphics/pdfs/er01jy03.002.pdf
[CGD 78‐023, 44 FR 4643, Jan. 22, 1979]

126.27 General permit for handling dangerous cargo.
92 65
(2) Containers. Containers packed with dangerous cargo that are
vertically stacked must be stacked no more than four high.
[USCG‐1998‐4302, 68 FR 55441, Sept. 26, 2003]

126.16 Conditions for designating a “facility of particular hazard.”
(a) Basic requirements. The facility shall comply with all the conditions
in §126.15 except where specifically waived by §126.11.
(b) Warning alarms. Warning alarms shall be installed at the waterside
of such a facility to warn approaching or transiting water traffic of
immediate danger in the event of fire or cargo release. Warning alarms
shall be of the siren type, or the emergency rotating flashing light type,
and be of sufficient intensity to be heard, or seen, a distance of 1 mile
during normal facility working conditions. The alarm signal shall not
conflict with local municipal prescription.
[CGFR 67‐93, 32 FR 20774, Dec. 23, 1967]

126.17 Permits required for handling designated dangerous cargo.
Designated dangerous cargo may be handled, loaded, discharged, or
transported at any designated waterfront facility only if a permit
therefore has been issued by the Captain of the Port. This permit
requirement may be waived, at the discretion of the Captain of the
Port, when such cargoes are contained within railroad cars or highway
vehicles which are moved on or across a waterfront facility used
primarily for the transfer of railroad cars or highway vehicles to or from
a railroad or highway vehicle ferry or carfloat; provided such designated
cargoes are not removed from, or placed in, the railroad car or highway
vehicle while it is in or on such waterfront facility.
[CGFR 58‐43, 23 FR 8542, Nov. 1, 1958]

126.19 Issuance of permits for handling designated dangerous cargo.
Upon the application of the owners or operators of a designated
waterfront facility or of their authorized representatives, the Captain of
the Port is authorized to issue a permit for each transaction of handling,
loading, discharging, or transporting designated dangerous cargo at
such waterfront facility provided the following requirements are met:
(a) The facility shall comply in all respect with the regulations in this
subchapter.
(b) The quantity of designated dangerous cargo, except Class 1
States, on the waterfront facility and vessels moored thereto shall not
exceed the limits as to maximum quantity, isolation and remoteness
View or download PDF established by local, municipal, territorial, or State authorities. Each
http://www.ecfr.gov/graphics/pdfs/en01jy03.003.pdf permit issued under these conditions shall specify that the limits so
established shall not be exceeded.
(c) The quantity of designated dangerous cargo consisting of Class 1
States on the waterfront facility and vessels moored thereto shall not
exceed the limits as to maximum quantity, isolation and remoteness as
established by the Captain of the Port. Each permit issued under these
66 91
(9) Material handling equipment, trucks, and other motor vehicles.
When dangerous cargo is being transferred or stored on the
facility, material handling equipment, trucks, and other motor
vehicles operated by internal combustion engines must meet the
requirements of NFPA 307, chapter 9.
(10) Smoking. Smoking is allowed on the facility where permitted
under State or local law. Signs must be posted marking authorized
smoking areas. “No Smoking” signs must be conspicuously posted
elsewhere on the facility.
(11) Rubbish and waste material. All rubbish, debris, and waste
materials must be placed in adequate receptacles.
(12) Adequacy of equipment, materials, and standards. The COTP
may determine that any equipment, material, or standard is not
reasonably adequate under the circumstances. If so, the COTP
informs the owner or operator in writing and provides an
opportunity for the owner or operator to have the deficiency
corrected.
(b) All designated waterfront facilities that handle dangerous cargo, not
in transport units, must also meet the following:
(1) Arrangement of cargo, freight, merchandise, or material.
Cargo, freight, merchandise, and other items or material on the
facility must be arranged to provide access for firefighting and
clearance for fire prevention according to NFPA 307, chapter 8‐5.
(2) Portable fire extinguishers. Each facility must have and
maintain, in adequate quantities and locations, portable fire
extinguishers that meet the requirements of NFPA 10. These
extinguishers must be inspected and maintained in accordance
with NFPA 10.
(3) Electrical systems. All new electrical equipment and wiring
installed on the facility must be of the same type and installed as
specified under NFPA 70. All defective or dangerous electrical
equipment and wiring must be promptly repaired, replaced, or
permanently disconnected. View or download PDF
(4) Heating equipment and other sources of ignition. Open fires http://www.ecfr.gov/graphics/pdfs/en01jy03.004.pdf
and open‐flame lamps are prohibited on the facility. Heating
equipment must meet NFPA 307, chapter 9‐4.
(5) Maintenance stores and supplies. Hazardous material(s) used
in the operation or maintenance of the facility may be stored only
in amounts necessary for normal operating conditions. These [USCG‐2003‐14732, 68 FR 39322, July 1, 2003, as amended at 68 FR 60543, Oct.
materials must be stored in compartments that are remote from 22, 2003]
combustible material; constructed to provide safe storage; and
kept clean and free of scrap materials, empty containers, soiled

wiping rags, waste, and other debris. Flammable liquids must be

stored according to NFPA 30, chapter 4. (Incorporated by

reference, see §126.5.)

(c) All designated waterfront facilities that handle dangerous cargo in

transport units must also meet the following:

(1) Terminal yards. Terminal yards must conform to the standards

in NFPA 307, chapter 5.

90 67
subject the violator to the civil or criminal penalties provided in section
Alternative Security Program (ASP) 13 of the Ports and Waterways Safety Act (33 U.S.C. 1232).
[CGFR 57‐52, 22 FR 10302, Dec. 20, 1957, as amended by CGD 78‐023,
Following the publication of the Maritime Transportation Security 44 FR 4643, Jan. 22, 1979]
Act (MTSA) of 2002, stakeholder organizations submitted and had
approved by Commandant, Alternative Security Programs (ASPs) 126.15 What conditions must a designated waterfront facility meet?
for their members. Since the first ASP approval, the number of (a) All designated waterfront facilities must meet the following:
facilities and vessels that have implemented ASPs in lieu of (1) Fire extinguishing equipment. Fire extinguishing equipment,
individual Facility/Vessel Security Plans has grown substantially. such as automatic sprinklers, hydrants, hose connections, and
Because of the wide use of these security programs, many firefighting water supplies must be available and maintained in
questions regarding their implementation and maintenance, as adequate quantities and locations. Fire extinguishing equipment
well as CG procedures for inspections, continue to arise. must meet State and local laws. In the absence of applicable State
and local laws, fire extinguishing equipment must meet NFPA 10,
An Alternative Security Program is a third‐party or industry 13, 14, and 307. (Incorporated by reference, see §126.5.)
organization‐developed standard that the Commandant has (2) Fire appliances. The location of all fire appliances, such as
determined provides an equivalent level of security to that hydrants, standpipes, hose stations, fire extinguishers, and fire
established by the implementing regulations of MTSA. These alarm boxes must be conspicuously marked and readily accessible
regulations are found in parts 104 and 105 of Title 33 Code of according to NFPA 10, 13, 14, and 307.
Federal Regulations (33 CFR parts 104/105). (3) Warning signs. Warning signs must be constructed and
installed according to NFPA 307, chapter 7‐8.7.
ASPs are intended for use by a collection of vessels or facilities (4) Lighting. If the facility transfers dangerous cargo between
grouped by a business model without concern for geographic sunset and sunrise, it must have outdoor lighting that adequately
location or size. They contain security measures that are geared illuminates the transfer work area. The lighting must be installed
towards activities that are unique to a particular marine sector, and maintained according to NFPA 70 (Incorporated by reference,
i.e., facilities that handle only grain, gaming vessels, or vessel ASPs see §126.5.) and must be located or shielded so that it cannot be
that cover towing vessels and barges. These groups of facilities mistaken for an aid to navigation and does not interfere with
and/or vessels all have a common denominator allowing one navigation on waterways.
security program to be adopted and implemented for businesses (5) International shore connection. If the facility conducts cargo
of a like nature. operations involving foreign‐flag vessels, the facility must have an
international shore connection meeting ASTM F‐1121.
Alternative Security Programs are not intended for use by vessels (Incorporated by reference, see §126.5.)
subject to SOLAS Chapter XI‐2. (6) Access to the facility. Whenever dangerous cargo is transferred
or stored on the facility, access to the facility must be limited to—
Alternative Security Program (ASP)
Information Security (i) Personnel working on the facility or vessel;
(ii) Delivery and service personnel authorized to conduct
Security assessments, security plans/programs and their their business;
amendments contain information that, if released to the general (iii) Coast Guard and other Federal, State, and local officials;
public, could compromise the safety or security of facilities and (iv) Local emergency personnel, such as police officers and
vessels within those ports. This information is known as Sensitive firemen; and
Security Information (SSI). The handling of SSI materials is (v) Other persons authorized by the owner or operator of
governed through 49 CFR part 1520, titled “Protection of Sensitive the facility.
Security Information.” (7) Security measures. Guards must be stationed, or equivalent
controls acceptable to the COTP must be used, to deter and
Under these regulations, only persons with a “need to know,” as detect unlawful entrance; to detect and report fire hazards, fires,
defined in 49 CFR part 1520.11, will have access to SSI materials, and releases of dangerous cargoes and hazardous materials; to
which are also protected from disclosure under a FOIA request. check the readiness of protective equipment; and to report other
When SSI is released to unauthorized persons, a report must be emergency situations at the facility.
filed with the Department of Homeland Security. Such (8) Coast Guard personnel. At any time, Coast Guard personnel
unauthorized release is grounds for civil penalties and other must be allowed to enter the facility to conduct inspections or
enforcement or corrective actions. board vessels moored at the facility.
68 89

NFPA 51B, Standard for Fire Prevention in Use of Cutting 126.30
and Welding Processes, 1994 Edition Submitting an ASP to Commandant for Approval

NFPA 70, National Electrical Code, 1996 126.15
The Final Rule, published October 22, 2003, which addressed the
NFPA 307, Standard for the Construction and Fire 126.15 implementation of MTSA, permitted trade organizations and
Protection of Marine Terminals, Piers, and Wharves, 1995 industry groups representing owners or operators to request
Edition approval for the use of an ASP.

An approved ASP must address all requirements in 33 CFR parts
[USCG‐1998‐4302, 68 FR 55441, Sept. 26, 2003, as amended at 69 FR 104 or 105, as applicable.
18803, Apr. 9, 2004; USCG‐2010‐0351, 75 FR 36283, June 25, 2010;
USCG‐2012‐0866, 78 FR 13248, Feb. 27, 2013] A trade organization or industry group wishing approval for an
ASP must submit that document to Commandant (CG‐FAC‐2) at
126.11 Waiver authority based on local or unusual conditions. Coast Guard Headquarters located in Washington, DC.
Whenever the Commandant, the District Commander, or the Captain of
the Port finds that the application of any provisions contained in ASPs must be submitted in accordance with 33 CFR part
§§126.15 and 126.16 is not necessary to the safety or security of the 101.120(c). Each ASP must contain:
port and vessels and waterfront facilities therein, or that its application
is not practical because of local conditions or because the materials or A list of the vessel and/or facility types to which the ASP will
personnel required for compliance are not available, or because the apply. (As an example, one ASP could cover passenger ferry
requirements of the national defense justify a departure from such terminals not handling vehicles and passenger ferry terminals that
provision, the Commandant, the District Commander, or the Captain of handle vehicles – such as the Passenger Vessel Association. One
the Port may waive compliance with such provision, to the extent and ASP can cover towing vessels, tugs and barges – such as the
under such requirements as they determine. American Waterways Operators.)
[CGD 78‐023, 44 FR 4643, Jan. 22, 1979] A security assessment for the vessel and/or facility type.
An explanation of how the ASP addresses the requirements
126.12 How do I request the use of an alternative method of complying contained in 33 CFR parts 104, 105, and/or 106, as applicable.
with a requirement in this part? A specific explanation of how the owner and/or operator will
(a) An owner or operator of a waterfront facility may request that the implement each portion of the ASP. The ASP must explain which
COTP allow the use of an alternative method of complying with a parts of the program are applicable to various facilities, and
requirement in this part. require facility owners to activate/implement all parts of the
(b) The request must establish, to the COTP's satisfaction— program that apply to that type of facility.
(1) That compliance with the requirement is economically or The ASP must instruct the user on what vessel or facility‐specific
physically impractical; and information must be added to the security program.
(2) That the alternative requested provides an equivalent or
It is recommended an index cross‐referencing applicable sections
greater level of safety. of the regulations with the specific paragraphs or sections of the
(c) The COTP examines the request and provides an answer, in writing, ASP be included.
within 30 days of receipt of the request.
[USCG‐1998‐4302, 68 FR 55441, Sept. 26, 2003] ASPs and any accompanying documents may be submitted via a
password protected copy placed on a CD. With prior discussion
126.13 Designation of waterfront facilities. and permission, a password protected copy of the ASP may be
(a) Waterfront facilities which fulfill the conditions required in §126.15, submitted via email.
unless waived under provisions of §126.11, and only such waterfront
facilities are designated for the handling, storing, stowing, loading, In addition to the ASP itself, each package must contain a point of
discharging, or transporting of dangerous cargo, subject to compliance contact, a mailing address, and the telephone number of the
with other applicable requirements and provisions set forth in this part. submitter.
(b) Handling, storing, stowing, loading, discharging, or transporting
dangerous cargo at any waterfront facility other than one designated For the postal service or a package delivery service, please use the
by this section is hereby prohibited, and violation of this prohibition will following address:
88 69
Waterfront facility means all piers, wharves, and similar structures to
US COAST GUARD HEADQUARTERS which a vessel may be secured; areas of land, water, or land and water
COMMANDANT (CG‐FAC‐2) STOP 7501 under and in the immediate proximity to these structures; buildings on
2703 MARTIN LUTHER KING JR AVE SE or contiguous to these structures; and the equipment and materials on
WASHINGTON DC 20593‐7501 or in these structures or buildings. The term does not include facilities
directly operated by the Department of Defense.
ASPs that have been copied to a CD should not be placed in the [USCG‐1998‐4302, 68 FR 55440, Sept. 26, 2003, as amended by USCG‐
mail. CDs are often destroyed by the screening process they pass 2008‐0179, 73 FR 35013, June 19, 2008]
through before being delivered to a Federal Agency.
126.5 Incorporation by reference: Where can I get a copy of the
HQ Actions upon Receipt publications mentioned in this part?
(a) Certain material is incorporated by reference into this part with the
Applications will be reviewed in order of receipt. The reviewer approval of the Director of the Federal Register under 5 U.S.C. 552(a)
will work with the submitter to make sure the ASP is in full and 1 CFR part 51. To enforce any edition other than that specified in
compliance with the requirements of 33 CFR part 104 and/or 105. paragraph (b) of this section, we must publish a notice of change in the
When the application is approved, a letter is issued by the COMDT FEDERAL REGISTER and the material must be available to the public. All
(CG‐5P) Director of Prevention Policy and mailed to the submitter approved material is available for inspection at the U.S. Coast Guard,
stating the ASP’s acceptance and any conditions that may apply. Vessel and Facility Operating Standards Division (CG‐522), 2100 2nd St.
Coast Guard Headquarters COMDT (CG‐FAC‐2) will retain and file SW., Stop 7126, Washington, DC 20593‐7126, and at the National
the application documentation. Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202‐741‐6030, or go to:
Facility Compliance http://www.archives.gov/federal_register/code_of_federal_regulations
/ibr_locations.html. All approved material is available from the sources
Prior to conducting regulated operations, Facility indicated in paragraph (b) of this section.
owners/operators must provide the following information to the (b) The materials approved for incorporation by reference in this part,
cognizant Captain of the Port (COTP): and the sections affected, are as follows:

A letter signed by the owner/operator stating which ASP is being
utilized and certifying that the facility is in full compliance with ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West
that program; Conshohocken, PA 19428‐2959, 877‐909‐2786,
A list of facilities that will be operating under the ASP; http://www.astm.org.
A site‐specific Facility Security Assessment (FSA) Report and a
completed CG‐6025 – Facility Vulnerability and Security Measures ASTM F1121‐87 (Reapproved 2010), Standard 126.15
Summary; Specification for International Shore Connections for
All site‐specific information, such as the name & contact Marine Fire Applications, (approved March 1, 2010)
information for the Facility Security Officer, a list of access points
National Fire Protection Association (NFPA), One Batterymarch
to the facility, a list of restricted areas, etc; and
Park, P.O. Box 9101, Quincy, MA 02269‐9101:
All site‐specific security measures implemented to meet the
requirements in the ASP. NFPA 10, Standard for Portable Fire Extinguishers, 1998 126.15
Edition
Any additional information added to the Commandant approved
ASP that was not included in the security program submitted to NFPA 13, Standard for the Installation of Sprinkler 126.15
CGHQ by the sponsoring organization must be presented to the Systems, 1996 Edition
COTP for approval.
NFPA 14, Standard for the Installation of Standpipe and 126.15
The COTP is under no regulatory obligation to send a letter in Hose Systems, 1996 Edition
return. However, the appropriate ASP approval letter issued by
Coast Guard Headquarters is often scanned into MISLE in the NFPA 30, Flammable and Combustible Liquids Code, 1996 126.15
documents section of each facility operating under an ASP.

70 87
Bulk means without mark or count and directly loaded or unloaded to While the sponsoring organization must resubmit their ASP for
or from a hold or tank on a vessel without the use of containers or approval every 5 years, there is no requirement for the operator
break‐bulk packaging. to periodically resubmit their letter. However, the security
Captain of the port or COTP means the officer of the Coast Guard, assessment must be updated and resubmitted to the COTP as
under the command of a District Commander, is designated by the specified in the ASP but at a minimum every 5 years when the ASP
Commandant for the purpose of giving immediate direction to Coast sponsoring organization submits the ASP for its 5‐year renewal.
Guard law enforcement activities within an assigned area. Owners/Operators using an ASP must be members in good
standing of the sponsoring organization.
Cargo of particular hazard means any of the following:
(1) Division 1.1 and 1.2 explosives, as defined in 49 CFR 173.50, NOTE: If an FSP or VSP requires an amendment, initiated by
for which a permit is required under 33 CFR 126.17. either the owner/operator or the Coast Guard, only the affected
(2) Ammonium nitrate products, division 5.1 (oxidizing) materials portions of the security plan need be submitted for approval. An
listed in 49 CFR 176.410, for which a permit is required under 49 amendment to an FSP or VSP does not change the 5‐year
CFR 176.415. “expiration” date of the security plan. However, if an ASP
(3) Division 4.3 dangerous when wet products as defined in 49 requires an amendment, the entire program must be re‐
CFR 173.124, in excess of 60 mt. submitted to HQ and the entire program, including all appendices
(4) Division 2.3 and 6.1 poison inhalation hazard products as must be reviewed. Because of this, when an ASP is amended, the
defined in 49 CFR 173.115 and 173.132, respectively. 5‐year expiration date is reset beginning from the date of the
(5) Class 7 highway route controlled quantity radioactive material amendment approval.
or fissile material, controlled shipment, as defined in 49 CFR
173.403. Documentation required to be kept at the facility
Commandant means the Commandant of the United States Coast
Guard. Facilities must keep certain documentation on‐site to be made
Container means a reusable container that has a volume of 1.81 cubic available to the CG upon request. This documentation consists of:
meters (64 cubic feet) or more, is designed and constructed to permit
being lifted with its contents intact, and is intended primarily for A copy of the ASP that has been implemented; including any
containment of packages (in unit form) during transportation. annexes or appendices added by the facility;
Dangerous cargo means all hazardous materials listed in 49 CFR parts A copy of the FSA Report;
170 through 179, except those materials preceded by an “A” in the A copy of the completed CG‐6025; and
Hazardous Materials Table in 49 CFR 172.101, and all cargo listed in 46 A copy of the letter that was sent to the COTP as described in the
CFR part 148. “Compliance” section of this document.
Designated dangerous cargo means Division 1.1 and 1.2 explosives as
defined in 49 CFR 173.50. Vessel Compliance
Designated waterfront facility means a waterfront facility designated
under §126.13 for the handling, storing, loading, and discharging of any Prior to conducting regulated operations vessel owners/operators
hazardous material(s) subject to the Dangerous Cargoes Regulations must provide to the Marine Safety Center (MSC) the following
(49 CFR parts 170 through 179), except for those materials preceded by information:
an “A” in the Hazardous Materials Table in 49 CFR 172.101 and for
those materials carried as bulk liquids. A letter signed by the owner/operator stating which ASP is being
Facility of particular hazard means a designated waterfront facility that utilized and certifying that the vessel is in full compliance with
is authorized to handle a cargo of particular hazard. that program;
Facility operator means the person or company who owns, operates, or A list of vessel names, including official numbers that will be
is responsible for the operation of a waterfront facility. operating under the ASP; and
Net tons means net weight in tons. A contact name, phone number and email address.
Net weight, in reference to material in a package, tank, or container,
means the weight of the contents of a package, tank, or container and Although there is no regulatory requirement to do so, the MSC
does not include the weight of any packaging material or containing sends an acknowledgement to the submitter of the letter, which
devices. is scanned into MISLE in the documents section of every vessel
Transport unit means a transport vehicle or a container. operating under an ASP.

86 71
Documentation to be kept onboard the vessel

Vessels must keep certain documentation onboard to be made
available to the CG upon request. This documentation consists of:

A copy of the ASP that has been implemented.
A copy of the Vessel Security Assessment (VSA) Report as
specified in 33 CFR 101.120(b)(3).
A copy of the letter that was sent to the MSC as described in the
Safety & Environmental Section

“Compliance” section.
33 CFR 126—HANDLING OF DANGEROUS CARGO AT WATERFRONT FACILITIES

If the ASP is a combination program both the COTP and the MSC
Contents
must be notified as described above.
§126.1 What does this part apply to?

§126.3 Definitions.
Role of the COTP
§126.5 Incorporation by reference: Where can I get a copy of the

publications mentioned in this part?
Although the COTP is not involved in the review/approval process
§126.11 Waiver authority based on local or unusual conditions.
of ASPs this fact does not diminish his/her responsibility to ensure
§126.12 How do I request the use of an alternative method of complying
that all facilities and vessels are operating in compliance with
with a requirement in this part?
their approved FSP, VSP or ASP.
§126.13 Designation of waterfront facilities.

§126.15 What conditions must a designated waterfront facility meet?
These actions consist of:
§126.16 Conditions for designating a “facility of particular hazard.”

§126.17 Permits required for handling designated dangerous cargo.
Ensuring that the facility utilizing a particular ASP is appropriate to
§126.19 Issuance of permits for handling designated dangerous cargo.
the business model;
§126.21 Permitted transactions.
Reviewing the FSA Report & CG‐6025 for accuracy and
§126.23 Termination or suspension of permits.
completeness;
§126.25 Penalties for handling designated dangerous cargo without permit.
Ensuring that all vulnerabilities are mitigated by the ASP or by
§126.27 General permit for handling dangerous cargo.
measures listed on the CG‐6025;
§126.28 Ammonium nitrate, ammonium nitrate fertilizers, fertilizer
Approving the facility footprint, secure and restricted areas, as
mixtures, or nitro carbo nitrate; general provisions.
appropriate; and
§126.29 Supervision and control of dangerous cargo.
Approving all additions to the ASP inserted by the Facility
§126.30 What are the conditions for conducting welding and hotwork?
owner/operator.
§126.31 Termination or suspension of general permit.

§126.33 Penalties for handling dangerous cargo without permit.
An approved ASP contains the minimum security posture that a
§126.35 Primary responsibility.
facility must maintain at each MARSEC level. It is not unusual for
§126.37 Separability.
facilities to implement additional security measures to address
site‐specific vulnerabilities. These are the additions that must be
AUTHORITY: 33 U.S.C. 1231; 49 CFR 1.46.
approved by the COTP along with any other insertions in the ASP

that were not included in the document submitted to the CG
126.1 What does this part apply to?
Headquarters for review and approval. If it is deemed that the
This part applies to waterfront facilities handling packaged and bulk‐
security measures listed in an approved ASP do not provide
solid dangerous cargo and to vessels at those facilities.
sufficient mitigation of identified vulnerabilities, the COTP may
[USCG‐1998‐4302, 68 FR 55440, Sept. 26, 2003]
require additional measures to lessen the risk or determine that

the ASP is not appropriate for that particular facility or vessel.
126.3 Definitions.

As used in this part—

Break‐bulk means packages that are handled individually, palletized, or

unitized for purposes of transportation, as opposed to materials in bulk

and containerized freight.
72 85
Compliance Verifications for MTSA‐Regulated Facilities & Vessels
Operating Under an ASP

Facilities and vessels utilizing an ASP must be inspected as
established by the Safe Port Act of 2006. In preparation for an
inspection, Marine Inspectors and Facility Inspectors should
review MISLE data to include MTSA compliance information prior
to arriving at a vessel or facility. If the MISLE data is incomplete
for a vessel, the Vessel Security Division may be contacted by
calling the Marine Safety Center. If the inspector needs
information regarding an ASP for facilities or a combination
program, the Office of Port and Facility Compliance may be
contacted (CG‐FAC‐2).

For vessel ASPs, a Marine Inspector is to lead and complete any
exams or audits using the ASP itself – not the CFR. Examples of
approved vessel ASPs include the American Waterways Operators
(AWO), the Lake Carriers Association (LCA), Offshore Marine
Service Association (OMSA).

For facilities operating under an ASP, a Facility Inspector is to lead
and complete any exams or audits using the ASP itself – not the
CFR. Examples of facility ASPs are the American Chemistry
Council (ACC), the Electric Sector ASP (ESASP), the Greater New
Orleans Barge Fleeting Association (GNOBFA), and the North
American Export Grain Association (NAEGA). The NAEGA ASP is
also utilized by the National Grain & Feed Association member
facilities.

If the ASP is a combination program the compliance exam should
include verification of both the vessel and facility at each
inspection. When the facility has minimal infrastructure such as a
ticket booth on a pier and the majority of the security duties are
performed by the vessel crew, it is recommended that a Marine
Inspector be the primary inspector assisted by a Facility Inspector,
as appropriate and as resources permit. For a combination ASP
Security Suspicious Activity Reporting

that covers regulated facilities with greater infrastructure such as
gaming vessels, Marine Inspectors’assistance to Facility Inspectors
should be scaled to match the facility‐vessel operation. Examples
of combination programs include the American Gaming
Association (AGA), the Passenger Vessel Association (PVA) and the
Washington State Ferries (WSF).

When conducting compliance verification exams of facilities and
vessels employing an ASP, Marine and Facility Inspectors are to
verify compliance through a comparison of implemented security
measures and those outlined in the approved ASP. Because an
ASP is approved on the basis of a holistic ability to meet the intent
of MTSA, as appropriate for an industry segment, every ASP may

84 73
not contain all specific requirements detailed in 33 CFR parts 104
and/or 105.
Each District has their own version of the document. Search your own shared folders at your unit

Deficiencies

Deficiencies identified during the inspection should be
documented on form CG‐835 if not corrected prior to the
conclusion of the inspection. Any requirement issued should
properly describe how the deficiency does not comply with a
specific requirement of the relevant ASP and may list the location
of that requirement in the ASP document. Vessel Inspectors may
cite §104.140(c) indicating that the ASP has not been
implemented in its entirety. Facility Inspectors may cite
§105.140(a)(2). Inspectors should not issue requirements that
restrict operation or reduce passenger count unless the deficiency
significantly impacts security in such a way that the vessel or
facility is no longer in substantial compliance with their ASP.

If all measures in the approved ASP have been properly
implemented but security vulnerabilities still exist, the cognizant
COTP should contact CG‐FAC‐2 and request an amendment in
accordance with §101.120(d). No requirements should be placed
on the facility or vessel pending outcome of Headquarters
determination on the need for an ASP amendment.

Bottom Line

The distinction between the words “plan” and “program” likely
for specific forms
contributes to confusion. Approved ASPs, in some cases, do not
and are not required to “mirror” regulation – but, in reality, they
do except for one or two instances. ASPs allow the end‐user to
implement an existing security program – as an alternative to
creating an individual facility or vessel‐specific security plan.


ASPs were created for the benefit of both the Coast Guard &
industry owner/operators. Member facilities and/or vessels can
utilize a Commandant‐approved security program with security
measures that address specific needs of their operations.

74 83
to be intimidated by his passengers, and the passengers seem to be
trying to keep out of sight. I think something bad is about to happen."
Pay attention to height, weight, gender, clothing, or other identifiable
traits of the people engaged in suspicious activity ‐‐ you may be asked
for this type of information.

How to Make a Proper Description of a Person, Boat or Vehicle
Never use race or religion as an indicator of suspicious activity. Always
rely on the idea that what you are observing is like a puzzle. If your
instincts suspect suspicious activity, and you have observed a
person's/group's actions that you can report to back up your instincts
and feelings, then you can report your observations using the CYMBALS
method described below.
All reports should contain the 5 Ws and an H, which means you should
be able to articulate a majority of the Who, What, Where, When, Why,
and How aspects of what's going on. This will be the line of questioning
you can expect from law enforcement when submitting a report. If you
do not have a majority of these questions covered, then articulate
exactly what makes you feel suspicious of a person, group, or situation
when reporting.
People Boats Vehicles
 Color (hair,  Color (paint,  Color (pain,

eyes, skin) markings, etc) markings, etc)
 Year (of  Year (of  Year (of
birth, manufacture, manufacture,
approximate approximate age) approximate
age)  Make (make and age)
 Make (race, model of boat)  Make (make and
ethnicity)  Body (length, type: model of
 Body (height, cruiser, runabout, vehicle)

weight, build, PWC, etc) Body (sedan,

etc)  truck, SUV, 4/2
Accessories (name,
 Attire antennas, flag, door, etc)
(clothing, inboard/outboard)  Anything else
description,  License / (dents, stickers,
dress, etc) registration rims, etc)
 Looks (hair, number  License plate
scars,  State of registration number
tattoos,  State of
facial hair, registration
etc)
 Male or
female
82 75
surveillance include fixed, mobile, progressive, creative, overt and
covert.)
ELICITATION involves asking detailed questions in an attempt to gain
knowledge of hidden or proprietary information. Things to keep in
mind:
Listen carefully when engaged in a conversation with a stranger. When
they begin to ask or inquire about guarded information you may be
involved in, you can suspect that elicitation is being used. Remember,
the conversation may seem totally innocent.
Avoid becoming a victim of elicitation by sharing proprietary, classified
or guarded information only with those that possess a need to know;
without exception. If you suspect that you are being targeted, simply
reply to the elicitor's questions with an inquiring question of your own.
TESTS OF SECURITY are a tools used to develop timelines of
authoritative response to a particular incident or occurrence. Staging an
incident can be done to determine access vulnerability and/or establish
a timeline for later use. Examples include (but are not limited to):
 Bomb threats
 Small fires (trash can/dumpster)
 Abandoned packages
A test of security is likely to occur in close proximity of a potential
target or an integral component in the plan to attack a potential target.
SUSPICIOUS BEHAVIOR is displayed behavior that is out of place or out
of character with the environment. Behavior is the key enabler. What
activity is the person(s) engaging in that is out of place with the
immediate environment (their surroundings)? If the activity is out of
character, then that activity may be considered suspicious.
Remember, People are not Suspicious, Behavior is!

Report What You Find to be Unusual!
First, call the National Response Center at 877‐24WATCH. For
immediate danger to life or property, call 911, or call the U. S. Coast
Guard on Marine Channel 16.
Never approach someone you fear may be about to commit a crime.
Make some notes, such as the person's appearance, clothing, vehicle
license plate, and the type of boat, vehicle or aircraft involved. Take a
picture if you can, but keep your distance if the situation seems hostile.

Provide Details:
Be specific with details whenever you report something amiss to
authorities. Generalized descriptions and concerns don't provide
sufficient information and may not carry the appropriate sense of
urgency.

Details Carry Weight:
For Example: "I'm at the Safe Haven Marina and just saw [something
dangerous] loaded from a White SUV into a turquoise Boston Whaler
with the registration number of CF1234YZ. I can't read the SUV's plate
number, but I think it's an out‐of‐state plate. The boat operator seems
76 81
bay, and I'm sure the area is heavily patrolled by the Coast Guard and Suspicious Activity Reporting
police." She then presses you for more details about the type of land
and water patrols, their frequency and their scheduling. The person
may be asking legitimate questions, but may also be gathering
information for a potential terrorist attack.

Suspicious Conditions ‐‐ Physical Breaches of Security
A chain link security fence topped by barbed wire has been erected
around the abutments of a bridge you pass by every day. One day you
http://americaswaterwaywatch.uscg.mil/Home.html
notice that there is a large hole in the fence, large enough to allow a
person to climb through. Even though you don't observe either anyone
in the area or any object placed inside the fence, you are aware that
the hole is large enough for an adult to crawl through.
Several hundred feet down the road, you also notice a car or truck
parked in an unusual place ‐‐ very close to another security fence at a
waterfront shipping facility. The vehicle could be used as a platform for
terrorists or criminals to facilitate climbing over the fence to gain access
to the secured area.
Both of these are suspicious conditions and physical breaches of
security that should be reported, so the fence can be repaired and the
vehicle moved.

Person Renting a Boat ‐‐ Examine the Totality of Conduct
You work at a business that rents small boats by the hour. In the
process of renting a boat for the day "to do some fishing," two men ask
about the "best fishing spots" on the bay and, pointing in the direction
of the Navy Base to the north, ask if that might not be a good place to

fish. You tell them, "No, the best fishing is in the South Bay area." They
fill out the paperwork, and pay you the required deposit and "full day"
rate with a credit card. Neither of them seems all that interested in the
terms of the contract, nor in the fact that they are not entitled to a
partial refund if they return before the end of the day. You then help
them load the boat with obviously brand‐new fishing equipment and
two large coolers, and take the time to remind them, "It might be a
good idea to buy some bait." After you check them out on operation of
the boat, they leave the dock and head north in the direction of the
Navy Base. The whole situation starts to seem strange to you, including
the fact that the person's recently‐issued drivers license provided as
proof of identity, the bank credit card used for payment, and the
license plate on their vehicle were from three different states.
Individually, each of the oddities in this situation do not rise to the level
of "suspicious behavior," but when viewed in their totality they do.

Identifying Suspicious Activity
Identifying suspicious activity starts with understanding the steps a
terrorist group takes to plan an attack. The acronym SETS will help you
understand the basic steps and indicators.
SURVEILLANCE involves photographing, videotaping, drawing and/or
mapping or other means of monitoring a potential target. (Types of

80 77
A white mid‐sized four‐door sedan pulls into a "view" area near a
Where Should I Look for "Suspicious Activity"? railway bridge, drops off two passengers, and departs. One of the
Watch for suspicious activities of vessels and individuals in locations passengers begins taking video pictures of the bridge, as well as a
such as: commuter train and a long freight train, which, headed in opposite
 Under and around bridges, tunnels, or overpasses directions, pass each other on the bridge about 15 minutes later. (As a
frequent and long‐time marina worker, you know this happens every
 Near commercial areas or services like ports, fuel docks, cruise
weekday throughout the year). The second person appears to be taking
ships, or marinas.
notes, and occasionally glances at his left wrist as if checking a watch.
 Near industrial facilities like power plants and oil, chemical, or You continue down river, returning to your home marina just a quarter
water intake facilities. mile South. As you pull into the service dock, you notice what appears
 Near military bases and vessels, other government facilities, or to be the same white sedan parked at water's edge in the marina
security zones parking lot. The driver is outside the car, and is in the process of
 In and around passenger terminals, ferries, and day cruise lines packing a large video camera into its storage case. A few minutes later,
he gets into his vehicle and drives away. People photographing or
 Near railroad lines serving any of the above listed facilities.
videotaping potential terrorist targets are engaged in activities that
You are NOT expected to patrol any particular area. Your expertise in
should be considered suspicious.
recognizing suspicious activity is derived from your familiarity with

surroundings you operate within while engaged in your normal work or
Person Running Away/Fleeing
recreation around the waterfront.
You notice a person running away from an area close to a secure

facility. Some questions should come to mind: Does this person's
What is Suspicious Activity?
behavior or dress indicate he is more than the usual jogger? Does he
What do we mean by suspicious activity? Suspicious Activity is a pattern
appear to be someone just in a hurry, or does his running have a
of behavior that arouses a "gut feeling" that something is not right.
heightened sense of urgency or tension about it? It would be suspicious
Trust your intuition, but remember it is the behavior of individuals that
if he were looking about furtively, as if he were concerned about being
is suspicious, not their ethnic, religious, or national origin. For example,
observed or pursued.
suppose you see people of an obviously different ethnic or national

background fishing off a pier or near a secure facility. The mere fact
Person(s) Engaged in Surveillance
that they are "different" is not important. People fishing near the water
You work in a business in the immediate vicinity of a ferry terminal, and
by itself is obviously not a suspicious activity. In fact, if they weren't
you ride the ferry to and from work every day. One day you observe a
fishing that might be a trigger to alert you they were engaging in
particular person taking pictures of the shore side ‐‐ unusual for people
Suspicious Activity.
riding the ferry during "commute time." While at work you notice the
Keeping in mind that "People aren't suspicious, behavior is," here are
same person board a ferry to a different destination, and return a few
some situational examples of behaviors and activities that may help you
hours later. The next day you see the same person loitering around the
determine what is suspicious and, thus, what should be reported:
terminal as passengers pass through security while boarding ferries ‐‐ at

one point the person joins a group lining up to board a ferry, takes
Unusual Operation of a Small Boat, Accompanied by Videotaping/Still
some pictures, but leaves the group without boarding. During the day
Photography
you see this person making two round‐trip ferry rides ‐‐ once wearing a
You observe a boat being operated aimlessly (with no apparent
large backpack, and once carrying a oversized briefcase. Over several
destination). The boat is occupied by three young to middle‐aged
days you notice the same person engaged in varied activity, at different
people ‐‐ not a "family" as usually seen cruising these waters. A little
times, all in the vicinity of the ferry terminal.
while later you see the same boat, this time with two occupants, and
Could the activity be completely innocent and explainable? Of course.
it's movement is repetitive. It circles around bridge abutments for a
Could the person be engaged in surveillance in preparation for a
while, and makes several passes alongside a shore side power plant,
terrorist attack? Perhaps. Is the behavior suspicious enough to report?
moored commercial vessels, and a ferry passenger terminal. You notice
Yes!
that the passenger is taking still and video pictures of the facilities.

Later, you observe the boat picking up the third person from a public
Person(s) Asking Unusual Questions
dock near the bridge. He boards the boat carrying a video camera and a
While you are working on a customer's boat, a stranger approaches you
notebook. These actions could indicate initial surveillance of a potential
and strikes up a conversation. She says she is interested in renting dock
target and subsequent attack.
space for her boat at the marina, and says, "I guess my boat will be

pretty secure here since it's very close to the power plant across the
People Taking Still Photographs or Videotaping from the Shore
78 79

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international waters for only short periods of time on frequent DISTRICT 17 COMMAND P.O. BOX 25517 JUNEAU, AK

under the authority of a country, except the U.S., that is engaged in 31‐04 Lightering Operations

03‐03 CH 2 Remote Facilities Operator, Uninspected Towing Vessel means an individual who holds a

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weight, build, PWC, etc) Body (sedan,

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