[Code of Federal Regulations] [Title 33, Volume 1] [Revised as of July 1, 2008] From the U.S. Government Printing Office via GPO Access [CITE: 33CFR101.105] [Page 330-335] TITLE 33--NAVIGATION AND NAVIGABLE WATERS CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELANDSECURITY PART 101_MARITIME SECURITY: GENERAL--Table of Contents Subpart A_General Sec. 101.105 Definitions. Unless otherwise specified, as used in this subchapter: Alternative Security Program means a third-party or industryorganization developed standard that the Commandant has determinedprovides an equivalent level of security to that established by thissubchapter. Area Commander means the U.S. Coast Guard officer designatedby the Commandant to command a Coast Guard Area as described in 33 CFRpart 3. [[Page 331]] Area Maritime Security (AMS) Assessment means ananalysis that examines and evaluates the infrastructure and operationsof a port taking into account possible threats, vulnerabilities, andexisting protective measures, procedures and operations. Area Maritime Security (AMS) Committee means the committeeestablished pursuant to 46 U.S.C. 70112(a)(2)(A). This committee canbe the Port Security Committee established pursuant to Navigation andVessel Inspection Circular (NVIC) 09-02 change 2, availablefrom the cognizant Captain of the Port (COTP) or athttp:// www.uscg.mil/hq/g-m/nvic. Area Maritime Security (AMS) Plan means the plan developedpursuant to 46 U.S.C. 70103(b). This plan may be the Port Securityplan developed pursuant to NVIC 09-02 provided it meets therequirements of part 103 of this subchapter. Area of Responsibility (AOR) means a Coast Guard area,district, marine inspection zone or COTP zone described in 33 CFR part3. Audit means an evaluation of a security assessment orsecurity plan performed by an owner or operator, the owner oroperator's designee, or an approved third-party, intended to identifydeficiencies, non- conformities and/or inadequacies that would renderthe assessment or plan insufficient. Barge means a non-self-propelled vessel (46 CFR24.10-1). Barge fleeting facility means a commercial area, subject topermitting by the Army Corps of Engineers, as provided in 33 CFR part322, part 330, or pursuant to a regional general permit the purpose ofwhich is for the making up, breaking down, or staging of barge tows. Breach of security means an incident that has not resultedin a transportation security incident, in which security measures havebeen circumvented, eluded, or violated. Bulk or in bulk means a commodity that is loaded orcarried on board a vessel without containers or labels, and that isreceived and handled without mark or count. Bunkers means a vessel's fuel supply. Captain of the Port (COTP) means the local officerexercising authority for the COTP zones described in 33 CFR part 3.The COTP is the Federal Maritime Security Coordinator described in 46U.S.C. 70103(a)(2)(G) and also the Port Facility Security Officer asdescribed in the ISPS Code, part A. Cargo means any goods, wares, or merchandise carried, or tobe carried, for consideration, whether directly or indirectly flowingto the owner, charterer, operator, agent, or any other personinterested in the vessel, facility, or OCS facility, except dredgespoils. Cargo vessel means a vessel that carries, or intends tocarry, cargo as defined in this section. Certain Dangerous Cargo (CDC) means the same as defined in33 CFR 160.204. Commandant means the Commandant of the U.S. Coast Guard. Company means any person or entity that owns any facility,vessel, or OCS facility subject to the requirements of thissubchapter, or has assumed the responsibility for operation of anyfacility, vessel, or OCS facility subject to the requirements of thissubchapter, including the duties and responsibilities imposed by thissubchapter. Company Security Officer (CSO) means the person designatedby the Company as responsible for the security of the vessel or OCSfacility, including implementation and maintenance of the vessel orOCS facility security plan, and for liaison with their respectivevessel or facility security officer and the Coast Guard. Contracting Government means any government of a nation thatis a signatory to SOLAS, other than the U.S. Cruise ship means any vessel over 100 gross register tons,carrying more than 12 passengers for hire which makes voyages lastingmore than 24 hours, of which any part is on the high seas. Passengersfrom cruise ships are embarked or disembarked in the U.S. or itsterritories. Cruise ships do not include ferries that hold Coast GuardCertificates of Inspection endorsed for ``Lakes, Bays, andSounds'', that transit international waters for only shortperiods of time on frequent schedules. Dangerous goods and/or hazardous substances, for thepurposes of this subchapter, means cargoes regulated by parts 126,127, or 154 of this chapter. [[Page 332]] Dangerous substances or devices means any material,substance, or item that reasonably has the potential to cause atransportation security incident. Declaration of Security (DoS) means an agreement executedbetween the responsible Vessel and Facility Security Officer, orbetween Vessel Security Officers in the case of a vessel-to-vesselactivity, that provides a means for ensuring that all shared securityconcerns are properly addressed and security will remain in placethroughout the time a vessel is moored to the facility or for theduration of the vessel-to- vessel activity, respectively. District Commander means the U.S. Coast Guard officerdesignated by the Commandant to command a Coast Guard Districtdescribed in 33 CFR part 3. Drill means a training event that tests at least onecomponent of the AMS, vessel, or facility security plan and is used tomaintain a high level of security readiness. Escorting means ensuring that the escorted individual iscontinuously accompanied while within a secure area in a mannersufficient to observe whether the escorted individual is engaged inactivities other than those for which escorted access was granted.This may be accomplished via having a side-by-side companion ormonitoring, depending upon where the escorted individual will begranted access. Individuals without TWICs may not enter restrictedareas without having an individual who holds a TWIC as a side-by-sidecompanion, except as provided in Sec. Sec. 104.267,105.257, and 106.262 of this subchapter. Exercise means a comprehensive training event that involvesseveral of the functional elements of the AMS, vessel, or facilitysecurity plan and tests communications, coordination, resourceavailability, and response. Facility means any structure or facility of any kind locatedin, on, under, or adjacent to any waters subject to the jurisdictionof the U.S. and used, operated, or maintained by a public or privateentity, including any contiguous or adjoining property under commonownership or operation. Facility Security Assessment (FSA) means an analysis thatexamines and evaluates the infrastructure and operations of thefacility taking into account possible threats, vulnerabilities,consequences, and existing protective measures, procedures andoperations. Facility Security Officer (FSO) means the person designatedas responsible for the development, implementation, revision andmaintenance of the facility security plan and for liaison with theCOTP and Company and Vessel Security Officers. Facility Security Plan (FSP) means the plan developed toensure the application of security measures designed to protect thefacility and its servicing vessels or those vessels interfacing withthe facility, their cargoes, and persons on board at the respectiveMARSEC Levels. Ferry means a vessel which is limited in its use to thecarriage of deck passengers or vehicles or both, operates on a shortrun on a frequent schedule between two or more points over the mostdirect water route, other than in ocean or coastwise service. Foreign vessel means a vessel of foreign registry or avessel operated under the authority of a country, except the U.S.,that is engaged in commerce. General shipyard facility means-- (1) For operations on land, any structure or appurtenance theretodesigned for the construction, repair, rehabilitation, refurbishment,or rebuilding of any vessel, including graving docks, building ways,ship lifts, wharves, and pier cranes; the land necessary for anystructures or appurtenances; and the equipment necessary for theperformance of any function referred to in this definition; and (2) For operations other than on land, any vessel, floatingdrydock, or barge used for, or a type that is usually used for,activities referred to in paragraph (1) of this definition. Gross register tons (GRT) means the gross ton measurement ofthe vessel under 46 U.S.C. chapter 145, Regulatory Measurement. For avessel measured under only 46 U.S.C. chapter 143, ConventionMeasurement, the vessel's gross tonnage, ITC is used to apply allthresholds expressed in terms of gross register tons. Gross tonnage, ITC (GT ITC) means the gross tonnagemeasurement of the [[Page 333]] vessel under 46 U.S.C. chapter 143, ConventionMeasurement. Under international conventions, this parameter may bereferred to as ``gross tonnage (GT).'' Hazardous materials means hazardous materials subject toregulation under 46 CFR parts 148, 150, 151, 153, or 154, or 49 CFRparts 171 through 180. Infrastructure means facilities, structures, systems,assets, or services so vital to the port and its economy that theirdisruption, incapacity, or destruction would have a debilitatingimpact on defense, security, the environment, long-term economicprosperity, public health or safety of the port. International voyage means a voyage between a country towhich SOLAS applies and a port outside that country. A country, asused in this definition, includes every territory for the internalrelations of which a contracting government to the convention isresponsible or for which the United Nations is the administeringauthority. For the U.S., the term ``territory'' includesthe Commonwealth of Puerto Rico, all possessions of the United States,and all lands held by the U.S. under a protectorate or mandate. Forthe purposes of this subchapter, vessels solely navigating the GreatLakes and the St. Lawrence River as far east as a straight line drawnfrom Cap des Rosiers to West Point, Anticosti Island and, on the northside of Anticosti Island, the 63rd meridian, are 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 FacilitySecurity Code, as incorporated into SOLAS. Maritime Security (MARSEC) Directive means an instructionissued by the Commandant, or his/her delegee, mandating specificsecurity measures for vessels and facilities that may be involved in atransportation security incident. Maritime Security (MARSEC) Level means the level set toreflect the prevailing threat environment to the marine elements ofthe national transportation system, including ports, vessels,facilities, and critical assets and infrastructure located on oradjacent to waters subject to the jurisdiction of the U.S. MARSEC Level 1 means the level for which minimum appropriateprotective security measures shall be maintained at all times. MARSEC Level 2 means the level for which appropriateadditional protective security measures shall be maintained for aperiod of time as a result of heightened risk of a transportationsecurity incident. MARSEC Level 3 means the level for which further specificprotective security measures shall be maintained for a limited periodof time when a transportation security incident is probable orimminent, although it may not be possible to identify the specifictarget. Master means the holder of a valid license that authorizesthe individual to serve as a Master, operator, or person in charge ofthe rated vessel. For the purposes of this subchapter, Master alsoincludes the Person in Charge of a MODU, and the operator of anuninspected towing vessel. OCS Facility means any artificial island, installation, orother complex of one or more structures permanently or temporarilyattached to the subsoil or seabed of the OCS, erected for the purposeof exploring for, developing or producing oil, natural gas or mineralresources. This definition includes all mobile offshore drilling units(MODUs) not covered under part 104 of this subchapter, when attachedto the subsoil or seabed of offshore locations, but does not includedeepwater ports, as defined by 33 U.S.C. 1502, or pipelines. Operator, Uninspected Towing Vessel means an individual whoholds a license described in 46 CFR 15.805(a)(5) or 46 CFR 15.810(d). Owner or operator means any person or entity that owns, ormaintains operational control over, any facility, vessel, or OCSfacility subject to this subchapter. This includes a towing vesselthat has operational control of an unmanned vessel when the unmannedvessel is attached to the towing vessel and a facility that hasoperational control of an unmanned vessel when the unmanned vessel isnot attached to a towing vessel and is moored to the facility;attachment begins with the securing of [[Page 334]] the first mooring line andends with the casting-off of the last mooring line. Passenger vessel means-- (1) On an international voyage, a vessel carrying more than 12passengers, 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 morethan 12 passengers, including at least one passenger-for-hire; (ii) A vessel of less than 100 gross register tons carrying morethan 6 passengers, including at least one passenger-for-hire; (iii) A vessel that is chartered and carrying more than 12passengers; (iv) A submersible vessel that is carrying at least one passenger- for-hire; or (v) A wing-in-ground craft, regardless of tonnage, that iscarrying at least one passenger-for-hire. Passenger-for-hire means a passenger for whom considerationis contributed as a condition of carriage on the vessel, whetherdirectly 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 personallyselected 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 asrecreation, entertainment, retail, or tourism, and not for receivingvessels subject to part 104; (2) That has minimal infrastructure for servicing vessels subjectto 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 orSOLAS Chapter XI-2. Recurring unescorted access means authorization to enter avessel on a continual basis after an initial personal identity andcredential verification. Registered length means the registered length as defined in46 CFR part 69. Restricted areas mean the infrastructures or locationsidentified in an area, vessel, or facility security assessment or bythe operator that require limited access and a higher degree ofsecurity protection. The entire facility may be designated therestricted area, as long as the entire facility is provided theappropriate level of security. Review and approval means the process whereby Coast Guardofficials evaluate a plan or proposal to determine if it complies withthis 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 passengersand crew. The purpose of the screening is to secure the vitalgovernment interest of protecting vessels, harbors, and waterfrontfacilities from destruction, loss, or injury from sabotage or othercauses of similar nature. Such screening is intended to ensure thatdangerous substances and devices, or other items that pose a realdanger of violence or a threat to security are not present. Secure area means the area on board a vessel or at afacility or outer continental shelf facility over which theowner/operator has implemented security measures for access control inaccordance with a Coast Guard approved security plan. It does notinclude passenger access areas, employee access areas, or publicaccess areas, as those terms are defined inSec. Sec. 104.106, 104.107, and 105.106, respectively, ofthis subchapter. Vessels operating under the waivers provided for at46 U.S.C. 8103(b)(3)(A) or (B) have no secure areas. Facilitiessubject to part 105 of this subchapter located in the Commonwealth ofNorthern Mariana Islands have no secure areas. Facilities subject topart 105 of this subchapter may, with approval of the Coast Guard,designate only those portions of their facility that are directlyconnected to maritime transportation or are at risk of being involvedin a transportation security incident as their secure areas. [[Page 335]] Security sweep means a walkthrough to visually inspectunrestricted areas to identify unattended packages, briefcases, orluggage 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 communicateabout activity that may pose a security threat in a location orlocations on a vessel or facility. Sensitive security information (SSI) means informationwithin the scope of 49 CFR part 1520. SOLAS means the International Convention for the Safety ofLife at Sea Convention, 1974, as amended. Survey means an on-scene examination and evaluation of thephysical characteristics of a vessel or facility, and its securitysystems, processes, procedures, and personnel. Transportation security incident (TSI) means a securityincident resulting in a significant loss of life, environmentaldamage, transportation system disruption, or economic disruption in aparticular area. TWIC means a valid, non-revoked transportation workeridentification credential, as defined and explained in 49 CFR part1572. TWIC Program means those procedures and systems that avessel, facility, or outer continental shelf facility (OCS) mustimplement in order to assess and validate TWICs when maintainingaccess control. Unaccompanied baggage means any baggage, including personaleffects, that is not being brought on board on behalf of a person whois boarding the vessel. Unescorted access means having the authority to enter andmove about a secure area without escort. Vessel-to-facility interface means the interaction thatoccurs when a vessel is directly and immediately affected by actionsinvolving the movement of persons, cargo, vessel stores, or theprovisions of facility services to or from the vessel. Vessel-to-port interface means the interaction that occurswhen a vessel is directly and immediately affected by actionsinvolving the movement of persons, cargo, vessel stores, or theprovisions of port services to or from the vessel. Vessel Security Assessment (VSA) means an analysis thatexamines and evaluates the vessel and its operations taking intoaccount possible threats, vulnerabilities, consequences, and existingprotective measures, procedures and operations. Vessel Security Plan (VSP) means the plan developed toensure the application of security measures designed to protect thevessel and the facility that the vessel is servicing or interactingwith, the vessel's cargoes, and persons on board at the respectiveMARSEC Levels. Vessel Security Officer (VSO) means the person onboard thevessel, accountable to the Master, designated by the Company asresponsible for security of the vessel, including implementation andmaintenance of the Vessel Security Plan, and for liaison with theFacility Security Officer and the vessel's Company Security Officer. Vessel stores means-- (1) Materials that are on board a vessel for the upkeep,maintenance, safety, operation or navigation of the vessel; and (2) Materials for the safety or comfort of the vessel's passengersor crew, including any provisions for the vessel's passengers or crew. Vessel-to-vessel activity means any activity not related toa facility or port that involves the transfer of cargo, vessel stores,or persons from one vessel to another. Waters subject to the jurisdiction of the U.S., for purposesof this subchapter, includes all waters described in section 2.36(a)of this chapter; the Exclusive Economic Zone, in respect to the livingand non- living resources therein; and, in respect to facilitieslocated on the Outer Continental Shelf of the U.S., the waterssuperjacent thereto. [USCG-2003-14792, 68 FR 39278, July 1, 2003, asamended at 68 FR 60470, Oct. 22, 2003; USCG-2004-18057,69 FR 34925, June 23, 2004; USCG-2006- 24196, 72 FR 3577,Jan. 25, 2007; USCG-2006-24196, 72 FR 55048, Sept. 28,2007; USCG-2008-0179, 73 FR 35009, June 19, 2008]