[Federal Register Volume 59, Number 58 (Friday, March 25, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-6812]


[[Page Unknown]]

[Federal Register: March 25, 1994]


_______________________________________________________________________

Part III





Department of Transportation





_______________________________________________________________________



Coast Guard



_______________________________________________________________________



33 CFR Parts 120 and 128




Security for Passenger Vessels and Passenger Terminals; Proposed Rule
DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Parts 120 and 128

[CGD 91-012]
RIN 2115-AD75

 
Security for Passenger Vessels and Passenger Terminals

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Coast Guard is proposing rules that establish equipment 
standards, performance standards, and procedures for security against 
acts of terrorism on certain passenger vessels and associated passenger 
terminals. Passenger vessels over 100 gross tons carrying more than 12 
passengers on voyages of over 24 hours on the high seas will be 
affected. These rules are necessary because lack of voluntary 
compliance with measures of the International Maritime Organization 
(IMO) published in 1986, or with these measures published as Coast 
Guard ``guidelines'' in 1987, requires mandatory compliance to attain 
``effective security measures.''

DATES: Comments must be received on or before June 23, 1994.

ADDRESSES: Comments may be mailed to the Executive Secretary, Marine 
Safety Council (G-LRA-2, 3406) [CGD 91-012], U.S. Coast Guard 
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or may 
be delivered to Room 3406 at the above address between 8 a.m. and 3 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is (202) 267-1477. Comments on collection of information 
requirements must also be mailed to the Office of Information and 
Regulatory Affairs, Office of Management and Budget, 725 17th Street 
NW., Washington, DC 20503, Attn: Desk Officer, U.S. Coast Guard.
    The Executive Secretary maintains the public docket for this 
rulemaking. Comments will become part of this docket and will be 
available for inspection or copying at room 3406, U.S. Coast Guard 
Headquarters.
    A copy of the material listed in ``Incorporation by Reference'' is 
available for inspection at Room 1108, U.S. Coast Guard Headquarters.

FOR FURTHER INFORMATION CONTACT:
Mr. Gary W. Chappell, Office of Marine Safety, Security, and 
Environmental Protection (G-MPS-3), Room 1108, (202) 267-0491, between 
7 a.m. and 3:30 p.m., Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION: 

Request for Comments

    The Coast Guard encourages interested persons to participate in 
this rulemaking by submitting written data, views, or arguments. 
Persons submitting comments should include their name and address, 
identify this rulemaking [CGD 91-012] and the specific section of this 
proposal to which each comment applies, and give the reason for each 
comment. Persons wanting acknowledgment of receipt of comments should 
enclose a stamped, self-addressed postcard or envelope.
    The Coast Guard will consider all comments received during the 
comment period. This proposal may change in view of the comments.
    The Coast Guard plans no public hearing. Persons may request a 
public hearing by writing to the Marine Safety Council at the address 
under ADDRESSES. If it determines that the opportunity for oral 
presentations will aid this rulemaking, the Coast Guard will hold a 
public hearing at a time and place announced by a later notice in the 
Federal Register.

Drafting Information

    The principal persons involved in drafting this document are Mr. 
Gary W. Chappell, Project Manager, and Mr. Patrick J. Murray, Project 
Counsel, Office of Chief Counsel.

Background and Purpose

    The vulnerability to terrorism of passenger vessels and associated 
passenger terminals has been a major national and international concern 
since the death of a citizen of the United States (U.S.) during the 
hijacking of the Achille Lauro in 1985. To address this threat, the 
President signed into law the ``Omnibus Diplomatic Security and 
Antiterrorism Act'' in 1986. That act amended the Ports and Waterways 
Safety Act, providing the Coast Guard authority to ``carry out or 
require measures, including inspections, port and harbor patrols, the 
establishment of security and safety zones, and the development of 
contingency plans and procedures, to prevent or respond to acts of 
terrorism.''
    The IMO adopted and published ``Measures to Prevent Unlawful Acts 
Against Passengers and Crews on Board Ships'', also in 1986. Those 
measures, which are guidelines, apply to passenger ships engaged on 
international voyages of 24 hours or more and to the port facilities 
that serve them. The Coast Guard published a notice in the Federal 
Register listing these measures as ``guidelines'' and encouraging 
voluntary compliance [52 FR 11587, (April 9, 1987)].
    Within the U.S., the Coast Guard has relied upon voluntary 
compliance with the IMO's measures and with its own guidelines based on 
them. Coast Guard encouragement to implement these guidelines has 
brought about varying degrees of acceptance. The initial response was 
promising, as many passenger vessels and associated passenger terminals 
operating in the U.S. began implementing these measures. However, most 
of those vessels and terminals implemented the measures only partly. 
Many of them cited cost as the main reason for not implementing the 
measures fully. Progress toward implementation of the measures has 
slowed significantly over the last three years. Some passenger vessels 
and passenger terminals still do not maintain and administer 
appropriate security measures.
    The lack of voluntary compliance with the guidelines, on some 
passenger vessels and at some passenger terminals, indicates that 
mandatory compliance with rules enforced by penalties is necessary to 
attain ``effective security measures'' on passenger vessels making 
voyages on the high seas of 24 hours or more and at all passenger 
terminals associated with those vessels. Consequently, the Coast Guard 
is proposing rules that will specify appropriate equipment standards, 
performance standards, and procedures for security. The Coast Guard has 
modeled the proposed rules after the IMO's measures.

Discussion of Proposed Amendments

    1. The Coast Guard would implement standards for security on 
passenger vessels and at passenger terminals by adding two parts to 
Chapter I of title 33 of the Code of Federal Regulations (CFR). Part 
120, ``Passenger Vessel Security'', would go into Subchapter K, which 
would become ``Security of Vessels.'' Part 128, ``Passenger Terminal 
Security'', would go into Subchapter L, which already governs 
``Waterfront Facilities.''
    2. Proposed Sec. 120.100 would limit the applicability of the rules 
for passenger vessels. Passenger vessels that embark or disembark 
passengers in the U.S. fall under U.S. jurisdiction and are of interest 
since many of the passengers involved are U.S. citizens. The rules 
proposed here concern vessels of over 100 gross tons carrying more than 
12 passengers for hire, making voyages any part of which is on the high 
seas, lasting 24 hours or more. Unlawful acts are likelier to occur on 
longer voyages. A segmented voyage with multiple stops is considered a 
single voyage for determining applicability under this rule. Passenger 
vessels commonly make voyages with port calls less than 24 hours apart 
although the passengers return to the ship after each port call to 
continue their voyage, which lasts over 24 hours. Generally, vessels 
over 100 gross tons are over 65 feet long and carry more than 12 
passengers. The Coast Guard considered other levels of gross tonnage, 
but the number of vessels that would be affected by changing the 
threshold of gross tonnage did not justify the variation in 
applicability between the safety and security regulations. Only 8 
vessels under 1600 gross tons, only 5 of which are under 500 gross 
tons, would be subject to these rules. The high seas was selected as a 
limitation to applicability to passenger vessels because it is a well 
defined jurisdictional area. These limits accord with the IMO's 
guidelines.
    3. Proposed Sec. 120.110 would clarify the meanings of terms used 
in Part 120. Most are identical to definitions in other parts of 
Chapter I of Title 33. The term ``passenger terminal'' here includes 
waterfront facilities, as defined in the Ports and Waterways Safety 
Act, that receive passenger vessels subject to this rulemaking.
    4. Proposed Sec. 120.120 would incorporate standards of American 
Society for Testing and Materials (ASTM) for X-ray screening systems.
    5. Proposed Sec. 120.130 would let the Commandant (G-MPS) approve 
alternative procedures that provide a level of security equivalent to 
that provided by the rules proposed here. Alternative measures provide 
flexibility to allow for situations where compliance is economically or 
physically impracticable. They also allow for the use of better or 
cheaper equipment, performance, and procedures as these are developed.
    6. Proposed Sec. 120.200 would set out the performance standards 
for a security program on each covered passenger vessel.
    7. Proposed Sec. 120.210 would require the designation of 
restricted areas on each covered passenger vessel where access is 
limited to selected persons. Restricted areas would deter the 
introduction of prohibited persons, and prohibited weapons, 
incendiaries, or explosives into sensitive areas where they could be 
used to hijack a vessel. For each restricted area an intrusion 
detection system, with both local and remote alarms, would alert 
security personnel to any illicit entry.
    8. Proposed Sec. 120.220 would require the designation of a ship 
security officer, who would be responsible for managing day to day 
security on the vessel. Such designation is necessary to identify the 
person responsible for ensuring that the security program is carried 
out.
    9. Proposed Sec. 120.230 would require training, which is necessary 
to ensure that security personnel know how to perform their duties.
    10. Proposed Sec. 120.240 would mandate coordination of security 
activities between the vessel and each passenger terminal at which it 
calls. Such coordination is currently lacking. It would both eliminate 
duplication of efforts and reduce the likelihood of gaps in the 
security system.
    11. Proposed Sec. 120.250 would require reports of specified acts 
directed against the vessels or their passengers. These reports are 
necessary to inform the Coast Guard and other law enforcement agencies 
of the extent of such acts occurring so that they can allocate 
resources to deter or respond to similar acts in the future.
    12. Proposed Secs. 120.300, 120.305, and 120.307 would require a 
ship security plan and specify procedures for review and amendment of 
the plan. The ship security plan is the basic document that sets forth 
each vessel's strategy for security. It includes a written description 
of the ship security program, which comprises the ship security survey, 
the ship security bill, and various security procedures. This document 
provides a ready source of information for security personnel and law 
enforcement agencies which may be called upon to respond to an 
incident. It also enables the Coast Guard to evaluate the vessel's 
strategy for security. When the plan has been reviewed by the Coast 
Guard and found to meet the requirements, a letter of adequacy is 
provided to the operator. Since the plan must be updated from time to 
time, Sec. 120.307 sets up the means for the operator to make 
amendments, either because of changed circumstances or when directed to 
do so. A provision is included to allow the imposition of emergency 
measures by the Coast Guard. No exemption from Freedom of Information 
Act disclosure requirements is currently provided for ship security 
plans. Comments are solicited on whether these plans should be exempted 
from Freedom of Information Act disclosure to preserve their 
confidentiality.
    13. Proposed Secs. 120.310 and 120.320 would require a ship 
security survey that provides the information necessary to develop the 
ship security plan. The procedures constituting the plan will depend 
upon the threats and vulnerabilities identified in the survey. The 
survey must undergo periodic updates to reflect changes in threats and 
vulnerability. The recent pace of changes in threats suggests that two 
years is the longest prudent interval between updates. The survey also 
needs to be updated when new ports are visited or there are changes to 
the vessel that may affect vessel security. An update is also required 
when there is a change in key vessel personnel because a change in 
these personnel may influence vessel security.
    14. Proposed Sec. 120.330 would require a ship security bill that 
indicates the security duties and watch schedules necessary to 
implement security procedures. This document not only informs members 
of the crew of their responsibilities but enables review of the duties 
and schedules by law enforcement agencies.
    15. Proposed Sec. 120.340 would require standard operating 
procedures relative to security (SSOPs) that set forth, in writing, 
routine activities (and standardized responses to certain non-routine 
situations). These procedures enable the operators of the vessels to 
train and inform security personnel. They also enable the Coast Guard 
to evaluate the adequacy of those activities and responses. In order 
for security measures to be effective, and because the measures must be 
tailored to the particular vessel and terminal, the rules do not 
contain detailed standards for the SSOPs. The Coast Guard will provide 
guidelines for the SSOPs to vessel and terminal operators and the rules 
provide for individualized consideration of SSOPs developed by vessel 
and terminal operators, including a process to resolve disagreements as 
to their adequacy.
    16. Proposed Sec. 120.350 would require identification procedures 
for personnel boarding passenger vessels and entering restricted areas 
on the vessels. These procedures are necessary to determine the 
eligibility of members of the crew, passengers, visitors, vendors, and 
other personnel for boarding or entry. In general the procedures 
provide for use of identification that bears a photograph of the person 
to verify the identity of the person seeking access. Although 
alterations to such identification cards are possible, alterations are 
generally detectable if the cards are properly laminated. Use of a 
voyage specific identification card bearing a photograph provides an 
inexpensive and convenient means of ensuring that persons reboarding 
the vessel at intermediate port stops are, in fact, passengers on that 
voyage.
    17. Proposed Sec. 120.360 would tell how to conduct screening of 
persons and property boarding vessels or entering restricted areas on 
vessels. Screening is necessary to ensure that prohibited weapons, 
incendiaries, and explosives are not introduced onto the vessels or 
into restricted areas aboard them. Stricter screening is necessary for 
property accessible to passengers than for articles accessible only to 
members of the crew. Only a certain percentage of these articles such 
as ships' stores, would be required to undergo screening, or search. 
The fact that random screening is taking place will deter the smuggling 
of prohibited weapons, incendiaries, or explosives while minimizing the 
burden on vessel and terminal operators.
    18. Proposed Sec. 120.370 would require communication procedures to 
be established aboard each covered passenger vessel. Communications are 
important for summoning assistance from other members of the crew, from 
the passenger terminal, or from local law enforcement agencies in an 
actual or potential emergency. Distress signals are necessary in case 
the primary means of communications is damaged or destroyed.
    19. Proposed Sec. 120.400 would prohibit most carriage of weapons, 
incendiaries, and explosives on covered passenger vessels. Certain law 
enforcement officials may carry firearms. Inaccessible baggage may 
contain weapons under some circumstances.
    20. Proposed Sec. 120.410 would require lighting for security on 
covered passenger vessels during darkness. Lighting has proved 
effective in deterring unauthorized entry into secured areas.
    21. Proposed Sec. 120.420 would require local and remote alarms for 
the intrusion detection systems aboard passenger vessels required by 
Sec. 120.210. Alarms are necessary to alert security personnel when 
intrusion occurs, because these systems are generally monitored in 
areas remote from the restricted areas. Early response is critical to 
security, and without alarms, intrusions could go unnoticed.
    22. Proposed Sec. 120.430 would specify screening systems to detect 
prohibited weapons, incendiaries, and explosives before they could be 
carried aboard vessels. Those systems generally comprise X-ray 
machines, metal detectors, and manual searches; they may include either 
dogs trained to detect explosives or explosives detecting machines. The 
specifications for X-ray systems draw on standards of ASTM, which 
include, for existing technology, appropriate settings and sensitivity 
of the systems' components. In order for these security measures to be 
effective, and because the measures employed will vary for each vessel 
and terminal, detailed requirements other than the ASTM standard for X-
ray systems, if used, are not contained in the rules. Security measures 
developed by vessel and terminal operators will be reviewed for 
adequacy and appropriateness for the particular vessel and terminal.
    23. Proposed Sec. 120.440 would set the requirements for testing 
and maintenance of security equipment. Unless security equipment is 
appropriately maintained, failure is likelier; unless it is 
periodically tested or checked, failure is likelier to go undetected 
for a long time.
    24. Proposed Sec. 120.450 would require records of checks and 
maintenance of security equipment. Records are necessary for the Coast 
Guard to verify that equipment is being cared for properly.
    25. Proposed Sec. 128.100 would limit the applicability of the 
rules for passenger terminals. Only those waterfront facilities that 
serve passenger vessels subject to part 120 need satisfy these 
requirements.
    26. Proposed Secs. 128.110 through 128.430 are analogous to 
proposed Secs. 120.110 through 120.430 because the subjects are 
analogous. Section 128.210 excludes the boarding area for passengers 
from the requirement of an intrusion detection system because the 
extent of the typical area makes such a system impracticable. Signs for 
restricted areas on passenger terminals are only required in English. 
Comments are sought on the need to require signs in other languages for 
restricted areas on U.S. passenger terminals.
    27. Proposed Sec. 128.435 would specify security barriers. The ease 
of access to passenger terminals from surrounding areas makes barriers 
necessary to deter unauthorized entry into terminals. General practices 
from industry helped form the standards for the construction of 
security fences and walls.
    28. Proposed Secs. 128.440 through 128.450 are analogous to 
proposed Secs. 120.440 through 120.450 because the subjects are 
analogous.

Incorporation by Reference

    The following material would be incorporated by reference: ASTM 
F792-82, Design and Use of Ionizing Radiation Equipment for the 
Detection of Items Prohibited in Controlled Access Areas, 1982.
    Copies of the material are available for inspection where indicated 
under ADDRESSES. Copies of the material are available at the addresses 
in Secs. 120.120 and 128.120.
    Before publishing final rules, the Coast Guard will submit this 
material to the Director of the Federal Register for approval of the 
incorporation by reference.

Regulatory Evaluation

    This proposal is not major under Executive Order 12291 but is 
considered significant under the Department of Transportation 
Regulatory Policies and Procedures [44 FR 11040 (February 26, 1979)] 
because it is a high priority project within the Coast Guard and 
involves important Departmental policy. A draft Regulatory Evaluation 
is available in the docket for inspection or copying where indicated 
under ADDRESSES.
    The Coast Guard anticipates that approximately 100 passenger 
vessels and 53 passenger terminals would be affected. Of the passenger 
vessels, approximately 97 are cruise vessels carrying in excess of 100 
passengers operating out of U.S. ports. All of the terminals service 
these cruise vessels. There may be up to 40 vessels and 20 terminals 
that would be subject to these rules only on an occasional basis.
    Initial implementing costs are estimated to be $14 million, of 
which approximately $12 million would be for security equipment. Annual 
operating costs are estimated to be $10 million.

Small Entities

    Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the 
Coast Guard must consider whether this proposal will have a significant 
economic impact on a substantial number of small entities. ``Small 
entities'' include independently owned and operated businesses that are 
not dominant in their field and that otherwise qualify as ``small 
business concerns'' under Sec. 3 of the Small Business Act [15 U.S.C. 
632].
    This rulemaking could have more than a minimal impact on a few 
small entities, but most passenger vessels making voyages on the high 
seas of 24 hours or more, and most terminals associated with them, are 
neither owned nor operated by small entities. Security requirements for 
small vessels and terminals will be less complex and less expensive to 
implement than for large vessels and terminals. Therefore, the Coast 
Guard certifies under 5 U.S.C. 605(b) that this proposal, if adopted, 
will not have a significant economic impact on a substantial number of 
small entities. If, however, you think that your business qualifies as 
a small entity and that this proposal will have a significant economic 
impact on your business, please submit a comment (see ADDRESSES) 
explaining why you think your business qualifies and in what way and to 
what degree this proposal will economically affect your business.

Collection of Information

    Under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], the 
Office of Management and Budget (OMB) reviews each proposed rule that 
contains a collection of information requirement, to determine whether 
the practical value of the information is worth the burden imposed by 
its collection. Collection of information requirements including 
reporting, recordkeeping, notification, and other, similar 
requirements.
    This proposal contains collection of information requirements in 
the following sections:

                                                                        
------------------------------------------------------------------------
              Section                               Topic               
------------------------------------------------------------------------
120.230............................  Training.                          
120.250............................  Reporting of unlawful acts and     
                                      related activities.               
120.300............................  Plan: general.                     
120.305............................  Plan: letter of adequacy.          
120.307............................  Plan: amendment.                   
120.310............................  Survey: general.                   
120.330............................  Bill.                              
120.340............................  Security standard operating        
                                      procedures.                       
120.350............................  Identification.                    
120.450............................  Records.                           
128.230............................  Training.                          
128.250............................  Reporting of unlawful acts and     
                                      related activities.               
128.300............................  Plan: general.                     
128.305............................  Plan: letter of adequacy.          
128.307............................  Plan: amendment.                   
128.310............................  Survey: general.                   
128.330............................  Bill.                              
128.340............................  Security standard operating        
                                      procedures.                       
128.350............................  Identification.                    
128.450............................  Records.                           
------------------------------------------------------------------------

    The Coast Guard has submitted the requirements to OMB for approval 
under subsection 3504(h) of the Paperwork Reduction Act.
    Title: Security for Passenger Vessels and Passenger Terminals;
    Need for Information: Protect the public from injury, prevent 
damage to property, and avoid economic losses;
    Proposed Use of Information: Regulatory compliance, program 
management, and program evaluation; Frequency: On Occasion; Burden 
Estimate: 42,408 hours; Respondents: 153; Forms: None;
    Average Burden Hours Per Respondent: 277. Persons submitting 
comments on the requirements should submit their comments both to OMB 
and to the Coast Guard where indicated under ADDRESSES.

Federalism

    The Coast Guard has analyzed this proposal in accordance with the 
principles and criteria contained in Executive Order 12612 and has 
determined that this proposal does not have sufficient implications for 
federalism to warrant the preparation of a Federalism Assessment.

Environment

    The Coast Guard considered the environmental impact of this 
proposal and concluded that under section 2.B.2. of Commandant 
Instruction M16475.1B, this proposal is categorically excluded from 
further environmental documentation. This action carries out Coast 
Guard statutory authority in the area of maritime safety. A Categorical 
Exclusion Determination is available in the docket for inspection or 
copying where indicated under ADDRESSES.

List of Subjects

33 CFR Part 120

    Security, Passenger vessels, Reporting and recordkeeping 
requirements.

33 CFR Part 128

    Security, Waterfront facilities, Reporting and recordkeeping 
requirements.

    For the reasons set out in the preamble, the Coast Guard proposes 
to amend chapter I of title 33, Code of Federal Regulations, as 
follows:

    1. Subchapter K is added to read as follows:

SUBCHAPTER K--SECURITY OF VESSELS

Parts
120  Passenger Vessel Security.
128  Passenger Terminal Security.

PART 120--PASSENGER VESSEL SECURITY

Subpart A--General

Sec.
120.100  Applicability.
120.110  Definitions.
120.120  Incorporation by reference.
120.130  Alternatives.

Subpart B--Security Program

120.200  General.
120.210  Restricted areas.
120.220  Ship security officer.
120.230  Training.
120.240  Coordination with terminal security.
120.250  Reporting of unlawful acts and related activities.

Subpart C--Ship Security Plan and Procedures

120.300  Plan: general.
120.305  Plan: letter of adequacy.
120.307  Plan: amendment.
120.310  Survey: general.
120.320  Survey: contents.
120.330  Bill.
120.340  Security standard operating procedures.
120.350  Identification.
120.360  Screening.
120.370  Communications.
120.380  Prohibition against carriage of weapons.

Subpart D--Equipment

120.410  Lighting.
120.420  Alarms.
120.430  Screening.
120.440  Maintenance.
120.450  Records.

    Authority: 33 U.S.C. 1231; 49 CFR 1.46.

Subpart A--General


Sec. 120.100  Applicability.

    This part applies to--
    (a) All passenger vessels over 100 gross tons making a voyage on 
the high seas lasting 24 hours or more, during which more than 12 
passengers are carried for hire, and for which passengers are embarked 
or disembarked in the United States or its territories; and
    (b) All U.S. flag passenger vessels over 100 gross tons making a 
voyage on the high seas lasting 24 hours or more, during which more 
than 12 passengers are carried for hire.


Sec. 120.110  Definitions.

    As used in this part:
    Captain of the Port (COTP) means the Coast Guard officer designated 
by the Commandant to command a Captain of the Port Zone as described in 
part 3 of this chapter, or an authorized representative.
    Commandant means the Commandant of the U.S. Coast Guard, or an 
authorized representative. Letters should be sent to Commandant (G-
MPS), 2100 Second Street SW., Washington, DC 20593-0001.
    High seas means all waters that are neither territorial seas nor 
internal waters of the United States or of any foreign country as 
defined in part 2, subpart 2.05, of this chapter.
    Operator means the person, company, or governmental agency, or the 
representative of a company or governmental agency, that maintains 
operational control over a passenger vessel or passenger terminal.
    Passenger terminal means any structure used for the assembling, 
processing, embarking, or disembarking of passengers or baggage for 
vessels subject to this part. It includes: Piers, wharves, and similar 
structures to which a vessel may be secured; land and water under or in 
immediate proximity to these structures; buildings on or contiguous to 
these structures; and equipment and materials on or in these 
structures.
    Unlawful act means an act that is a felony under U.S. federal law 
or under the laws of the state where the vessel is located.
    Voyage means the passenger vessel's entire course of travel, from 
the first port at which the vessel embarks passengers until its return 
to that port.


Sec. 120.120  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register in accordance 
with 54 U.S.C. 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 make the 
material available to the public. All approved material is on file at 
the Office of the Federal Register, 1100 L Street NW., Washington, DC, 
and at the U.S. Coast Guard, (G-MPS), 2100 Second Street SW., 
Washington, DC, 20593-0001, and is available from the sources indicated 
in paragraph (b) of this section.
    (b) The materials approved for incorporation by reference in this 
part and the sections affected are:

American Society for Testing and Materials (ASTM)
    1916 Race Street, Philadelphia, PA 19103
    ASTM F-792-82, Design and Use of Ionizing Radiation
Equipment for the Detection of Items Prohibited in Controlled Access 
Areas, 1982--120.430


Sec. 120.130  Alternatives.

    (a) The Commandant may consider and approve alternative procedures 
or standards for an operator of a vessel to which this part applies to 
use instead of any procedure or standard required by this part if upon 
the Commandant's determination--
    (1) Compliance with the one required is economically or physically 
impracticable;
    (2) The alternative provides an equivalent level of security; and
    (3) The operator submits a written request for the alternative, 
which contains sufficient information to establish, to the satisfaction 
of the Commandant, that the alternative provides an equivalent level of 
security.
    (b) The Commandant will approve or disapprove the request, in 
writing, within 30 days of receipt of the written request.

Subpart B--Security Program


Sec. 120.200  General.

    (a) Each operator of a vessel to which this part applies shall 
implement for each vessel a program that--
    (1) Provides for the safety of persons and property traveling 
aboard the vessel, against acts of piracy and criminal violence;
    (2) Prevents or deters the carriage aboard the vessel of any 
prohibited weapon, incendiary, or explosive on or about any person or 
within his or her personal articles or baggage, and the carriage of any 
prohibited weapon, incendiary or explosive in stowed baggage, cargo, or 
stores;
    (3) Prevents or deters unauthorized access to the vessel and to 
restricted areas aboard the vessel;
    (4) Provides means to meet the requirements of this part for normal 
operations and addresses increased security measures to be implemented 
when advised by the Commandant or COTP of an increased threat to the 
vessel or persons on the vessel;
    (5) Designates, by name, a ship security officer for the vessel;
    (6) Ensures that all members of the crew are adequately trained to 
perform their duties relative to security;
    (7) Provides for coordination with terminal security while in port; 
and
    (8) Includes the equipment, plans, and procedures required by 
Subparts B and C of this part.
    (b) Each operator of a vessel to which this part applies shall, 
where practicable, work with the operator of each terminal at which the 
vessel embarks or disembarks passengers, to provide security for the 
passengers and the vessel. The vessel, however, need not duplicate any 
provisions of this part fulfilled by the terminal unless directed by 
the Commandant.


Sec. 120.210  Restricted areas.

    (a) Each operator of a vessel to which this part applies shall 
designate the following areas of the vessel as ``restricted areas''.
    (1) The navigational bridge.
    (2) The communications center or radio room.
    (3) The engine room.
    (4) The administrative spaces.
    (5) The armory.
    (6) Control rooms for fire fighting equipment.
    (7) Other areas, determined by the operator, to which access must 
be restricted to maintain the security of the vessel.
    (b) Each restricted area must be appropriately secured, with access 
limited to authorized personnel.
    (c) Each restricted area must be distinctly marked with a placard, 
mounted at eye level, that is at least 20 centimeters (8 in) high by 30 
centimeters (12 in) wide with the words ``Restricted Area--Authorized 
Personnel Only'' in red letters, at least 5 centimeters (2 in) high, on 
a white background, in enough languages that each member of the crew 
can understand at least one of them.
    (d) Each restricted area must be equipped with an intrusion 
detection system that activates an audible alarm in accordance with 
Sec. 120.420(a).
    (e) Each restricted area and its intrusion detection system must be 
designated in the plan required by Sec. 120.300.


Sec. 120.220  Ship security officer.

    (a) Each operator of a vessel to which this part applies shall 
designate a ship security officer for the vessel.
    (b) This officer shall be responsible for--
    (1) Conducting, amending, and updating the survey required by 
Sec. 120.310;
    (2) Instituting, monitoring, and recording training for members of 
the crew relative to security;
    (3) Conducting regular inspections of the vessel;
    (4) Proposing modifications to the plan required by Sec. 120.300, 
to correct its deficiencies and satisfy the security requirements of 
the vessel;
    (5) Encouraging vigilance, as well as general awareness of 
security, aboard the vessel;
    (6) Reporting all occurrences or suspected occurrences of unlawful 
acts and related activities in accordance with Sec. 120.250; and
    (7) Coordinating, with the terminal security officer of each 
terminal at which the vessel embarks or disembarks passengers, 
implementation of the plan required by Sec. 120.300.


Sec. 120.230  Training.

    (a) Training for security aboard each vessel to which this part 
applies is the responsibility of the operator and the ship security 
officer of the vessel.
    (b) This training must be provided to all members of the crew with 
security duties and must emphasize measures to take when advised by the 
Commandant or the COTP of an increased threat to the vessel or persons 
on the vessel.
    (c) Subjects for training must include, but need not be limited 
to--
    (1) Communications;
    (2) Control of access;
    (3) Patrol;
    (4) Response to emergencies;
    (5) Reporting;
    (6) Characteristics and behavior of persons who may commit unlawful 
acts;
    (7) Review of security standard operating procedures (SSOPs) for 
the vessel; and
    (8) Support from shoreside relative to security.
    (d) A record of the date and kind of training for security aboard 
ship provided to each member of the crew receiving training must stay 
on the vessel for the duration of the member's employment plus six 
months. The operator shall make all such records available to the COTP 
upon request.


Sec. 120.240  Coordination with terminal security.

    (a) Before embarking or disembarking passengers at a passenger 
terminal, the operator of a vessel to which this part applies shall, 
where practicable, work with the operator of the terminal, to provide 
security for the passengers and the vessel. The operator of the vessel 
need not duplicate any provisions of this part fulfilled by the 
operator of the terminal unless directed by the Commandant.
    (b) The operator of the vessel shall--
    (1) Agree, as far as possible, in writing, with the operator of the 
terminal which responsibilities the terminal will fulfill and which the 
vessel will;
    (2) Establish communications with the terminal immediately after 
mooring;
    (3) Provide the terminal with a list of passengers and a list of 
all scheduled deliveries and services to the vessel; and
    (4) Obtain a copy of the terminal security plan.
    (c) If the vessel embarks or disembarks passengers where there is 
no terminal, the operator of the vessel shall fulfill all of the 
responsibilities in this part.


Sec. 120.250  Reporting of unlawful acts and related activities.

    (a) Each member of the crew trained under Sec. 120.230 having 
knowledge of an unlawful act, a suspicious activity, a breach of 
security, or a threat against the vessel or persons on board shall 
notify the operator of the vessel, the master or ship security officer 
of the vessel, or another representative of the operator. If the member 
cannot notify any of these, the member shall notify the COTP.
    (b) The operator of the vessel or the operator's representative 
shall report each breach of security, unlawful act, or threat of an 
unlawful act against the vessel or persons aboard it that occurs in a 
place subject to the jurisdiction of the United States to the COTP and 
to the local office of the Federal Bureau of Investigation (FBI). Also, 
the operator of each United States flag vessel shall report each such 
incident that occurs in a place outside the jurisdiction of the United 
States to the Commandant.
    (c) Each report required by paragraph (b) of this section must 
include, to the extent known--
    (1) The vessel's name;
    (2) The vessel's flag;
    (3) The name of the vessel's master;
    (4) If the vessel is moored to a passenger terminal, the name of 
the terminal security officer;
    (5) An account of the incident;
    (6) The date, time and place of the incident;
    (7) The number of alleged offenders;
    (8) The method used to introduce any prohibited weapon, incendiary, 
or explosive into or onto the vessel;
    (9) A description of any weapon, incendiary, or explosive involved;
    (10) A description of how any weapon, incendiary, or explosive 
involved was concealed and used;
    (11) A description of how security was breached; and
    (12) A statement of what measures have been taken or will be taken 
to prevent another such incident.
    (d) Use of the form ``Report on an Unlawful Act'', contained in the 
``Measures to Prevent Unlawful Acts Against Passengers and Crews on 
Board Ships'' published by the International Maritime Organization in 
1986, is encouraged.
    (e) Each report must stay on file with the plan required by 
Sec. 120.300 for a period of two years. All reports shall be used by 
the person preparing the next survey required by Sec. 120.310.

Subpart C--Ship Security Plan and Procedures


Sec. 120.300  Plan: general.

    (a) Each operator of a vessel subject to this part shall develop 
and maintain, in writing, a ship security plan that--
    (1) Describes the program required by Sec. 120.200;
    (2) Includes the survey required by Sec. 120.310, the bill required 
by Sec. 120.330, and the SSOPs required by Sec. 120.340;
    (3) Includes an appendix, for each port in which the vessel embarks 
or disembarks passengers, that describes port specific security 
information.
    (b) The operator shall amend the plan to address any known 
deficiencies and to satisfy the security requirements of the vessel 
each time the survey is updated under Sec. 120.310(b); and
    (c) The plan must contain procedures to--
    (1) Deter unauthorized access to the vessel and its restricted 
areas;
    (2) Deter the introduction of prohibited weapons, incendiaries, or 
explosives aboard the vessel;
    (3) Encourage vigilance, as well as general awareness of security 
aboard the vessel;
    (4) Provide adequate training to members of the crew for security 
aboard the vessel;
    (5) Coordinate responsibilities for security with the operator of 
each terminal at which the vessel embarks or disembarks passengers; and
    (6) Provide information to members of the crew and law enforcement 
personnel, in case of an incident affecting security.
    (d) The operator shall furnish to the COTP for each port at which 
the vessel calls, a copy of each plan or amendment found adequate under 
Sec. 120.305 or Sec. 120.307. The copy shall be furnished to the COTP 
at least 7 days prior to the first call at the port.


Sec. 120.305  Plan: letter of adequacy.

    (a) Each operator of a passenger vessel subject to this part shall 
submit the ship security plan required by Sec. 120.300 to the 
Commandant (G-MPS), 2100 Second Street SW., Washington, DC, 20593-0001 
for review before [Insert date 90 days after date of publication of the 
final rule in the Federal Register], or at least 60 days before 
embarking passengers on a voyage described in Sec. 120.100, whichever 
is later.
    (b) Within 30 days after receipt of a proposed ship security plan, 
the Chief, Port Safety and Security Division will issue to the operator 
either a letter of adequacy certifying that the ship security plan 
adequately addresses the requirements of this part or a notice of 
deficiencies in the plan relative to the requirements of this part.
    (c) Within 30 days after receipt of a notice of deficiencies, the 
operator may either submit a modified ship security plan or submit an 
appeal of the notice of deficiencies to the Chief, Office of Marine 
Safety, Security and Environmental Protection. The decision of the 
Chief, Office of Marine Safety, Security and Environmental Protection 
is a final agency action.
    (d) The Chief, Port Safety and Security Division may void the 
letter of adequacy if the operator--
    (1) Amends the ship security plan without following the procedures 
in Sec. 120.307;
    (2) Fails to amend the ship security plan when required by the 
Commandant; or
    (3) Fails to update the ship security plan as required by 
Sec. 120.300(d).
    (e) No vessel subject to this part shall embark or disembark 
passengers in the United States after [Insert date 120 days after date 
of publication of the final rule in the Federal Register] unless it has 
a valid letter of adequacy for its ship security plan or an appeal 
under paragraph (c) of this section is pending.


Sec. 120.307  Plan: amendment.

    (a) Amendments to update the ship security plan may be initiated by 
the operator of a passenger vessel subject to this part or directed by 
the Commandant.
    (b) If initiated by the operator, each proposed amendment to the 
ship security plan, including changes to the enclosures required by 
Sec. 120.300(a), must be submitted to the Commandant for review at 
least 30 days before the proposed effective date, unless a shorter 
period is allowed by the Commandant.
    (c) The Commandant may direct the operator of a passenger vessel 
subject to this part to amend the ship security plan if it is 
determined that implementation of the plan is not providing effective 
security or there is an increased threat affecting the vessel. Except 
in an emergency, a written notice of matters to be addressed will be 
issued to the operator and the operator will be provided at least 60 
days to submit proposed amendments.
    (d) Within 15 days after receipt of a proposed amendment, the 
Chief, Port Safety and Security Division will issue a letter to the 
operator either accepting the proposed amendment or addressing why the 
proposed amendment does not adequately meet the requirements of this 
part.
    (e) A notice to amend a ship security plan or a rejection of a 
proposed amendment by the Chief, Port Safety and Security Division may 
be appealed within 30 days of receipt as provided in Sec. 120.305.
    (f) If there is an emergency or other circumstance that makes the 
procedures in paragraphs (c), (d) and (e) of this section impractical, 
the COTP may order the operator of a vessel subject to this part to 
implement increased security measures immediately. The order will 
incorporate a statement of the reasons for the emergency action. Orders 
issued by the COTP may be appealed as provided in Sec. 160.7 of this 
chapter.


Sec. 120.310  Survey: general.

    (a) Each operator of a passenger vessel subject to this part shall 
conduct an initial, comprehensive ship security survey before preparing 
the plan required by Sec. 120.300.
    (b) The operator shall update the survey at least every two years 
and whenever there is a--
    (1) Notification from the Commandant or the COTP of an increased 
threat to the ports and waterways visited; or
    (2) New port added to the itinerary of the vessel.
    (c) The operator shall update the survey and notify the Commandant 
within 10 days of a--
    (1) Change in the description of the vessel required by 
Sec. 120.320(g); or
    (2) Change in the owner, operator, or master of the vessel or in 
the operator's representative.
    (d) The survey must address potential threats against the vessel or 
persons aboard it, while it is under way, anchored, or moored and must 
consider the vulnerability of the vessel to those threats at each 
terminal, anchorage, and waterway used.
    (e) The operator shall ensure that distribution, disclosure, and 
availability of information contained in the survey is confined to 
those persons with an operational need to know. These persons include 
the operator, the master, the ship security officer, the terminal 
security officer, and appropriate law enforcement officials. When not 
under supervision, copies of the survey under the control of the 
operator must be kept in a locked safe or other secure container, to 
prevent disclosure to unauthorized persons.


Sec. 120.320  Survey: contents.

    The survey required by Sec. 120.310 must include--
    (a) The date of the survey;
    (b) The date of the last such survey;
    (c) The name and call sign of the passenger vessel;
    (d) The names of the owner, operator, and master of the vessel;
    (e) The name, business address, and telephone number of the 
operator's representative in each U.S. port visited;
    (f) The flag of registry of the vessel;
    (g) A description of the vessel that includes--
    (1) The length overall;
    (2) The draft forward and aft under full load;
    (3) The gross tonnage;
    (4) The year built;
    (5) The number of passenger berths aboard;
    (6) A schematic showing the general layout of the vessel;
    (7) A schematic showing the place and purpose of each actual and 
potential point of access, including each door, hatch, and passageway;
    (8) A schematic or list indicating the kind, place, area of 
illumination, and intensity of all security lighting;
    (9) A schematic or list indicating the location of each restricted 
area designated under Sec. 120.210 and each means of securing it;
    (10) A description of each intrusion detection system installed;
    (11) A schematic or list indicating the kind and place of emergency 
and standby equipment for maintenance of essential services aboard the 
vessel;
    (12) The open deck arrangement including the height of the deck 
above the water;
    (13) Waterline profile photographs of both port and starboard sides 
of the vessel;
    (14) An aerial photograph of the vessel;
    (15) A list of all firearms carried aboard the vessel, other than 
those in secure baggage, indicating the persons to whom they are issued 
or the locations in which they are stored; and
    (16) A list of the types of ammunition and pyrotechnics carried 
aboard the vessel indicating the locations in which they are stored;
    (h) An account of the normal manning of the vessel that includes--
    (1) The number of officers assigned; and
    (2) The number of members of the crew assigned;
    (i) A list of each SSOP in effect;
    (j) Security equipment in use, including that for inspection, 
control, monitoring, firefighting, lifesaving, and communication; 
alarms; lighting; and intrusion detection systems;
    (k) Information on current threats of unlawful acts provided to the 
vessel by the Commandant or COTP for each terminal, port area, 
anchorage, and waterway used;
    (l) An assessment of the vulnerability of the vessel to each threat 
identified in paragraph (k) of this section;
    (m) A list of the measures and procedures in the ship security plan 
to counter each threat identified in paragraph (k) of this section; and
    (n) A description of the ability of the screening points of the 
vessel to detect prohibited weapons, incendiaries, and explosives on 
persons, or in personal articles, baggage, cargo, and stores.


Sec. 120.330  Bill.

    (a) Each operator of a vessel to which this part applies shall 
develop a ship security bill.
    (b) The bill must set forth--
    (1) The name of each member of the crew assigned a duty relative to 
security;
    (2) Each duty relative to security assigned; and
    (3) The station at which each duty will be performed.
    (c) A copy of the bill must be available to the deck watch officer 
on the navigational bridge and provided to each member of the crew 
assigned a security related duty.
    (d) The bill must constitute part of the plan required by 
Sec. 120.300 and must be reviewed and, if necessary, updated each time 
the survey is updated under Sec. 120.310 (b) and (c).


Sec. 120.340  Security standard operating procedures.

    (a) Each operator of a vessel to which this part applies shall 
develop security standard operating procedures (SSOPs) that detail the 
number and duties of all members of the crew required for each activity 
relative to security aboard ship. Each SSOP must be reviewed and, if 
necessary, updated each time the survey is updated under Sec. 120.310 
(b) and (c).
    (b) The operator shall determine the number and duties of members 
of the crew required for normal operations and for an increased level 
of security, based on information in the survey and on the advice of 
the master and the ship security officer.
    (c) Each SSOP must differentiate as far as it can between actions 
appropriate for routine situations, increased security levels, and 
emergency situations.
    (d) Unless otherwise directed by the Commandant, the operator shall 
develop an SSOP for--
    (1) Watches and patrols conducted while the vessel is under way, 
anchored, or moored;
    (2) Tracking the arrival and departure of vendors, repair 
personnel, dock workers, and visitors boarding the vessel;
    (3) Inspection, control, and monitoring of persons, personal 
articles, and baggage coming onto the vessel;
    (4) Inspection, control, and monitoring of cargo, stores, and 
stowed baggage accessible only to members of the crew designated by the 
operator;
    (5) Communications for emergency and routine situations;
    (6) Response to suspicious packages, baggage, or cargo identified 
while the vessel is under way, anchored, or moored;
    (7) Response to prohibited weapons found or suspected;
    (8) Security during response to fire or explosion aboard the vessel 
or on a terminal to which the vessel is moored;
    (9) Response to an incendiary or explosive found or suspected 
aboard the vessel;
    (10) Response to unauthorized armed persons detected aboard the 
vessel;
    (11) Response to a breach of security or to suspicious activity 
aboard, or near, the vessel;
    (12) Procedure for reporting a breach of security or a suspicious 
activity;
    (13) Response to alarms;
    (14) Security while rendering assistance at sea;
    (15) Use of security equipment, including any intrusion detection 
or surveillance system installed aboard the vessel;
    (16) Issuance of, use of, and accountability for identification 
cards; and
    (17) Issuance of, use of, and accountability for keys.
    (e) An SSOP must address watches when the vessel is--
    (1) Underway, for:
    (i) Each deck.
    (ii) The uppermost deck, fore and aft.
    (iii) The communications center.
    (iv) The navigational bridge.
    (v) The engine room;
    (2) At anchor or moored, for:
    (i) Each point of access.
    (ii) Each deck topside.
    (iii) The communications center.
    (iv) The navigational bridge; and
    (3) Receiving or discharging passengers or stores, for:
    (i) Each point of access.
    (ii) Each stowage area.
    (iii) The main deck (roving patrol).
    (iv) The communications center.
    (v) The navigational bridge.
    (f) The SSOP respecting issuance of, use of, and accountability for 
keys must include--
    (1) A record of each person issued a key to a restricted area;
    (2) An inventory of keys to restricted areas that are not issued to 
members of the crew;
    (3) Designation of a secure container for storing keys to 
restricted areas that are not issued to members of the crew; and
    (4) Steps to take if a key to a restricted area is lost or missing.


Sec. 120.350  Identification.

    (a) Each operator of a vessel to which this part applies shall 
establish a system of identification and control of personnel for the 
vessel that--
    (1) Designates, in writing, each category of persons authorized to 
be aboard the vessel and each person authorized to be in a restricted 
area;
    (2) Allows access only to persons designated in accordance with 
paragraph (a)(1) of this section; and
    (3) Establishes procedures meeting the requirements in paragraphs 
(b), (c) and (d) of this section for identifying each person authorized 
access to the vessel or to a restricted area aboard the vessel.
    (b) Each operator of a vessel to which this part applies shall 
issue an identification card to each member of the crew and other 
employee. The ship security officer shall maintain a record of each 
identification card issued and of each blank one aboard, by number. 
Unissued identification cards must be kept in a locked safe or other 
secure container accessible only to the master, the ship security 
officer, and other designated employees. The identification card must--
    (1) Be made of durable material that can be imprinted with 
appropriate identifying information;
    (2) Include a color photograph, approximately 3 centimeters (1\1/4\ 
in) by 3.6 centimeters (1\1/2\ in);
    (3) Be laminated on both sides, with a clear plastic material that 
resists aging, discoloration, and separation; and
    (4) Contain the following:
    (i) Cardholder's name.
    (ii) Cardholder's date of birth.
    (iii) Cardholder's height.
    (iv) Cardholder's weight.
    (v) Color of cardholder's hair.
    (vi) Color of cardholder's eyes.
    (vii) A unique number.
    (viii) Name of the vessel, cruise line, or company that employs 
cardholder.
    (ix) An expiration date, not later than two years after the date of 
issue.
    (c) The operator shall provide for each contractor, vendor, and 
other visitor a temporary identification card that--
    (1) Contains a unique number;
    (2) Is issued upon cardholder's boarding the vessel and retrieved 
upon cardholder's leaving the vessel;
    (3) Is signed for by the cardholder or, for children, a responsible 
adult, indicating their reason for boarding the vessel; and
    (4) Is strictly accounted for, by number.
    (d) Each operator shall establish a procedure for identifying each 
passenger each time the passenger boards the vessel. The procedure must 
require an identification document containing a photograph of the 
holder to identify each passenger over the age of 10 and shall compare 
the name of the person so identified against the official passenger 
list of the vessel. The identification document may be one provided by 
the passenger such as a driver's license, passport, or armed forces 
identification card, or one provided by the operator. The operator 
shall issue an identification document containing a photograph of the 
holder to any passenger over the age of 10 not possessing such a 
document. Passengers presenting an identification document containing a 
photograph of the holder issued by the operator that is unique to the 
voyage need not be verified against the official passenger list of the 
vessel.


Sec. 120.360  Screening.

    (a) Each personal article and each piece of baggage brought aboard 
a vessel to which this part applies and not stored in a restricted area 
must undergo a thorough check. The check may take the form of a manual 
search, an electronic screening, or equivalent means acceptable to the 
Commandant.
    (b) Each person boarding the vessel shall undergo a metal detector 
check.
    (c) The checks required by paragraphs (a) and (b) of this section 
apply to each boarding of the vessel.
    (d) When in a port or place subject to the jurisdiction of the 
United States, only the following persons may board the vessel until 
the U.S. Customs Service (``Customs'') declares the vessel ``cleared'':
    (1) Officials of Customs.
    (2) Officials of the Coast Guard.
    (3) Officials of the U.S. Immigration and Naturalization Service.
    (4) Officials of the U.S. Department of Agriculture.
    (5) Officials of the U.S. Public Health Service.
    (6) Port Authority Police.
    (7) The shoreside representative of the passenger vessel, 
designated by the operator of the vessel.
    (8) Repair and maintenance personnel cleared by Customs.
    (9) Other persons cleared by Customs.
    (e) When in a port or place subject to the jurisdiction of the 
United States, only the following persons may leave the vessel until 
Customs declares the vessel ``cleared'':
    (1) The pilot.
    (2) Members of the crew involved in docking.
    (3) Members of the crew cleared by Customs for early departure.
    (4) Passengers cleared by Customs for early departure.
    (f) One or more guards shall watch each gangway whenever it is 
accessible.
    (g) A written notice, legible in the assembly area shoreside of the 
screening station, must be posted to advise persons boarding the vessel 
that security checks are being conducted. The notice must be written in 
English except that, where a language other than English is widespread, 
it must be written in both English and the other language.
    (h) No persons refusing to submit to a security check at a point of 
access may enter the vessel. Each person denied entry for refusing to 
submit to a security check shall, if possible, be identified and 
reported to appropriate authorities.
    (i) Before being placed aboard the vessel--
    (1) All cargo and stores, and all baggage destined for a restricted 
area, must undergo a brief inspection; and
    (2) A percentage of the cargo, stores, and baggage, specified by 
the Commandant, shall be selected at random and thoroughly checked by 
manual search, electronic screening, or equivalent means acceptable to 
the Commandant.
    (j) Each piece of baggage must be marked, labeled, tagged, or 
otherwise identified as belonging to a particular passenger and must be 
compared against the official passenger list of the vessel. No 
unidentified baggage may go aboard. Baggage identified as belonging to 
a passenger that does not sail with the vessel must be turned over to 
the vessel security officer for disposition.
    (k) All cargo and stores, and all baggage destined for a restricted 
area, must remain under supervision after inspection or thorough check 
until stowed.
    (l) No stores may be accepted aboard the vessel unless accompanied 
by a clearly itemized manifest that accurately sets forth the kinds and 
amounts of stores delivered.


Sec. 120.370  Communications.

    (a) The operator of each vessel subject to this part shall ensure 
that security personnel have a means of continuous communications, such 
as radio, telephone, or intercom, that enables them to communicate with 
the ship security officer, the navigational bridge, the communications 
center, or security personnel shoreside from their duty stations.
    (b) Roving patrols shall be equipped with radios, cellular 
telephones, or other portable means of communications.
    (c) Communications shall be established with each passenger 
terminal at which the vessel docks, immediately after mooring.
    (d) A distress signal peculiar to security, indicating a security 
alert, must be established that is--
    (1) Part of the SSOP for communications;
    (2) Known by each member of the crew; and
    (3) Changed from time to time, but not less often than once every 
three months.
    (e) The SSOP for communications must specify the kind of 
communications to use for responding to a breach of security, an 
unlawful act, or other emergency.


Sec. 120.380  Prohibition against carriage of weapons.

    (a) Except as provided below, no person may, while aboard a vessel 
subject to this part in waters subject to the jurisdiction of the 
United States as defined in Sec. 2.05-30 of this chapter, carry on or 
about his or her person a deadly weapon, an incendiary containing more 
than one half kilogram (1.1 lb) of flammable material, or an explosive, 
whether concealed or unconcealed. This paragraph does not apply to 
weapons carried by--
    (1) Government officials on official business who are authorized by 
their government to carry those weapons; or
    (2) Members of the crew or other persons who are authorized by the 
operator of the vessel to carry those weapons.
    (b) No person may introduce, onto any vessel subject to this part 
or into any baggage, cargo, or stores destined for a vessel subject to 
this part, a deadly weapon, an incendiary containing more than one half 
kilogram (1.1 lb) of flammable material, or an explosive, unless--
    (1) The baggage, cargo, or stores are deposited with the operator 
of the vessel;
    (2) Before depositing the baggage, cargo, or stores, the passenger, 
shipper, or vendor has notified the operator that the weapon, 
incendiary, or explosive is in the baggage, cargo, or stores; and
    (3) The baggage, cargo, or stores are carried in a restricted area 
aboard the vessel inaccessible to passengers.

Subpart D--Equipment


Sec. 120.410  Lighting.

    (a) While it is under way, anchored, or moored, each vessel subject 
to this part must have its deck and hull illuminated during darkness 
and restricted visibility. While the vessel is moored, the illumination 
must consist of a 360 degree zone of glare projected light extending 
beyond the hull for at least 60 meters (200 ft).
    (b) All external lighting must be located or shielded so that it 
will not interfere with safe navigation and complies with the rules of 
the road in Subchapters D and E of this chapter.
    (c) On deck, controlled lighting must be operable from both the 
navigational bridge and the engine room, independently, and be 
connected to a separate electrical circuit from the glare projected 
exterior lighting.


Sec. 120.420  Alarms.

    (a) Each intrusion detection system required by Sec. 120.210(e) 
must activate an alarm when it detects an intrusion. The alarm must 
sound where the detector is and on the navigational bridge.
    (b) Alarms may also be used for other security purposes, such as 
alerting security personnel or other members of the crew to breaches of 
security or other unlawful acts.


Sec. 120.430  Screening.

    The screening systems for persons, personal articles, baggage, 
cargo, and stores must be capable of detecting prohibited weapons, 
incendiaries, and explosives in accordance with the ship security plan. 
X-ray systems must be designed and used in accordance with ASTM F-792-
82.


Sec. 120.440  Maintenance.

    (a) The operator of each vessel subject to this part shall ensure 
that security equipment is checked and maintained in good working 
condition, as required by this section.
    (b) Communications equipment must be checked on each watch.
    (c) Doors, locks, alarms, and intrusion detection systems must be 
checked each day.
    (d) Interior and exterior security lighting must be checked for 
proper operation when activated each night.
    (e) All security equipment not used each day must be checked each 
week.
    (f) Any defective or missing security equipment must be reported 
immediately to the master, the ship security officer, or the deck watch 
officer of the passenger vessel.


Sec. 120.450  Records.

    Each operator of a vessel to which this part applies shall keep a 
record of each check required under Sec. 120.440 and shall retain each 
record for at least 30 days after the date of the check.

PART 128--PASSENGER TERMINAL SECURITY

Subpart A--General

Sec.
128.100  Applicability.
128.110  Definitions.
128.120  Incorporation by reference.
128.130  Alternatives.

Subpart B--Security Program

128.200  General.
128.210  Restricted areas.
128.220  Terminal security officer.
128.230  Training.
128.240  Coordination with vessel security.
128.250  Reporting of unlawful acts and related activities.

Subpart C--Terminal Security Plan and Procedures

128.300  Plan: general.
128.305  Plan: letter of adequacy.
128.307  Plan: amendment.
128.310  Survey: general.
128.320  Survey: contents.
128.330  Bill.
128.340  Security standard operating procedures.
128.350  Identification.
128.360  Screening.
128.370  Communications.

Subpart D--Equipment

128.410  Lighting.
128.420  Alarms.
128.430  Screening.
128.435  Barriers.
128.440  Maintenance.
128.450  Records.

    Authority: 33 U.S.C. 1231; 49 CFR 1.46.

Subpart A--General


Sec. 128.100  Applicability.

    This part applies to all passenger terminals used for the 
assembling, processing, embarking, or disembarking of passengers or 
baggage for passenger vessels over 100 gross tons making a voyage on 
the high seas lasting 24 hours or more and carrying more than 12 
passengers for hire.


Sec. 128.110  Definitions.

    The definitions in Part 120 of this chapter apply to this part.


Sec. 128.120  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 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 make the 
material available to the public. All approved material is on file at 
the Office of the Federal Register, 1100 L Street NW., Washington, DC, 
and at the U.S. Coast Guard, (G-MPS), 2100 Second Street SW., 
Washington, DC 20593-0001 and is available from the sources indicated 
in paragraph (b) of this section.
    (b) The materials approved for incorporation by reference in this 
part and the sections affected are:
American Society for Testing and Materials (ASTM)
    1916 Race Street, Philadelphia, PA 19103
    ASTM F-792-82, Design and Use of Ionizing Radiation Equipment for 
the Detection of Items Prohibited in Controlled Access Areas, 1982--
128.430


Sec. 128.130  Alternatives.

    (a) The Captain of the Port (COTP) may consider and approve 
alternative procedures or standards for an operator of a passenger 
terminal to use instead of any procedure or standard required by this 
part if--
    (1) Compliance with the one required is economically or physically 
impracticable;
    (2) The alternative provides an equivalent level of security; and
    (3) The operator submits a written request for the alternative, 
which contains sufficient information to establish, to the satisfaction 
of the COTP, that the alternative provides an equivalent level of 
security.
    (b) The COTP will approve or disapprove the request, in writing, 
within 30 days of receipt of the written request.

Subpart B--Security Program


Sec. 128.200  General.

    (a) Each operator of a passenger terminal shall implement for the 
terminal a security program that--
    (1) Provides for the safety of persons and property in the terminal 
and aboard each passenger vessel subject to Part 120 of this chapter 
moored at the terminal, against acts of criminal violence and piracy;
    (2) Prevents or deters the carriage aboard any such vessel moored 
at the terminal of any prohibited weapon, incendiary, or explosive on 
or about any person or within his or her personal articles or baggage, 
or the carriage of any prohibited weapon, incendiary, or explosive in 
stowed baggage, cargo, or stores;
    (3) Prevents or deters unauthorized access to any such vessel and 
to restricted areas in the terminal;
    (4) Takes into account both the current assessment of the likely 
threat of an unlawful act against the terminal, the vessel, or persons 
on the terminal or vessel, and the existing local circumstances;
    (5) Designates, by name, a terminal security officer for the 
terminal;
    (6) Provides for the evaluation of all security personnel of the 
terminal, before hiring, to determine suitability for employment;
    (7) Provides for coordination with vessel security while any 
passenger vessel subject to Part 120 of this chapter is moored at the 
terminal; and
    (8) Includes the plans, procedures, and equipment required by 
Subparts B and C of this part.
    (b) Each operator of a passenger terminal shall, where practicable, 
work with the operator of each passenger vessel subject to Part 120 of 
this chapter to provide for the security of passengers, the terminal, 
and the vessel. The terminal, however, need not duplicate any 
provisions of this part fulfilled by the vessel.


Sec. 128.210  Restricted areas.

    (a) Each operator of a passenger terminal shall designate all 
points of access to the boarding area for passenger vessels subject to 
Part 120 of this chapter and the following areas of the terminal 
``restricted areas'':
    (1) The boarding area for passengers adjacent to where such vessels 
moor, inside the security barriers and screening points.
    (2) Areas for the handling and storage of baggage and cargo.
    (3) Areas used to store weapons.
    (4) Control rooms for security alarms and monitoring devices.
    (5) Other areas, determined by the operator, to which access must 
be restricted to maintain the security of the terminal and passenger 
vessels moored at the terminal.
    (b) Each restricted area must be appropriately secured, with access 
limited to authorized personnel.
    (c) Each restricted area must be distinctly marked with a placard, 
mounted at eye level, that is at least 20 centimeters (8 in) high by 30 
centimeters (12 in) wide with the words ``RESTRICTED AREA--AUTHORIZED 
PERSONNEL ONLY'' in red letters, at least 5 centimeters (2 in) high, on 
a white background.
    (d) Each restricted area, other than the boarding area for 
passengers, must be equipped with an intrusion detection system that 
activates an audible alarm in accordance with Sec. 128.420(a).
    (e) Each restricted area and its intrusion detection system must be 
designated in the plan required by Sec. 128.300.


Sec. 128.20  Terminal security officer.

    (a) Each operator of a passenger terminal shall designate a 
terminal security officer for the terminal.
    (b) This officer shall be responsible for--
    (1) Conducting, amending, and updating the survey required by 
Sec. 128.310;
    (2) Evaluating security personnel of the terminal for suitability 
before employment;
    (3) Instituting, monitoring, and recording training for employees 
of the terminal relative to security;
    (4) Conducting regular inspections of the terminal;
    (5) Proposing modifications to the plan required by Sec. 128.300 to 
correct its deficiencies and satisfy the security requirements of the 
terminal;
    (6) Encouraging vigilance, as well as general awareness of 
security, at the terminal;
    (7) Reporting all occurrences or suspected occurrences of unlawful 
acts and related activities in accordance with Sec. 128.250; and
    (8) Coordinating implementation of the plan required by 
Sec. 128.300 with the ship security officer of each vessel that embarks 
or disembarks passengers at the terminal.


Sec. 128.230  Training.

    (a) Training for security at each passenger terminal is the 
responsibility of the operator and the terminal security officer of the 
terminal.
    (b) This training must be provided to all security personnel of the 
terminal and must emphasize measures to take when advised by the COTP 
of an increased threat to the passenger terminal, a passenger vessel 
subject to Part 120 of this chapter moored at the terminal, or persons 
on the vessel or terminal.
    (c) Subjects for training must include, but need not be limited 
to--
    (1) Communications;
    (2) Control of access;
    (3) Patrol;
    (4) Response to emergencies;
    (5) Reporting;
    (6) Characteristics and behavior of persons who may commit unlawful 
acts;
    (7) Review of security standard operating procedures (SSOPs) for 
the terminal; and
    (8) Support from the vessel relative to security;
    (d) A record of the date and kind of training for security at the 
terminal provided to each employee of the terminal receiving training 
must stay at the terminal for the duration of the employee's employment 
plus six months. The operator shall make all such records available to 
the COTP upon request.


Sec. 128.240  Coordination with vessel security.

    (a) Before a passenger vessel subject to Part 120 of this chapter 
embarks or disembarks passengers at a passenger terminal, the operator 
of the terminal shall, where practicable, work with the operator of the 
vessel, to provide security for the passengers and the terminal. The 
operator of the terminal need not duplicate any provisions of this part 
fulfilled by the operator of the vessel.
    (b) The operator of the terminal shall--
    (1) Agree as far as possible, in writing, with the operator of the 
vessel which responsibilities of the vessel will fulfill and which the 
terminal will;
    (2) Establish communications with the vessel immediately after 
mooring;
    (3) Obtain from the vessel a list of passengers and a list of all 
scheduled deliveries and services to the vessel; and
    (4) Obtain a copy of the ship security plan.


Sec. 128.250  Reporting of unlawful acts and related activities.

    (a) Any security personnel of the terminal having knowledge of an 
unlawful act, a suspicious activity, a breach of security, or a threat 
against the passenger terminal or against a passenger vessel subject to 
Part 120 of this chapter destined for or moored at the terminal, shall 
notify the operator or the terminal security officer of the terminal, 
or another representative of the terminal operator. If none of these 
can be notified, the person shall notify the COTP.
    (b) The operator of the terminal or the operator's representative 
shall report each unlawful act, breach of security, or threat of an 
unlawful act, against the terminal, a passenger vessel subject to Part 
120 of this chapter destined for or moored at that terminal, or persons 
on the terminal or vessel, to the COTP, to the local office of the 
Federal Bureau of Investigation (FBI) and to the local police agency 
having jurisdiction over the terminal.
    (c) Each report of such an activity must include, as applicable--
    (1) The terminal's name;
    (2) The terminal's address;
    (3) The name of the terminal security officer;
    (4) If any such vessel is moored at the terminal, the names of the 
vessel and its master;
    (5) An account of the incident;
    (6) The date, time, and place of the incident;
    (7) The number of alleged offenders;
    (8) The method used to introduce any prohibited weapon, incendiary, 
or explosive into the terminal;
    (9) A description of any weapon, incendiary, or explosive involved;
    (10) A description of how any weapon, incendiary, or explosive 
involved was concealed and used;
    (11) A description of how security was breached; and
    (12) A statement of what measures have been taken or will be taken 
to prevent another such incident.
    (d) Use of the form ``Report on an Unlawful Act'', contained in the 
``Measures to Prevent Unlawful Acts Against Passengers and Crews on 
Board Ships'' published by the International Maritime Organization in 
1986, is encouraged.
    (e) Each report must stay on file with the plan required by 
Sec. 128.300 for a period of two years. All reports shall be used by 
the person preparing the next survey required by Sec. 128.310.

Subpart C--Terminal Security Plan and Procedures


Sec. 128.300  Plan.

    (a) Each operator of a passenger terminal shall develop and 
maintain, in writing, a terminal security plan that--
    (1) Describes the program required by Sec. 128.200; and
    (2) Includes the survey required by Sec. 128.310, the bill required 
by Sec. 128.330, and the SSOPs required by Sec. 128.340.
    (b) The operator shall amend the plan to address any known 
deficiencies and satisfy the security requirements of the terminal each 
time the survey is updated under Sec. 128.310(b); and
    (c) The plan must provide for the security of passengers, of 
members of crews of passenger vessels subject to Part 120 of this 
chapter, and of employees of the terminal by establishing procedures 
to--
    (1) Deter unauthorized access to restricted areas on the terminal 
or to any such vessel moored at the terminal;
    (2) Deter the introduction of prohibited weapons, incendiaries, and 
explosives into restricted areas in the terminal or onto any such 
vessel moored at the terminal;
    (3) Encourage vigilance, as well as general awareness of security, 
at the terminal;
    (4) Provide adequate training to employees of the terminal for 
security at the terminal;
    (5) Coordinate responsibilities for security with the operator of 
each such vessel; and
    (6) Provide information to employees of the terminal and law 
enforcement personnel, in case of an incident affecting security.


Sec. 128.305  Plan: letter of adequacy.

    (a) Each operator of a passenger terminal shall submit the terminal 
security plan required by Sec. 128.300 to the COTP for review before 
[Insert date 90 days after date of publication of the final rule in the 
Federal Register], or at least 60 days before transferring passengers 
to or from a vessel subject to part 120 of this chapter, whichever is 
later.
    (b) Within 30 days after receipt of a proposed terminal security 
plan, the COTP will issue to the operator either a letter of adequacy 
certifying that the terminal security plan adequately addresses the 
requirements of this part or a notice of deficiencies in the plan 
relative to the requirements of this part.
    (c) Within 30 days after receipt of a notice of deficiencies, the 
operator may either submit a modified terminal security plan or submit 
an appeal of the notice of deficiencies to the Commandant via the COTP. 
The COTP will forward the appeal, with an endorsement containing the 
COTP's views and recommendations, to the Commandant. The Chief, Office 
of Marine Safety, Security and Environmental Protection will review the 
appeal. The decision of the Chief, Office of Marine Safety, Security 
and Environmental Protection is a final agency action.
    (d) The COTP may void the letter of adequacy if the operator--
    (1) Amends the terminal security plan without following the 
procedures in Sec. 120.307;
    (2) Fails to amend the terminal security plan when required by the 
COTP; or
    (3) Fails to update the terminal security plan as required by 
Sec. 120.300(d).
    (e) No passenger terminal shall transfer passengers to or from a 
passenger vessel subject to part 120 of this chapter after [Insert date 
120 days after date of publication of the final rule in the Federal 
Register] unless it has a valid letter of adequacy for its terminal 
security plan or an appeal under paragraph (c) of this section is 
pending.


Sec. 128.307  Plan: amendment.

    (a) Amendments to update the terminal security plan may be 
initiated by the operator of a passenger terminal or directed by the 
COTP.
    (b) If initiated by the operator of a passenger terminal, each 
proposed amendment to the terminal security plan, including changes to 
the enclosures required by Sec. 128.300(a), must be submitted to the 
COTP for review at least 30 days before the proposed effective date, 
unless a shorter period is allowed by the COTP.
    (c) The COTP may direct the operator of a passenger terminal to 
amend the terminal security plan if it is determined that 
implementation of the plan is not providing effective security or there 
is an increased threat affecting the terminal or a vessel subject to 
part 120 of this chapter moored at the terminal. Except in an 
emergency, a written notice of matters to be addressed will be issued 
to the operator and the operator will be provided at least 60 days to 
submit proposed amendments.
    (d) Within 15 days after receipt of a proposed amendment, the COTP 
will issue a letter to the operator either accepting the proposed 
amendment or addressing why the proposed amendment does not adequately 
meet the requirements of this part.
    (e) A notice to amend a terminal security plan or a rejection of a 
proposed amendment by the COTP may be appealed within 30 days of 
receipt as provided in Sec. 128.305.
    (f) If there is an emergency or other circumstance that makes the 
procedures in paragraphs (c), (d) and (e) of this section impractical, 
the COTP may order the operator of a passenger terminal to implement 
increased security measures immediately. The order will incorporate a 
statement of the reasons for the emergency action. Orders issued by the 
COTP may be appealed as provided in Sec. 160.7 of this chapter.


Sec. 128.310  Survey: general.

    (a) Each operator of a passenger terminal shall conduct an initial, 
comprehensive terminal security survey before preparing the plan 
required by Sec. 128.300.
    (b) The operator shall update the survey at least every two years 
and whenever there is a notification from the COTP of an increased 
threat to the terminal or a passenger vessel subject to part 120 of 
this chapter which moors at the terminal.
    (c) The operator shall update the survey and notify the COTP within 
10 days of a--
    (1) Change in the description of the terminal required by 
Sec. 128.320(e); or
    (2) Change in the owner, operator, or terminal security officer of 
the terminal or in the operator's representative.
    (d) The survey must identify potential threats of unlawful acts 
against the terminal, against a passenger vessel subject to Part 120 of 
this chapter moored to the terminal, or against persons on the terminal 
or vessel. The survey must also determine the vulnerability of the 
terminal to those threats.
    (e) The operator shall ensure that distribution, disclosure, and 
availability of information contained in the survey is confined to 
those persons with an operational need to know. These persons include 
the operator, the terminal manager, the terminal security officer, the 
ship security officer, and appropriate law enforcement officials. When 
not under supervision, copies of the survey under the control of the 
operator must be kept in a locked safe or other secure container, to 
prevent disclosure to unauthorized persons.


Sec. 128.320  Survey: contents.

    The terminal security required by Sec. 128.310 must include--
    (a) The date of the survey;
    (b) The date of the last such survey;
    (c) The names of the owner and operator of the passenger terminal;
    (d) The name, business address, and telephone number of the 
terminal security officer;
    (e) A description of the terminal that includes--
    (1) A schematic showing the general layout of the terminal;
    (2) A schematic showing the place and purpose of each actual and 
potential point of access to the boarding area for passengers, 
including each window, door, gate, manhole, storm drain, ditch, and 
fence;
    (3) A schematic or list indicating the kind, place, area of 
illumination, and intensity of all security lighting;
    (4) A schematic or list indicating the location of each restricted 
area designated under Sec. 128.210 and each means of securing it;
    (5) A schematic or list indicating the kind and place of emergency 
and standby equipment for firefighting, lighting, communications, and 
security; and
    (6) A list of all firearms and ammunition on the terminal, other 
than those in secure baggage, indicating the persons to whom they are 
issued or the locations in which they are stored;
    (f) An account of the normal staffing of the terminal that 
includes--
    (1) The number of security personnel employed; and
    (2) The number of other employees normally at the terminal when a 
vessel subject to part 120 of this chapter embarks or disembarks 
passengers;
    (g) A description of each vessel subject to Part 120 of this 
chapter that embarks or disembarks passengers at the terminal which 
includes the--
    (1) Name and call sign;
    (2) Flag of registry;
    (3) Length overall;
    (4) Draft forward and aft under full load;
    (5) Gross tonnage; and
    (6) Number of passenger berths aboard;
    (h) A list of each SSOP in effect;
    (i) Security equipment in use, including that for inspection, 
control, monitoring, firefighting, and communication; alarms; lighting; 
intrusion detection systems; and barriers;
    (j) Information provided by the COTP on current threats to the 
security of the terminal, a vessel subject to Part 120 of this chapter 
moored at the terminal, or persons on the terminal or vessel;
    (k) An assessment of the vulnerability of the terminal to each 
threat identified in paragraph (j) of this section;
    (l) A list of measures and procedures in the terminal security plan 
to counter each threat identified in paragraph (j) of this section; and
    (m) A description of the ability of the screening points of the 
terminal to detect prohibited weapons, incendiaries, and explosives on 
persons, or in personal articles, baggage, cargo, and stores.


Sec. 128.330  Bill.

    (a) Each operator of a passenger terminal shall develop a terminal 
security bill.
    (b) The bill must set forth--
    (1) The name and job title of each employee of the terminal 
assigned a duty relative to security;
    (2) Each duty relative to security assigned; and
    (3) The station at which each duty will be performed.
    (c) A copy of the bill must be available to the terminal security 
officer and provided to each employee assigned a security related duty.
    (d) The bill must constitute part of the plan required by 
Sec. 128.300 and must be reviewed and, if necessary, updated each time 
the survey is updated under Sec. 128.310 (b) and (c).


Sec. 128.340  Security standard operating procedures.

    (a) Each operator of a passenger terminal shall develop security 
standard operating procedures (SSOPs) that detail the number and duties 
of all employees of the terminal required for each activity relative to 
security on the terminal. Each SSOP must be reviewed and, if necessary, 
updated each time the survey is updated under Sec. 128.310 (b) and (c).
    (b) The operator shall determine the number and duties of employees 
of the terminal required for normal operations and for an increased 
level of security, based on information in the survey and on the advice 
of the terminal security officer.
    (c) Each SSOP must differentiate as far as it can between actions 
appropriate for routine situations, increased security levels, and 
emergency situations.
    (d) Unless otherwise directed by the COTP, the operator shall 
develop an SSOP for--
    (1) Watches and patrols conducted while a passenger vessel subject 
to Part 120 of this chapter is moored at the terminal and while one is 
not;
    (2) Tracking the entry and exit of vendors, repair personnel, dock 
workers, and visitors entering the boarding area for passenger vessels 
subject to Part 120 of this chapter;
    (3) Inspection, control, and monitoring of persons, personal 
articles, and baggage destined for a passenger vessel subject to Part 
120 of this chapter moored at the terminal;
    (4) Inspection, control, and monitoring of cargo, stores, and 
stowed baggage destined for a passenger vessel subject to Part 120 of 
this chapter moored at the terminal;
    (5) Communications for emergency and routine situations;
    (6) Response to suspicious packages, baggage, or cargo;
    (7) Response to prohibited weapons found or suspected;
    (8) Response to fire or explosion on the terminal or aboard a 
passenger vessel subject to Part 120 of this chapter moored to it;
    (9) Response to an incendiary or explosive found or suspected;
    (10) Response to an unauthorized armed person detected on the 
terminal;
    (11) Response to a breach of security or to suspicious activity on, 
or near, the terminal;
    (12) Procedure for reporting a breach of security or a suspicious 
activity;
    (13) Response to alarms;
    (14) Use of security equipment, including any intrusion detection 
or surveillance systems installed on the terminal;
    (15) Issuance of, use of, and accountability for identification 
cards; and
    (16) Issuance of, use of, and accountability for keys.
    (e) An SSOP must address watches when--
    (1) Passengers or baggage are being assembled, processed, embarked, 
or disembarked at the terminal, for:
    (i) Each boarding area and each point of access to a restricted 
area.
    (ii) Each screening point for passengers, baggage, cargo, or 
stores.
    (iii) The communications center.
    (iv) Control rooms where security alarms and monitoring-devices are 
monitored; and
    (2) No passengers or baggage are being assembled, processed, 
embarked, or disembarked at the terminal, for:
    (i) Each point of access to a restricted area.
    (ii) The communications center.
    (iii) Control rooms where security alarms and monitoring devices 
are monitored.
    (f) The SSOP respecting issuance of, use of, and accountability for 
keys must include--
    (1) A record of each person issued a key to a restricted area;
    (2) An inventory of keys to restricted areas that are not issued to 
employees;
    (3) Designation of a secure container for storing keys to 
restricted areas that are not issued to employees; and
    (4) Steps to take if a key to a restricted area is lost or missing.


Sec. 128.350  Identification.

    (a) Each operator of a passenger terminal shall establish a system 
of identification and control of personnel for the terminal that--
    (1) Designates, in writing, each category of persons with a valid 
need to be in the boarding area for passengers and each person with a 
valid need to be in other restricted areas on the terminal;
    (2) Allows access only to persons designated in accordance with 
paragraph (a)(1) of this section; and
    (3) Establishes procedures meeting the requirements in paragraphs 
(b), (c) and (d) of this section for identifying each person authorized 
access to a restricted area in the terminal.
    (b) Each operator of a passenger terminal shall issue an 
identification card to each employee of the terminal. The terminal 
security officer shall maintain a record of each identification card 
issued and of each blank one at the terminal, by number. Unissued 
identification cards must be kept in a locked safe or other secure 
container accessible only to the manager of the terminal, the terminal 
security officer, and other designated employees. The identification 
card must--
    (1) Be made of a durable material that can be imprinted with 
appropriate identifying information;
    (2) Include a color photograph, approximately 3 centimeters (1\1/4\ 
in) by 3.6 centimeters (1\1/2\ in);
    (3) Be laminated on both sides, with a clear plastic material that 
resists aging, discoloration, and separation; and
    (4) Contain the following:
    (i) Cardholder's name.
    (ii) Cardholder's date of birth.
    (iii) Cardholder's height.
    (iv) Cardholder's weight.
    (v) Color of cardholder's hair.
    (vi) Color of cardholder's eyes.
    (vii) A unique number.
    (viii) Name of the terminal or company that employs cardholder.
    (ix) An expiration date, not later than two years after the date of 
issue.
    (c) The operator shall provide for each contractor, vendor, and 
other visitor authorized access to a restricted area a temporary 
identification card that--
    (1) Contains a unique number;
    (2) Is issued upon cardholder's arriving at the terminal and 
retrieved upon cardholder's leaving the terminal; and
    (3) Is signed for by the cardholder or, for children, a responsible 
adult, indicating their reason for entering the restricted area; and
    (4) Is strictly accounted for, by number.
    (d) Each operator of a passenger terminal shall establish a 
procedure for identifying each passenger each time the passenger enters 
the boarding area. The procedure must require an identification 
document containing a photograph of the holder to identify each 
passenger over the age of 10 and shall compare the name of the person 
so identified against the official passenger list of the vessel. The 
identification document may be one provided by the passenger such as a 
driver's license, passport, or armed forces identification card, or one 
provided by the operator of the passenger vessel. Passengers presenting 
an identification document containing a photograph of the holder issued 
by the operator of the passenger vessel that is unique to the voyage 
need not be verified against the official passenger list of the vessel.


Sec. 128.360  Screening.

    (a) Each personal article and each piece of baggage brought into 
the boarding area for passenger vessels subject to Part 120 of this 
chapter must undergo a thorough check. The check may take the form of 
manual search, electronic screening, or equivalent means acceptable to 
the COTP.
    (b) Each person entering the boarding area shall undergo a metal 
detector check.
    (c) The checks required by paragraphs (a) and (b) of this section 
apply to each entry of the boarding area.
    (d) One or more guards shall watch each screening point, whenever 
it is accessible and passengers or baggage are being assembled, 
processed, embarked, or disembarked at the terminal.
    (e) A written notice, legible in the area shoreside of the 
screening station, must be posted to advise persons entering the 
boarding area that security checks are being conducted. The notice must 
be written in English except that, where a language other than English 
is widespread, it must be written in both English and the other 
language.
    (f) No person refusing to submit to a security check at a point of 
access may enter the boarding area. Each person denied entry for 
refusing to submit to a security check shall, if possible, be 
identified and reported to appropriate authorities.
    (g) Before being placed aboard a passenger vessel subject to Part 
120 of this chapter--
    (1) All cargo and stores, and all baggage destined for a restricted 
area, must undergo a brief inspection; and
    (2) A percentage of such cargo, stores, and baggage, specified by 
the Commandant, shall be selected at random and thoroughly checked by 
manual search, electronic screening, or equivalent means acceptable to 
the COTP.
    (h) Each piece of baggage must be marked, labeled, tagged, or 
otherwise identified as belonging to a particular passenger and must be 
compared against the official passenger list of the vessel. No 
unidentified baggage may enter the boarding area.
    (i) Baggage destined for a restricted area, cargo, and stores must 
undergo inspection or thorough check immediately before delivery to the 
vessel, unless they are stowed in a restricted area immediately after a 
prior inspection or check and held there until delivery.
    (j) Baggage, cargo, and stores must be delivered directly to the 
vessel from a restricted area or inspection area.
    (k) Suppliers of stores shall make deliveries to an area physically 
separated from the boarding area. Each delivery must be compared 
against a list of expected deliveries provided by the vessel and must 
be accompanied by a clearly itemized manifest that accurately sets 
forth the kinds and amount of stores delivered.


Sec. 128.370  Communications.

    (a) The operator of each passenger terminal shall ensure that 
security personnel of the terminal have a means of continuous 
communications, such as radio, telephone, or intercom, that enables 
them to communicate with the terminal security officer, the 
communications center, or security personnel of the passenger vessel 
from their duty stations.
    (b) Roving patrols shall be equipped with radios, cellular 
telephones, or other portable means of communication.
    (c) Communications shall be established with each passenger vessel 
subject to Part 120 of this chapter that docks at the terminal, 
immediately after mooring.
    (d) A distress signal peculiar to security, indicating a security 
alert, must be established that is--
    (1) Part of the SSOP for communications;
    (2) Known by each employee of the terminal assigned security 
duties; and
    (3) Changed from time to time but not less often than once every 
three months.
    (e) The SSOP for communications must specify the kind of 
communications to use for a breach of security, an unlawful act, or 
other emergency.

Subpart D--Equipment


Sec. 128.410  Lighting.

    (a) Each operator of a passenger terminal shall provide security 
lighting between sunset and sunrise that--
    (1) Illuminates each exterior door, gate, or other point of access 
to the boarding area for passenger vessels subject to Part 120 of this 
chapter; and
    (2) Illuminates each fence, pier, wharf, or other area that could 
be used to gain access to the boarding area.
    (b) The lighting must provide a minimum average illumination on a 
horizontal plane 1 meter (3 ft) above the walking surface that is at 
least:
    (1) Eleven lux (1 foot-candle) for each exterior door, gate, or 
other exterior point of access to the boarding area.
    (2) Five and one-half lux (0.5 foot candle) for each fence, pier, 
wharf, or other place that could be used to gain access to the boarding 
area.
    (c) All external lighting must be located or shielded so that it 
will not be confused with an aid to navigation and will not interfere 
with safe navigation on the adjacent waterways.


Sec. 128.420  Alarms.

    (a) Each intrusion detection system required by Sec. 128.210(e) 
must activate an alarm when it detects an intrusion. The alarm must 
sound where the detector is and at an attended central site.
    (b) Alarms may also be used for other security purposes, such as by 
alerting security personnel or other employees of the terminal to 
breaches of security or unlawful acts.


Sec. 128.430  Screening.

    The screening systems for persons, personal articles, baggage, 
cargo, and stores must be capable of detecting prohibited weapons, 
incendiaries, and explosives in accordance with the terminal security 
plan. X-ray systems must be designed and used in accordance with ASTM 
F-792-82.


Sec. 128.435  Barriers.

    (a) The boundary between restricted areas and unrestricted areas 
must be clearly defined by walls, fences, or other security barriers.
    (b) Security barriers must be designed, located, and constructed 
to--
    (1) Delineate the area protected;
    (2) Create a physical and psychological deterrent to persons 
attempting unauthorized entry;
    (3) Enable security personnel to detect intruders; and
    (4) Have a minimum number of openings that provide readily 
identifiable places for the controlled entry of persons and vehicles 
into the restricted area.
    (c) Openings in security barriers must be secured when not watched 
by security personnel.
    (d) Security fences and walls must be at least 2.5 meters (8 ft) 
high, including top guards. Each security fence or wall must have a top 
guard with barbed wire, razor ribbon, or similar material angled away 
from the protected site and upward at about a 45-degree angle.
    (e) Security barriers in or near roadways must be reinforced to 
deter penetration by motor vehicles.
    (f) Security barriers must be kept clear of trees, bushes, and 
other obstructions for at least 6 meters (20 ft) on each side.
    (g) Buildings and natural barriers such as water, ravines, or 
escarpments may constitute part of the control boundary, but they must 
be augmented by safeguards such as fences, walls, patrols, 
surveillance, or intrusion detection systems, if necessary.


Sec. 128.440  Maintenance.

    (a) Security equipment must be checked and maintained to keep it in 
good working condition.
    (b) Communications equipment must be checked on each watch.
    (c) Doors, gates, locks, alarms, and intrusion detection systems 
must be checked each day.
    (d) Interior and exterior security lighting must be checked for 
proper operation when activated each night.
    (e) All security equipment not used each day must be checked each 
week.
    (f) Any defective or missing security equipment must be reported 
immediately to the terminal security officer of the passenger terminal.


Sec. 128.450  Records.

    Each operator of a passenger terminal shall keep a record of each 
check required under Sec. 128.440 and shall retain each record for at 
least 30 days after the date of the check.

    Dated: March 9, 1994.
J.W. Kime,
Admiral, U.S. Coast Guard, Commandant.
[FR Doc. 94-6812 Filed 3-24-94; 8:45 am]
BILLING CODE 4910-14-M