[Federal Register Volume 74, Number 58 (Friday, March 27, 2009)]
[Proposed Rules]
[Pages 13360-13370]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-6852]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
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 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
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 

  Federal Register / Vol. 74, No. 58 / Friday, March 27, 2009 / 
Proposed Rules  

[[Page 13360]]



DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Parts 101, 104, 105, and 106

[Docket No. USCG-2007-28915]
RIN 1625-AB21


Transportation Worker Identification Credential (TWIC)--Reader 
Requirements

AGENCY: Coast Guard, DHS.

ACTION: Advanced notice of proposed rulemaking.

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SUMMARY: This advanced notice of proposed rulemaking discusses the 
United States Coast Guard's preliminary thoughts on potential 
requirements for owners and operators of certain vessels and facilities 
regulated by the Coast Guard under 33 CFR chapter I, subchapter H, for 
use of electronic readers designed to work with Transportation Worker 
Identification Credentials (TWIC) as an access control measure. It 
discusses additional potential requirements associated with TWIC 
readers, such as recordkeeping requirements for those owners or 
operators required to use an electronic reader, and amendments to 
security plans previously approved by the Coast Guard to incorporate 
TWIC requirements.
    This rulemaking action, once final, would enhance the security of 
ports and vessels by ensuring that only persons who hold valid TWICs 
are granted unescorted access to secure areas on vessels and port 
facilities. It would also complete the implementation of the Maritime 
Transportation Security Act of 2002 transportation security card 
requirement, as well as the requirements of the Security and 
Accountability for Every Port Act of 2006, for regulations on 
electronic readers for use with Transportation Worker Identification 
Credentials.

DATES: Comments and related material must reach the Docket Management 
Facility on or before May 26, 2009.

ADDRESSES: You may submit comments identified by Coast Guard docket 
number USCG-2007-28915 to the Docket Management Facility at the U.S. 
Department of Transportation. Please note the new address. See 72 FR 
28092, May 18, 2007. To avoid duplication, please use only one of the 
following methods:
    (1) Online: http://www.regulations.gov.
    (2) Mail: Docket Management Facility (M-30), U.S. Department of 
Transportation, West Building Ground Floor, Room W12-140, 1200 New 
Jersey Avenue, SE., Washington, DC 20590-0001.
    (3) Hand delivery: Same as mail address above, between 9 a.m. and 5 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is 202-366-9329.
    (4) Fax: 202-493-2251.
    (5) For comments containing confidential information, business 
information or sensitive security information, please mail 
appropriately marked comments to LCDR Jonathan Maiorine, Commandant 
(CG-544) (RM 5222), U.S. Coast Guard, 2100 2nd Street, SW., Washington, 
DC 20593.

FOR FURTHER INFORMATION CONTACT: If you have questions on this advanced 
notice of proposed rulemaking, call LCDR Jonathan Maiorine, Coast 
Guard, telephone 1-877-687-2243.
    If you have questions on viewing or submitting material to the 
docket, call Renee V. Wright, Program Manager, Docket Operations, 
telephone 202-366-9826.

SUPPLEMENTARY INFORMATION: 

Table of Acronyms

AHP Analytical Hierarchy Process
ANPRM Advanced Notice of Proposed Rulemaking
ASPs Alternative Security Programs
TWIC Transportation Worker Identification Credential
CDC Certain Dangerous Cargoes
CI/KR Critical Infrastructure/Key Resource
CRL Certificate Revocation List
DHS Department of Homeland Security
DOT Department of Transportation
EOA Early Operational Assessment
FASC-N Federal Agency Smart Credential--Number
FOIA Freedom of Information Act
FR Final Rule
FSP Facility Security Plan
HSI Homeland Security Institute
ITEP Integrated Test and Evaluation Program
ITT Initial Technical Test
MARSEC Maritime Security
MERPAC Merchant Marine Personnel Advisory Committee
MODU Mobile Offshore Drilling Unit
MSRAM Maritime Security Risk Analysis Model
MTSA Maritime Transportation Security Act
NMSAC National Maritime Security Advisory Committee
NPRM Notice of Proposed Rulemaking
OCS Outer Continental Shelf
OMB Office of Management and Budget
OSVs Offshore Supply Vessels
PACS Personnel Access Control System
PIN Personal Identification Number
PIV Personal Identity Verification
RA Regulatory Analysis
RKB Responder Knowledge Base
SSI Sensitive Security Information
ST&E System Test & Evaluation
TEMP Test and Evaluation Master Plan
TSA Transportation Security Administration
TSAC Towing Safety Advisory Committee
TSI Transportation Security Incident
TWIC Transportation Worker Identification Credential
VSP Vessel Security Plan

Table of Contents

I. Public Participation and Request for Comments
    A. Submitting Comments
    B. Handling Confidential Information, Proprietary Information, 
and Sensitive Security Information (SSI) Submitted in Public 
Comments
    C. Viewing Comments and Documents
    D. Privacy Act
    E. Public Meeting
    F. Future Opportunities for Comment
II. Summary of ANPRM
III. Background
    A. Statutory History
    B. Regulatory History
IV. Discussion of Process
    A. Risk-Based Approach to Reader Requirements
    B. Maritime Security Risk Analysis Model (MSRAM) and the 
Analytic Hierarchy Process (AHP)
    C. Requirement Options Considered
    D. Reader Requirements
    E. Facility and Vessel Risk Groups
    F. Recurring Unescorted Access
    G. Additional Topics and Requirements
V. Advisory Committee Input
VI. Discussion of Pilot Programs
VII. Regulatory Analyses

I. Public Participation and Request for Comments

    We encourage you to participate in this rulemaking by submitting

[[Page 13361]]

comments and related materials. All comments received will be posted, 
without change, to http://www.regulations.gov and will include any 
personal information you have provided. We have an agreement with the 
Department of Transportation (DOT) to use the Docket Management 
Facility.

A. Submitting Comments

    If you submit a comment, please include your name and address, 
identify the docket number for this rulemaking (USCG-2007-28915), 
indicate the specific section of this document to which each comment 
applies, and give the reason for each comment. You may submit your 
comments and material by electronic means, mail, fax, or delivery to 
the Docket Management Facility at the address under ADDRESSES; but 
please submit your comments and material by only one means. If you 
submit them by mail or delivery, submit them in an unbound format, no 
larger than 8\1/2\ by 11 inches, suitable for copying and electronic 
filing. If you submit them by mail and would like to know that they 
reached the Facility, please enclose a stamped, self-addressed postcard 
or envelope. We will consider all comments and material received during 
the comment period. We may change the proposed rule in view of them.

B. Handling Confidential Information, Proprietary Information and 
Sensitive Security Information (SSI) Submitted in Public Comments

    Do not submit comments that include trade secrets, confidential 
commercial or financial information, or sensitive security information 
(SSI) \1\ to the public regulatory docket. Please submit such comments 
separately from other comments on the rulemaking. Comments containing 
this type of information should be appropriately marked as containing 
such information and submitted by mail to the Coast Guard point of 
contact listed in the FOR FURTHER INFORMATION CONTACT section.
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    \1\ ``Sensitive Security Information'' or ``SSI'' is information 
obtained or developed in the conduct of security activities, the 
disclosure of which would constitute an unwarranted invasion of 
privacy, reveal trade secrets or privileged or confidential 
information, or be detrimental to the security of transportation. 
The protection of SSI is governed by 49 CFR part 1520.
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    Upon receipt of such comments, the Coast Guard will not place the 
comments in the public docket and will handle them in accordance with 
applicable safeguards and restrictions on access. The Coast Guard will 
hold them in a separate file to which the public does not have access, 
and place a note in the public docket that Coast Guard has received 
such materials from the commenter. If the Coast Guard receives a 
request to examine or copy this information, we will treat it as any 
other request under the Freedom of Information Act (FOIA) (5 U.S.C. 
552).

C. Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble 
as being available in the docket, go to http://dms.dot.gov at any time, 
enter the docket number for this rulemaking (USCG-2007-28915) in the 
Search box, and click ``Go >>.'' If you do not have access to the 
internet, you may view the docket online by visiting the Docket 
Management Facility in Room W12-140 on the ground floor of the 
Department of Transportation West Building, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through 
Friday, except Federal holidays.

D. Privacy Act

    Anyone can search the electronic form of all comments received into 
any of our dockets by the name of the individual submitting the comment 
(or signing the comment, if submitted on behalf of an association, 
business, labor union, etc.). You may review a Privacy Act, system of 
records notice regarding our public dockets in the January 17, 2008 
issue of the Federal Register (73 FR 3316).

E. Public Meeting

    Because the Coast Guard intends to hold additional public meetings 
(see Paragraph F ``Future Opportunities for Comment''), we plan to hold 
only one public meeting in the Washington, DC area at this time. A 
notice with the specific date and location of the meeting will be 
published in the Federal Register as soon as this information is known. 
In addition, known interested parties will be contacted via mail, e-
mail, or telephone. If you wish to be contacted regarding the public 
meeting, contact LCDR Jonathan Maiorine, listed under FOR FURTHER 
INFORMATION CONTACT.

F. Future Opportunities for Comment

    The Coast Guard intends to publish a Notice of Proposed Rulemaking 
(NPRM) after reviewing the comments on this Advanced Notice of Proposed 
Rulemaking (ANPRM), and after receiving data from the TWIC pilot 
programs (discussed in Section IV ``Discussion of Pilot Programs''). We 
intend to have an open comment period with sufficient time to allow 
interested parties to submit comments following publication of an NPRM. 
We also intend to hold several public meetings during that comment 
period, at various locations across the country.

II. Summary of ANPRM

    This ANPRM presents preliminary thoughts of the Department of 
Homeland Security, through the U.S. Coast Guard and the Transportation 
Security Administration, on potential requirements for electronic TWIC 
readers for certain vessels and facilities that are regulated by the 
Coast Guard under 33 CFR chapter I, subchapter H, commonly known as 
``MTSA-regulated'' vessels and facilities. The purpose of this ANPRM is 
to open the public dialogue on implementing TWIC reader requirements 
using a risk-based decision model, as well as to seek input on other 
requirements that we are considering proposing at the same time as the 
reader requirements. We are not proposing any specific changes to the 
Code of Federal Regulations at this time. Specific changes would be 
proposed in an NPRM at a future date.
    This ANPRM discusses separating individual MTSA-regulated vessels, 
facilities, and Outer Continental Shelf (OCS) facilities into one of 
three risk groups. Each risk group would have its own associated 
electronic TWIC reader requirements.
    We are considering that those vessels and facilities in the lowest 
risk group continue to use TWICs primarily as a visual identity badge 
only, at all Maritime Security (MARSEC) Levels, and subject to 
electronic verification during inspections and spot checks, as 
currently required in the joint Coast Guard and TSA final rule on TWIC, 
issued on January 25, 2007. 72 FR 3492.
    At MARSEC Level 1, those in the middle risk group would perform an 
electronic read of the TWIC to verify its authenticity and to verify 
the validity of the card (i.e., ensure that it has not been revoked). 
Owners or operators of these vessels and facilities would match the 
TWIC-holder's fingerprint to the biometric template stored within the 
TWIC (i.e., perform a biometric match) at MARSEC Level 1 on dates 
chosen randomly within a frequency of at least once a month. They would 
perform the biometric match at each entry at the higher MARSEC Levels.
    Those vessels and facilities falling into the highest risk group 
would perform the biometric match and verify the authenticity and 
validity of the card at each entry at all MARSEC Levels.
    These requirements are summarized in a table, found in Section IV. 
D. ``Reader Requirements'' and are subject to change based on public 
comment and

[[Page 13362]]

additional data collection from the TWIC reader testing pilot program 
(``pilot program''), which is currently underway as required by the 
Safety and Accountability for Every Port Act of 2006 (SAFE Port Act), 
Public Law No. 109-347, 120 Stat. 1884, 1889 (Oct. 13, 2006). For 
example, we may propose, in an NPRM, to require reader usage at a 
facility or vessel in Risk Group C, or require more frequent reader 
usage for those facilities and vessels in Risk Group B. We request 
comments from the public regarding this process and, in particular, the 
Risk Group divisions and application of MARSEC Levels to reader 
requirement frequency.
    We are also considering that each risk group have the option of 
using recurring unescorted access for up to 14 TWIC holders, per vessel 
or facility, if that provision is included in their amended security 
plan and approved by the Coast Guard. In order to take advantage of 
recurring unescorted access, the owner or operator of the vessel or 
facility would conduct an initial biometric match of the individual 
against his/her TWIC, either at hiring or upon the effective date of a 
final rule, whichever occurs later. This biometric match would include 
a verification of the authenticity and validity of the TWIC. Once this 
check is done, the TWIC need only be used as a visual identity badge, 
at a frequency to be approved by the Coast Guard in the amended 
security plan, so long as the validity of the TWIC is verified 
periodically, ranging from monthly to daily, depending upon risk group 
and MARSEC Level. We are specifically seeking comment in this ANPRM as 
to whether 14 persons is the appropriate number of persons eligible for 
recurring unescorted access and whether the public believes this 
process is appropriate for facilitating industry operations while 
maintaining an appropriate level of port security.
    This ANPRM also discusses recordkeeping requirements for those risk 
groups required to use readers, and for those owners or operators 
choosing to use recurring unescorted access. It discusses and seeks 
comment on a requirement for all owners and operators to amend their 
security plans to incorporate TWIC requirements.

III. Background

A. Statutory History

    The principal statutory authority for the TWIC program, the 
Maritime Transportation Security Act of 2002 (MTSA), Public Law No. 
107-295, 116 Stat. 2064 (Nov. 2, 2002), requires the issuance of 
biometric transportation security cards to Coast Guard credentialed 
merchant mariners and other workers requiring unescorted access to 
secure areas of vessels and port facilities. 46 U.S.C. 70105(a)-(f) 
(2002). The SAFE Port Act, Public Law No. 109-347, 120 Stat. 1884 (Oct. 
13, 2006) supplemented various MTSA credentialing requirements. These 
additional provisions included establishing a port implementation 
deadline; requiring implementation of a pilot program to test TWIC 
readers; and setting a deadline for promulgation of final regulations 
requiring the deployment of TWIC readers that are consistent with the 
findings of the pilot program. 46 U.S.C. 70105(g)-(m) (2006).

B. Regulatory History

    On May 22, 2006, the Coast Guard and TSA issued a joint notice of 
proposed rulemaking (TWIC 1 NPRM) entitled ``Transportation Worker 
Identification Credential Implementation in the Maritime Sector; 
Hazardous Materials Endorsement for a Commercial Driver's License,'' 
setting forth proposed requirements and processes required by MTSA. 71 
FR 29396. The TWIC 1 NPRM proposed amending Coast Guard regulations on 
vessel and facility security, found in 33 CFR chapter I, subchapter H, 
to require the use of the TWIC as an access control measure, as well as 
amendments to TSA regulations on security threat assessment standards. 
The TWIC 1 NPRM also proposed requiring the use of TWIC in a biometric 
access control system and user fees for TWIC issued under this rule. 
The joint final rule (TWIC 1 FR), issued January 25, 2007, under the 
same title, established the biometric credential requirements, amended 
knowledge requirements, expanded appeal and waiver provisions, and set 
the user fee for the TWIC. 72 FR 3492. The TWIC 1 FR did not require 
card readers. A full discussion of the provisions for the TWIC 1 NPRM 
and TWIC 1 FR can be found in the preambles of those documents, at the 
Federal Register cites provided in this paragraph.
    After publication of the TWIC 1 FR, the Coast Guard issued a Notice 
of Availability and requested comments on draft TWIC biometric reader 
specifications and draft TWIC contactless smart card applications, 
which were both developed by the National Maritime Security Advisory 
Committee (NMSAC). The Coast Guard and TSA reviewed the comments 
received and issued a Notice on September 20, 2007, announcing the 
working technical specification selected for use in the TWIC pilot 
programs and discussing the comments received in response to the Notice 
of Availability. 72 FR 53784.
    On July 13, 2007, the Coast Guard issued a final rule to delay the 
compliance date for facility owners and operators wishing to redefine 
their secure areas, to limit application of the TWIC requirement to 
those portions of their facility directly connected to maritime 
transportation. 72 FR 38486. This provision was included in the TWIC 1 
FR, and the delay in the compliance date was necessary to allow owners 
and operators to consider Coast Guard guidance, issued as Navigation 
and Vessel Inspection Circular 03-07 on July 2, 2007.
    On September 28, 2007, the Coast Guard and TSA issued another joint 
Final Rule to amend provisions of the TWIC 1 FR. 72 FR 55043. This 
final rule amended the definition of secure areas to address facilities 
in the Commonwealth of the Northern Mariana Islands; allowed 
flexibility for additional non-resident aliens to apply for a TWIC; 
clarified who may obtain a TWIC at a reduced fee; and amended the 
replacement fee originally announced in TWIC 1 FR.
    On May 7, 2008, the Coast Guard and TSA issued a joint final rule 
to extend the compliance date set forth in the TWIC 1 FR. 73 FR 25562. 
Under the new final compliance date, mariners must obtain a TWIC no 
later than April 15, 2009. That date also marks the final date by which 
owners and operators of vessels, facilities, and OCS facilities, who 
have not otherwise been required to implement access control procedures 
utilizing TWIC on an earlier date, must implement those procedures. 
Owners and operators of vessels, facilities, and OCS facilities should 
note, however, that in accordance with the TWIC 1 FR the Coast Guard 
has announced rolling COTP Zone compliance dates in the Federal 
Register.

IV. Discussion of Process

A. Risk-Based Approach to Reader Requirements

    This ANPRM discusses three levels of requirements, with vessels and 
facilities ``assigned'' into a particular level based on risk. We used 
the Maritime Security Risk Analysis Model (discussed in B. ``Maritime 
Security Risk Analysis Model (MSRAM) and the Analytic Hierarchy Process 
(AHP)'') and other factors to rank facilities and vessels as lower 
versus higher risk. We are considering proposing that those facilities 
and vessels with the higher risk be required to fully utilize the 
security features and achieve the full risk reduction benefit of the 
TWIC, whereas facilities and vessels

[[Page 13363]]

at the lower risk level should be required to implement only some of 
the security features. We have presented the resulting matrix of 
potential requirements in this document. We are seeking comment not 
only on these requirements, but also on the risk groups themselves and 
the method we used to reach those groups, which is discussed in the 
next section.

B. Maritime Security Risk Analysis Model (MSRAM) and the Analytic 
Hierarchy Process (AHP)

    Three factors were applied to develop a risk-based ranking of all 
MTSA-regulated facilities and vessels by type. These factors were: The 
maximum consequence resulting from a terrorist attack, the criticality 
to the nation's health, economy and national security, and the utility 
of TWIC in reducing risk. These factors were applied in an AHP 
(discussed later in this section) to develop an overall ranking of 
vessel and facility types for which TWIC requirements are assigned.\2\
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    \2\ The ranking from each factor, as well as the overall 
rankings, are SSI per 49 CFR 1520.5(b)(5) and (b)(12). In accordance 
with 49 CFR 1520.9, SSI may only be released to covered persons with 
a need to know the information.
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    The first factor applied was the maximum potential consequence 
resulting from the total destruction of the vessel or facility. We 
developed this factor by using the Coast Guard's MSRAM application.
    MSRAM is a terrorism risk analysis tool used to perform risk 
assessments on critical infrastructure and key resources in the 
maritime domain given a range of terrorist attack scenarios. The tool's 
purpose is to capture and rank the security risk facing different types 
of potential terrorist targets (e.g., waterfront facilities, vessels, 
bridges and other infrastructure) spanning all Critical Infrastructure/
Key Resource (CI/KR) sectors in our nation's ports and on our 
waterways. An initial step in the MSRAM process is to calculate the 
maximum potential consequence of total loss of a target, factoring in 
injury and loss of life, economic and environmental impact, symbolic 
effect, and national security impact. MSRAM then assesses risk for a 
range of scenarios--each involving a combination of target and method 
of attack--in terms of threat, vulnerability, and consequence. MSRAM 
also considers the response capability of the owner/operator, local 
first responders, and Federal agencies to mitigate the consequences of 
an attack. The Coast Guard in consultation with representatives from 
Area Maritime Security Committees throughout the country has compiled 
this MSRAM risk information from Coast Guard Sectors and Captains of 
the Port into a database which provides an overall national view of 
terrorist risk to maritime assets.
    We extracted information specific to MTSA regulated vessels and 
facilities from this database and used it to address the maximum 
consequence that would occur if the facility or vessel was completely 
debilitated by a transportation security incident (TSI) resulting from 
a terrorist attack. These MSRAM consequence scores were averaged across 
similar types of MTSA regulated vessels and facilities to develop a 
standard risk score for each type of vessel and facility.
    The second factor scored was the criticality of vessel or facility 
type. The term ``criticality'' describes the impact of the total loss 
of a vessel or facility beyond the immediate local consequences and 
addresses regional or national impacts to human health, the economy and 
national security.
    Finally, we scored the utility of TWIC in reducing vulnerability to 
terrorist attack for each vessel and facility type.
    We used the AHP to combine these three factors and developed an 
overall risk ranking by vessel and facility type. AHP is a technique 
for decision making which uses a limited number of variables, each of 
which has a number of different attributes. This enables the 
combination of subjective and objective input from a group to produce 
consistent results.
    Applying this technique, each of the three factors was weighted 
based on their importance to the policy decision process, and an 
analysis was conducted to check the consistency of the evaluation 
measures. At the end of this process, vessel and facility types with 
similar scores were combined into ``risk groups'' to determine TWIC 
verification and validation requirements.
    In determining the cut offs between risk groups, risk rankings were 
graphed to identify any natural breaks that occurred in the data. For 
vessels, these breaks generally occurred where there was a change in 
the hazardous nature of the cargo or where the number of passengers 
carried aboard a vessel increased. The breaks were similar for 
facilities where these vessels called. These breaks were used in 
defining risk groups A, B, and C. These groups are spelled out in E. 
``Facility and Vessel Risk Groups.''
    We then turned to the Homeland Security Institute (HSI) to provide 
an independent peer review of our analysis.\3\ Specifically, HSI is 
evaluating the validity of the risk assessment methodology and its 
appropriateness for the identified TWIC risk issues, the extent to 
which the conclusions follow from the analysis, and the overall 
strengths and weaknesses of the risk analysis. The main objective is to 
review how the MSRAM methodology has been applied to the development of 
the proposed TWIC reader requirements; the MSRAM methodology itself is 
not a part of the peer review. HSI's final report is expected this 
fall, and will be placed on the docket for this rulemaking, where 
indicated under ADDRESSES, as appropriate.
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    \3\ The Homeland Security Institute (HSI) is a Studies and 
Analysis Federally Funded Research and Development Center 
established pursuant to section 312 of the Homeland Security Act of 
2002 (6 U.S.C. 192). HSI delivers independent and objective analyses 
and advises in core areas important to its sponsor in support of 
policy development, decision-making, analysis of alternative 
approaches, and evaluation of new ideas on issues of significance.
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C. Requirement Options Considered

    We considered three separate categories of TWIC verification that 
could, potentially, be checked at each entry: (1) Identity 
verification, (2) card authentication, and (3) card validity.
    (1) Identity verification ensures that the individual presenting 
the TWIC is the same person to whom the TWIC was issued. In its most 
reliable form, this is done by matching the biometric template stored 
in the TWIC to the TWIC-holder's live sample biometric (e.g., a 
fingerprint). However it can also be done to a less reliable degree by 
visually comparing the photo on the TWIC to the TWIC-holder or by 
requiring the TWIC-holder to place their card into a contact smart card 
reader and then entering his/her 6-digit Personal Identity Number 
(PIN), selected by the TWIC-holder at card issuance.
    In some instances, a biometric match will not be possible. A small 
number of TWICs will be issued that contain either poor quality 
fingerprint templates, mostly due to badly damaged fingers, or no 
fingerprint minutiae in the case of amputations. In these cases, the 
reader will display a prompt indicating that this TWIC holder will 
require exception handling. We expect that the facility or vessel owner 
or operator will describe the exception process to be used in these 
cases in their security plan. The exception processes may include 
visual inspection of the TWIC including visual comparison of the photo 
printed on the card to the presented; visual comparison of the digital 
photo stored on the TWIC to the presenter by using a portable

[[Page 13364]]

reader with a contact interface and releasing the photo to the reader 
screen by entering the six-digit PIN; or an alternative process 
proposed by the owner or operator and approved by the Coast Guard.
    Biometrics, other than the fingerprint templates stored in the 
Integrated Circuit Chip of the TWIC, may be used to biometrically 
verify the identity of individuals being granted unescorted access to 
secure areas of MTSA regulated facilities and vessels provided that a 
``chain-of-trust'' is maintained to link the individual, their TWIC, 
and the alternative biometric. The process for maintaining these links 
would need to be described in an FSP or VSP, approved by the Coast 
Guard. In addition to linking the alternate biometric to the individual 
and heir TWIC, the process would need to include ascertaining the 
validity of the individual's TWIC.
    Before obtaining an alternate biometric the TWIC holder must first 
be linked to their credential by matching the holder's fingerprint to 
the fingerprint template on the TWIC using a reader capable of reading 
and matching the TWIC biometric. During this process, the validity of 
the TWIC would also need to be ascertained. If the fingerprint template 
match is successful and the TWIC is valid the credential would, in most 
cases, be registered with the personnel access control system (PACS). 
While the TWIC holder is present, the alternate biometric would be 
captured and linked to the TWIC, thus establishing a ``chain-of-trust'' 
between the individual, their TWIC, and the alternate biometric. 
Variations on the usual process of registering the TWIC and alternate 
biometrics in a PACS, such as storing the alternate biometric on a 
separately issued card, or storing the alternate biometric on a local 
reader, may be proposed as part of the FSP or VSP. However, in all 
cases the linkage between the individual, the TWIC, and the alternate 
biometric would need to be proven and approved by the Coast Guard.
    (2) Card authentication ensures that the card being used is an 
authentic TWIC, i.e., not a counterfeit. As designed, the primary 
method of card authentication involves engaging the TWIC with a reader 
to perform a CHALLENGE/RESPONSE protocol using the Card Authentication 
Certificate and the associated card authentication private key resident 
on the TWIC.\4\ The card can also be visually inspected for various 
security features that are embedded into the front and back of the 
card, although this is a less reliable form of card authentication.
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    \4\ The TWIC reader will read the Card Authentication 
Certificate from the TWIC card and then send a challenge to the card 
requesting the card authentication key be used to sign a random 
block of data (created and known to the TWIC reader). The TWIC 
reader will use the public key embedded in the Card Authentication 
Certificate to verify the signature of the random data block is 
valid. If the signature is valid the TWIC reader will trust the TWIC 
card submitted and will proceed to pulling the Federal Agency Smart 
Credential--Number (FASC-N) and other information from the card for 
further processing. The Card Authentication Certificate contains the 
FASC-N and a certificate expiration date harmonized to the TWIC card 
expiration date. This minimizes the need for the TWIC reader to pull 
more information from the card (unless required for additional 
checking).
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    (3) Card validity involves the determination that a TWIC is still 
valid, i.e., that it has not expired; been reported as lost, stolen, or 
damaged; or been revoked for cause by TSA. A TWIC that is invalid is 
placed on the ``hotlist,'' which is updated daily.\5\ As designed, 
checking for card validity is accomplished by comparing the expiration 
date of the TWIC to the current date and additionally comparing the 
card's internal Federal Agency Smart Card--Number (FASC-N), retrievable 
from several locations within the TWIC, to the hotlist FASC-Ns that TSA 
makes available to owners and operators.
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    \5\ The hotlist is online at: https://twicprogram.tsa.dhs.gov/TWICWebApp/SDownloadHotlist.do.
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    An alternative method for checking card validity is to use a 
Certificate Revocation List (CRL). The link to the CRL is embedded in 
the Issuer Signing Certificate present on every card.\6\ Each entry of 
the CRL is comprised of the certificate number and its date of 
revocation. Note there are four certificates for every TWIC Card (Card 
Authentication Certificate, Digital Signature Certificate, Key 
Management Certificate, and Personal Identity Verification (PIV) 
Authentication Certificate). The CRL is updated daily. Both of these 
processes (hotlist or CRL check) require a card/reader interface. A 
partial card validity check can be accomplished by reviewing the 
expiration date on the face of the TWIC, but such a check would not 
capture information relating to cardholders who TSA determines pose a 
security threat and/or hold revoked TWICs.
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    \6\ The CRL is located at http://twic-crl.orc.com/CRLs/TWICCA1.crl.
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    We anticipate that the Hotlist match (or the CRL match) can be done 
in one of two ways: Electronically (either in real time or by 
downloading the Hotlist into the reader or a separate access control 
system), or by printing out the Hotlist and manually entering it into a 
separate access control system.
    The TWIC 1 NPRM discussed the potential for a process called 
``privilege granting,'' in which an owner or operator could contact TSA 
and register those persons granted unescorted access privileges at the 
vessel or facility. Owners or operators would provide TSA with the 
FASC-Ns for every person who was being considered for unescorted access 
privileges. TSA would then contact the owner or operator directly if 
any of those FASC-Ns were placed on the Hotlist. This option requires 
access to a TWIC reader in order to discern the FASC-Ns associated with 
the individuals given unescorted access. This capability was tested 
during TSA's TWIC prototype but is not part of the current TWIC system. 
We would like to hear comments on whether such an option would be 
preferred, and if so, whether owners and operators would be willing to 
pay a fee for the option of using privilege granting (instead of 
downloading the Hotlist at regular intervals). If users would be 
willing to pay a fee, we also request a range of what would be 
appropriate (e.g., one time fee to use the system, annual fees, or a 
combination of both, plus limits on what fees owners and operators 
would be willing to pay).

D. Reader Requirements

    When we considered electronic reader requirements for facilities 
and vessels, we began with a baseline approach that all three 
categories of TWIC verification--identity verification, card 
authentication, and card validity--in its most reliable and complete 
form should be required of all risk groups.
    TWIC provides a universally recognized, tamper-resistant credential 
backed up by a TSA security threat assessment that, when used as an 
access control tool, reduces the risk of a transportation security 
incident at vessels and maritime facilities. TWIC is a dual interface 
smart card which was developed using national and international 
standards to ensure security, interoperability and performance. The 
card has physical and logical security features which, when used 
properly, can provide a secure method of determining, with a high level 
of assurance, that the TWIC-holder is the same individual to whom the 
TWIC was issued, and that they do not present a security threat.
    The benefit of using existing industry recognized standards in 
developing the TWIC is the flexibility of use the card provides. It can 
be integrated into existing access control systems by using the TWIC as 
a secure means of

[[Page 13365]]

authenticating an individual when first registering an individual into 
an existing access control system. Alternatively, either the contact or 
contactless interface can be used with existing smart card readers to 
authenticate the individual and the credential when making access 
control decisions, by securely accessing and using the data stored on 
the TWIC.
    A design principle of the TWIC system is to establish and maintain 
a chain of trust. A chain of trust is a security architecture that 
ensures that a uniform level of security and integrity is applied to 
the components or agents where information is stored or passes through. 
TWIC accomplishes this by the use of secure communication between 
components of the TWIC system, identity verification and authentication 
issuance requirements, and centralized personalization.
    The following tables briefly summarize the requirements the Coast 
Guard is considering for each risk group. It indicates what would need 
to occur, at each MARSEC Level, to complete identity verification, card 
authentication, and a card validity check.

                                     Table of Potential Reader Requirements
----------------------------------------------------------------------------------------------------------------
                                            MARSEC Level 1           MARSEC Level 2           MARSEC Level 3
----------------------------------------------------------------------------------------------------------------
Risk Group A, Bulk CDCs, >1,000        IDENTITY VERIFICATION:   IDENTITY VERIFICATION:   IDENTITY VERIFICATION:
 passengers                             Biometric match of       Biometric match of       Biometric match of
                                        fingerprint to           fingerprint to           fingerprint to
                                        template stored in       template stored in       template stored in
                                        TWIC at each entry.      TWIC at each entry.      TWIC at each entry.
                                       CARD AUTHENTICATION:     CARD AUTHENTICATION:     CARD AUTHENTICATION:
                                        Electronic               Electronic               Electronic
                                        communication to         communication to         communication to
                                        achieve a successful     achieve a successful     achieve a successful
                                        CHALLENGE/RESPONSE       CHALLENGE/RESPONSE       CHALLENGE/RESPONSE
                                        result at each entry.    result at each entry.    result at each entry.
                                       CARD VALIDITY CHECK:     CARD VALIDITY CHECK:     CARD VALIDITY CHECK:
                                        Compare FASC-N against   Compare FASC-N against   Compare FASC-N against
                                        Hotlist at each entry;   Hotlist at each entry;   Hotlist at each entry;
                                        update Hotlist weekly.   update Hotlist daily.    update Hotlist daily.
Risk Group B, HAZ MAT, Crude Oil, 500- IDENTITY VERIFICATION:   IDENTITY VERIFICATION:   IDENTITY VERIFICATION:
 1,000 passengers.                      Random biometric match   Biometric match of       Biometric match of
                                        of fingerprint to        fingerprint to           fingerprint to
                                        template stored in       template stored in       template stored in
                                        TWIC, at least one day   TWIC at each entry.      TWIC at each entry.
                                        a month; all other
                                        times as visual
                                        identity badge.
                                       CARD AUTHENTICATION:     CARD AUTHENTICATION:     CARD AUTHENTICATION:
                                        Electronic               Electronic               Electronic
                                        communication to         communication to         communication to
                                        achieve a successful     achieve a successful     achieve a successful
                                        CHALLENGE/RESPONSE       CHALLENGE/RESPONSE       CHALLENGE/RESPONSE
                                        result at each entry.    result at each entry.    result at each entry.
                                       CARD VALIDITY CHECK:     CARD VALIDITY CHECK:     CARD VALIDITY CHECK:
                                        Compare FASC-N against   Compare FASC-N against   Compare FASC-N against
                                        Hotlist at each entry;   Hotlist at each entry;   Hotlist at each entry;
                                        update Hotlist weekly.   update Hotlist daily.    update Hotlist daily.
Risk Group C, Non-HAZ................  IDENTITY VERIFICATION:   IDENTITY VERIFICATION:   IDENTITY VERIFICATION:
MAT, <500 passengers MODU OSV........   Visual identity badge    Visual identity badge    Visual identity badge
                                        at each entry.           at each entry.           at each entry.
                                       CARD AUTHENTICATION:     CARD AUTHENTICATION:     CARD AUTHENTICATION:
                                        Check security           Check security           Check security
                                        features on card at      features on card at      features on card at
                                        each entry and           each entry and           each entry and
                                        electronic               electronic               electronic
                                        verification during      verification during      verification during
                                        annual inspections and   annual inspections and   annual inspections and
                                        random spot checks.      random spot checks.      random spot checks.
                                       CARD VALIDITY CHECK:     CARD VALIDITY CHECK:     CARD VALIDITY CHECK:
                                        Check expiration date    Check expiration date    Check expiration date
                                        at each entry; CG        each entry; CG perform   at each entry; CG
                                        perform spot checks.     spot checks.             perform spot checks.
----------------------------------------------------------------------------------------------------------------

Risk Group A
    To provide the maximum security benefit, we determined that those 
assets presenting the highest risk should be required to implement the 
most protective measures. Thus, we are considering requiring facilities 
and vessels that fall into risk group A to either match the TWIC-
holder's biometric (fingerprint) to the template stored in the card or 
to match the TWIC-holder's biometric to one held in the owner/
operator's own access control system. This match will need to occur at 
each entry. For the latter option, the owner or operator may choose to 
apply a different biometric than the fingerprint, such as an iris scan 
or hand geometry, stored in the local access control system and matched 
to the individual seeking access. Also, for the latter option, the 
owner/operator's system must be linked to the TWIC in such a manner 
that the access control system forbids access to someone who does not 
have a valid TWIC, or to someone other than to whom the TWIC has been 
issued. This means that the TWIC will need to be read and the stored 
biometric identifier matched against the TWIC-holder's fingerprint at 
least once, when the individual is entered into the local access 
control system.
    We are re-considering whether to require a TWIC-holder to verify 
his/her PIN as a part of the identity verification process. This added 
element, making the TWIC-holder provide ``something he/she knows,'' 
would complete three-factor authentication: (1) Something the person 
has--a TWIC credential; (2)

[[Page 13366]]

Something the person knows--a PIN, stored securely on * * * the 
credential; and (3) Something the person is--biometric. PIN 
verification would require the TWIC to be inserted into a card reader, 
as the PIN only operates in the contact-chip mode. Comments received on 
the TWIC 1 NPRM made it clear that requiring insertion of a TWIC into 
an open-slot card reader was not favored among the maritime community. 
This was echoed in the recommendations made by NMSAC in its 
recommendations for specifications for a contactless TWIC. There were 
concerns over whether the readers would be able to withstand harsh 
environmental and operational conditions and how long they would last 
if they were operated continually in the maritime environment. Industry 
partners also voiced concerns over whether maritime workers would be 
able to remember a PIN, especially if a PIN was only required at higher 
MARSEC Levels, and over the operational delays that may be caused by 
requirements for TWIC-holders to pass through access control points, 
insert the card, enter a PIN (which could take several tries), and then 
remove the card. After considering these comments, the relative risk 
presented by the vessels and facilities, and the security already being 
provided through the remaining requirements, we have tentatively 
determined that a requirement for use of the PIN would have a negative 
impact on large scale throughput during access control evolutions. As a 
result, we have not included a requirement for regular use of the PIN 
at any MARSEC Level for any risk group in this ANPRM. We would like 
public comments on this decision and whether the Coast Guard should 
reconsider using PIN requirements. We note, however, that PINs may be 
required by owners and operators who wish to implement an additional 
level of security or during the spot checks and annual inspections 
conducted by the Coast Guard.
    We are also considering a proposal that vessels and facilities in 
the highest risk group (risk group A) authenticate the card 
electronically with a card reader at each entry. Again, for vessels and 
facilities opting to integrate TWIC into existing local access control 
systems, this will need to be done before the individual's information 
is added into the local access control system, and before unescorted 
access is first granted to the individual. For other vessels and 
facilities, this function can be done by TWIC readers at the same time 
that the biometric match is being made. Adding this requirement would 
add a negligible time to the transaction between the TWIC-holder and 
the card reader, as the readers will be able to perform this function 
as the individual is presenting his or her finger for matching against 
the template stored on the TWIC.
    Finally, vessels and facilities in risk group A would verify the 
validity of the TWIC at each entry using information that is no more 
than seven (7) days old, when at MARSEC Level 1. This means that on a 
weekly basis, the Hotlist or CRL will need to be downloaded into the 
reader(s) used at the vessel or facility's access control point(s) or 
into the local access control system used by the vessel or facility. 
This frequency will jump to daily (i.e., the Hotlist or CRL will need 
to be downloaded daily) at MARSEC Levels 2 and 3. We request comments, 
particularly from vessels and facility owners and operators in risk 
grouping A, as to these processes.
Risk Group B
    Vessels and facilities in risk group B would, under a final rule 
based on this model, be required to complete the identity verification 
by using the TWIC as a visual identity badge (``flash pass'') at each 
entry. On a random basis, but at least one day a month, at MARSEC Level 
1, they would also be required to match the biometric stored on the 
card in order to conduct more complete identity verification.
    Vessels and facilities in risk group B would need to perform card 
authentication by electronically reading all the cards at MARSEC Level 
1 at each entry, even when the biometric match is not being 
implemented. While these checks require the use of an electronic 
reader, they may be done using the contactless smart card interface, 
and would not require that the individual TWIC-holder present his or 
her fingerprint for matching against the template. The validity of the 
TWICs must be checked at each entry, using TSA's Hotlist or CRL. At 
MARSEC Level 1, this would be done using information that is no more 
than seven (7) days old. At MARSEC Levels 2 and 3, the information 
would be downloaded daily. We seek comments on this process and its 
application to vessels and facilities in risk group B.
Risk Group C
    Facilities and vessels in the lowest risk group, risk group C, 
would not be required to match the biometric stored on the card in 
order to complete the identity verification at any MARSEC Level. 
Instead, they would only be required to use the TWIC as a visual 
identity badge in the manner currently required by the TWIC 1 FR. This 
provides identity verification with a lower level of reliance than a 
biometric match would, however, we have determined at this time, and 
subject to public comment, that in this lower risk group matching the 
biometric frequently is not necessary. Given the type of commodities 
and small number of passengers typical of this risk group, it is likely 
these vessels and facilities are a less attractive target for 
individuals who wish to do harm, though still holding the potential of 
being involved in a TSI. As a result, we have determined that the 
frequent matching of a biometric would not be practical. In addition, 
identity verification using TWIC as a visual identity badge would more 
closely align with other less stringent security provisions implemented 
at these lower risk vessels and facilities.
    Card authentication for this group (risk group C), would require 
only verification of the various security features on the front and 
back of the card. Under this process, vessels and facilities in this 
risk group would continue to use the TWIC in the manner required by the 
TWIC 1 FR. Finally, for the card validity check, we would require only 
that the expiration date be checked. Thus, vessels and facilities in 
risk group C will be able to fulfill their TWIC obligations without 
having to buy or have access to a card reader.
    This does not mean that individuals who hold TWICs and work 
exclusively at vessels or facilities falling into risk group C will 
never need to present their TWICs for a biometric match or more secure 
card authentication check. The Coast Guard will continue to check and 
verify TWICs, using handheld readers, during annual inspections and 
during unannounced spot checks aboard vessels and facilities within all 
three risk groups. These checks will include identity verification 
using the fingerprint template stored in the TWIC, card authentication, 
and card validity checks using the current TSA Hotlist or CRL. 
Additionally, vessels and facilities may choose to electronically 
authenticate the card with a card reader.
    TSA would be able, through use of information collected during 
enrollment for the TWIC, to contact employers or the Coast Guard if an 
imminent threat, resulting in an immediate revocation of a TWIC, is 
identified during the perpetual vetting of TWIC holders. At MARSEC 
Levels 2 or 3, the Coast Guard spot checks and the percentage of TWICs 
verified at each annual inspection would increase.
    The Coast Guard seeks public comment of these processes, and 
specifically as to the everyday

[[Page 13367]]

operational impacts related to the process and whether they will 
maintain appropriate security levels while permitting the efficient and 
effective continuation of industry operations.

E. Facility and Vessel Risk Groups

    The following are suggested risk groups for vessels that are 
subject to 33 CFR part 104:
Risk Group A
    (1) Vessels that carry Certain Dangerous Cargoes (CDC) in bulk;
    (2) Vessels certificated to carry more than 1,000 passengers; and
    (3) Towing vessels engaged in towing a barge or barges subject to 
paragraphs (1) or (2).
Risk Group B
    (1) Vessels that carry hazardous materials other than CDC in bulk;
    (2) Vessels subject to 46 CFR Chapter I, Subchapter D, that carry 
any flammable or combustible liquid cargoes or residues \7\;
---------------------------------------------------------------------------

    \7\ The intent as used here is to capture those tank vessels 
that are carrying the high flash point petroleums, like crude oil, 
that aren't hazardous materials, whether inland, coastal, or 
seagoing.
---------------------------------------------------------------------------

    (3) Vessels certificated to carry 500 to 1,000 passengers; and
    (4) Towing vessels engaged in towing a barge or barges subject to 
paragraphs (1), (2), or (3).
Risk Group C
    (1) Vessels carrying non-hazardous cargoes that are required to 
have a vessel security plan;
    (2) Vessels certificated to carry less than 500 passengers;
    (3) Towing vessels engaged in towing a barge subject to paragraphs 
(1) or (2);
    (4) Mobile Offshore Drilling Units (MODU); and
    (5) Offshore Supply Vessels (OSVs) subject to 46 CFR chapter I, 
subchapters L or I.
    The following is suggested risk groups for facilities that are 
subject to 33 CFR part 105:
Risk Group A
    (1) Facilities that handle CDC in bulk;
    (2) Facilities that receive vessels certificated to carry more than 
1,000 passengers; and
    (3) Barge fleeting facilities that receive barges carrying CDC in 
bulk.
Risk Group B
    (1) Facilities that receive vessels that carry hazardous materials 
other than CDC in bulk;
    (2) Facilities that receive vessels subject to 46 CFR Chapter I, 
Subchapter D, that carry any flammable or combustible liquid cargoes or 
residues;
    (3) Facilities that receive vessels certificated to carry 500 to 
1,000 passengers; and
    (4) Facilities that receive towing vessels engaged in towing a 
barge or barges carrying hazardous materials other than CDC in bulk, 
crude oil, or certificated to carry 500 to 1,000 passengers.
Risk Group C
    (1) MTSA-regulated facilities that receive vessels carrying non-
hazardous cargoes that are required to have a vessel security plan;
    (2) Facilities that receive towing vessels engaged in towing a 
barge carrying non-hazardous cargoes;
    (3) Facilities that receive vessels certificated to carry less than 
500 passengers.
    All OCS facilities subject to 33 CFR part 106 would fall into risk 
group B.
    We considered the possibility that vessels may move from one risk 
group to another, based on the cargo they are carrying or handling at 
any given time. We expect that owners and operators of vessels that 
expect to be in this situation (of moving between risk groups) will 
explain, in their amended security plans, how they will move between 
the requirements of the higher and lower risk groups, with particular 
attention to the security measures to be taken when moving from a lower 
risk group to a higher risk group and seek comments regarding this 
requirement and the potential timing and processes for carrying out 
these amendments.
    We have also considered the possibility that facilities could be 
permitted to move between risk groups based on vessel interface or 
cargo operations. We are specifically requesting comment and 
suggestions on how to apply this flexibility as it pertains to 
potential electronic reader requirements while ensuring an equivalent 
level of security and consistency across multiple COTP Zones to the 
maximum extent possible.

F. Recurring Unescorted Access

    In the TWIC 1 NPRM, we introduced the concept of recurring 
unescorted access for vessels to allow an individual to enter on a 
continual basis, without repeating the identity verification 
requirement at each entry. 71 FR 29410. This concept allowed 
flexibility for an individual to acquire unescorted access to secure 
areas on a continual or ongoing basis, without having to fulfill the 
TWIC access control requirement at every entry. In that NPRM, we noted 
that an owner or operator's decision to grant recurring unescorted 
access should be based on two considerations: (1) The relationship of 
the individual to the vessel, or how well ``known'' he or she is; and 
(2) the individual's need to have frequent and unimpeded access to the 
vessel. In developing this ANPRM, we determined that both vessels and 
facilities, at each risk group, should have the option of using 
recurring unescorted access for up to 14 persons per vessel or 
facility, if that provision is included in their amended security plan 
and approved by the Coast Guard. In order to take advantage of 
recurring unescorted access, the owner or operator of the vessel or 
facility would need to perform a biometric match of the individual 
against his or her TWIC (identity verification), either at hiring or 
upon the effective date of a final rule, whichever occurs later. This 
biometric match would need to include a verification of the FASC-N and 
the TWIC Card Authentication Certificate (card authentication), as well 
as a verification of the validity of the TWIC (card validity check). 
Once this check is done, the TWIC could be used as a visual identity 
badge at a frequency to be approved by the Coast Guard in the amended 
security plan, so long as the validity of the TWIC is verified 
periodically, using the Hotlist or CRL. For vessels and facilities in 
risk groups A and B, these periodic checks of validity would need to 
occur on a weekly basis at MARSEC Level 1, and on a daily basis at 
MARSEC Levels 2 and 3. For those vessels in risk group C, these checks 
would need to occur on a monthly basis at MARSEC Level 1, and on a 
weekly basis at MARSEC Levels 2 and 3. In each case, the validity would 
need to be checked using information that is no more than 24 hours old.
    As a result, vessels in any risk group with a crew of 14 or less 
would not need to carry a reader on their vessel to provide access 
control over his or her own crew. The owner or operator would need 
access to a reader to perform the initial identity verification and 
card authentication, and would likely need some specialized software on 
a computer to complete the card validity checks, but these checks could 
be done at a shore side location, such as at the company's office. This 
would allow owners and operators of more than one vessel to use the 
same reader for an entire fleet. It also enables the owner or operator 
to pursue an agreement with a facility or other company to borrow or 
otherwise have access to their reader to perform the initial check, 
create a file with the FASC-Ns and names of the employees granted 
recurring unescorted access, and then use a software program

[[Page 13368]]

to compare this list to the TSA Hotlist or CRL on the required periodic 
basis.
    We used the recommendation from the Towing Safety Advisory 
Committee (TSAC) which recommended a crew size cut off of 14 for 
determining when to require a reader on board a vessel, as required by 
the SAFE Port Act to develop a cut off for recurring unescorted access. 
This was done because the rationale for allowing recurring unescorted 
access--i.e., that these vessels have a reduced vulnerability because 
the individuals are all ``known'' to one another--is the same rationale 
used by TSAC to justify their crew size cut off recommendation. The 
number was developed by taking into account the fact that for a small 
vessel, such as a towing vessel or offshore supply vessel, the crew 
would typically include up to one Master, one Chief Engineer, and three 
four-person crews who rotate through watch shifts. This number would 
also include a large percentage of deep draft vessels. We then carried 
the number over to facilities, as it is reasonable to assume that 14 
persons could be ``known'' by a facility owner or operator as well.
    While the recurring unescorted access provision does not go so far 
as to set a specific crew size below which a reader would not be 
required on a vessel, we believe this provision, in conjunction with 
the no reader requirement for risk group C, meets the intent of the 
SAFE Port Act. Namely, it provides relief for owners and operators of 
small and many large vessels, where it is unlikely that someone unknown 
to the crew could acquire any type of access to the vessel without 
raising suspicion. Additionally, while the recurring unescorted access 
process would call for the use of electronic card readers to gain 
access to certain vessels, we would not require that they be carried on 
board any vessel. If the owner or operator of a vessel can demonstrate 
in their vessel security plan that they will be able to meet the reader 
requirements via use of a reader at a dedicated facility, by using a 
reader that stays ashore with the company, or by agreements established 
between vessels and facilities (such those captured in a Declaration of 
Security) then the recurring unescorted access provisions could be met 
without requiring installation or implementation of a reader on a 
gangway or at any other place on the vessel.

G. Additional Topics and Requirements

    Reader Approval--TWIC readers, incorporated into MTSA regulated 
vessel and facility PACS, will need to follow the standard/
specification that will be developed from the results of the TWIC 
reader pilot program, and published by the Government. An independent 
lab that tests for compliance to the standard will be used by reader 
manufacturers. These test results will be listed by the Government on 
the DHS Responder Knowledge Base (RKB), which provides an on-line 
source of information on products, equipment, and other information. 
The RKB Web site may be viewed at: http://www.rkb.us.
    Reader Calibration and Compliance--we are considering alternatives 
for how we can check for compliance with regard to the readers 
themselves. We would like to ensure, that once readers are installed, 
they are maintained in proper working order. The existing provisions in 
33 CFR 104.235, 104.2260, 105.225, 105.250, 106.230, and 106.255 would 
require that the readers be inspected, tested, calibrated, and 
maintained in accordance with the manufacturer's recommendations, and 
that records of those actions be maintained as well. We seek comment on 
whether TWIC readers should also be the subject to Coast Guard 
inspections, or require some type of third party audit.
    Security Plan amendment--we are considering a requirement for all 
owners and operators to amend their security plans to include TWIC 
requirements. We intend, at this time, to require the amendment within 
six months of promulgation of a final rule. However, we will re-
evaluate this deadline as we get closer to issuing a final rule. We are 
also considering the staggering of deadlines in order to spread out 
expiration dates for security plans in the future. We seek public 
comment on how long owners and operators should have to amend security 
plans to incorporate TWIC reader requirements. This amendment would 
need to detail how the owner or operator would implement the TWIC 
verification requirements, including those promulgated in the TWIC 1 FR 
(if not already incorporated into their security plans), and electronic 
reader requirements if applicable. For instance, if the owner or 
operator will use recurring unescorted access, the amendment would need 
to explain when and where the initial check of the TWIC will occur, as 
well as how the periodic card validity check will be accomplished. The 
amendment would also need to explain how the owner or operator would 
address identity verification, TWIC authentication, and the TWIC 
validity check for individuals who are not granted recurring unescorted 
access (i.e., how they would check TWICs according to the relevant 
requirements if an individual seeks unescorted access, or how escorting 
would be accomplished).
    Additional security plan provisions that we are considering include 
requiring the owner or operator to discuss how they will handle those 
persons whose TWIC indicate they have poor quality or no fingerprints, 
as well as those persons that are unable to match their live 
fingerprint to the template stored on their TWIC. We are also 
considering adding a requirement that those owners and operators using 
a separate physical access system explain how they are protecting 
personal identity information.
    Requests for waivers, alternatives, and equivalents would need to 
comply with existing regulatory requirements found in 33 CFR 101.120, 
101.130, 104.130, 104.135, 105.130, 105.135, 106.125 and 106.130.
    We would not amend the section on Alternative Security Programs 
(ASPs), 33 CFR 101.120. Rather, we expect that, should this process be 
promulgated in a final rule, the Coast Guard will exercise its existing 
authority, found in Sec.  101.120(d)(1)(ii), to require those 
organizations that have approved ASPs to amend them to incorporate the 
TWIC requirements. We will give each organization the same amount of 
time that owners and operators have to complete this amendment, but 
seek comment on whether a shorter or longer period would be more 
appropriate. For those organizations whose current ASPs cover vessels 
or facilities that would fall into more than one risk group, we would 
expect that the amended ASP address each relevant risk group.
    Recordkeeping--The electronic readers that will be available for 
owners and operators to purchase in order to meet the requirements 
included in this proposal should be able to keep track of the names, 
FASC-Ns, dates, and times of those persons passing through the reader. 
Having records of those persons who were granted unescorted access, may 
prove beneficial in law enforcement situations. For this reason, we are 
considering requiring that facility and vessel owners who are required 
to utilize readers (those in risk groups A and B) also keep records of 
the persons who have been granted unescorted access (those whose TWICs 
have been read by a card reader) for a period of two years. We are not 
considering requiring that owners and operators need to know who is on 
their vessel or facility at all times and believe that type of 
requirement would be burdensome compared to the security benefit that 
it would provide. This would remove the requirement that individuals 
have their TWICs

[[Page 13369]]

electronically read when leaving the facility or vessel.
    We are also considering that owners and operators opting to use 
recurring unescorted access keep records of those persons to whom 
recurring unescorted access has been granted. We would not be 
prescribing the format for these records, only that they include the 
name of individuals granted recurring unescorted access and be kept for 
two years and made available to the Coast Guard upon inspection or 
request. These records must allow the Coast Guard to identify the 14 
(or fewer) individuals who are using the recurring unescorted access 
privilege at the time they inspect or request the record.
    We are also considering a provision that all owners and operators 
maintain a record to demonstrate that they have completed the card 
validity check (Hotlist or CRL check), if required.
    Additional persons required to obtain TWICs--MTSA contained 
additional categories of individuals who must hold a TWIC that were not 
explicitly identified in the TWIC 1 NPRM or TWIC 1 FR. These include 
all vessel pilots and all persons engaged on a towing vessel that 
pushes, pulls, or hauls alongside a tank vessel. 46 U.S.C. 70105(b). We 
believe that the majority of these individuals were already captured in 
the TWIC 1 FR requirement for all persons requiring unescorted access 
to secure areas; however there may be some vessel pilots that do not 
hold Federal licenses, and there may be some persons who are not 
credentialed mariners who are engaged on a towing vessel that is not 
otherwise regulated by 33 CFR part 104. Thus, we are considering 
including these populations in the TWIC requirement when we issue an 
NPRM, in order to comply with the congressional mandate found in 46 
U.S.C. 70105(b).

V. Advisory Committee Input

    The Coast Guard has a long tradition of consulting with its 
advisory committees before taking regulatory action. We acknowledge the 
benefit of consulting with our advisory committees, and before issuing 
this ANPRM we sent a task statement to the Merchant Marine Personnel 
Advisory Committee (MERPAC), TSAC, and NMSAC, asking eighteen questions 
related to requirements for TWIC readers. This task statement, as well 
as each committee's formal responses and recommendations, may be found 
in the docket for this ANPRM where listed under the ADDRESSES section 
above. As discussed above, we accepted and incorporated a number of the 
advisory committee recommendations into this ANPRM. We greatly 
appreciate advisory committee input into this program and plan to 
continue to seek advisory committee input throughout the remainder of 
the TWIC regulatory process.

VI. Discussion of Pilot Program

    In accordance with the SAFE Port Act, DHS, through the USCG and 
TSA, developed a pilot program to ``test the business processes, 
technology, and operational impacts required to deploy transportation 
security card readers at secure areas of the marine transportation 
system.'' 46 U.S.C. 70105(k)(1)(A). The SAFE Port Act requires the 
pilot program to be conducted in a minimum of five geographically 
distinct locations. The selected sites include the ports of Los Angeles 
and Long Beach, California; the ports of New York and New Jersey, (New 
York, Elizabeth, and Newark); the port of Brownsville, Texas; an Inland 
Rivers tugboat operator in Vicksburg, Mississippi; the Staten Island 
Ferry in New York, and a small passenger vessel operator in Annapolis, 
Maryland. Other locations are also under consideration, specifically a 
cold weather facility in the Great Lakes region. The goal of the pilot 
program site selection is to engage a wide range of vessel and facility 
types in a variety of operational environments and geographic areas. 
During the reader pilot program, TSA strongly advocates, but does not 
mandate, that port security directors consider FIPS 201 authentication 
readers to accommodate future FIPS 201 interoperable cards.
    The TWIC pilot program will conduct tests of contactless biometric 
readers, as well as the credential authentication and validation 
process to evaluate the previously published reader specification. 72 
FR 53784. TSA and USCG worked with the maritime and smart card 
industries through NMSAC to specify contactless technology for TWIC 
readers that will minimize the impact to the flow of commerce (e.g., 
slower throughput at gates, potential lower availability of workers) 
while still enabling the use of biometrics to verify identity and while 
protecting personal information in the card from unauthorized 
disclosure. The following should not be considered an all-inclusive 
list; rather, this information is intended to offer insight regarding 
the purpose and goals of the TWIC pilot program to greater inform your 
comments to this ANPRM and provide information as to the overall 
progress of the TWIC program.
    TSA has developed a Test and Evaluation Master Plan (TEMP) to 
provide a plan to acquire and evaluate the test data needed to support 
the final reader rule. The TEMP addresses the impact of requiring the 
use of the Contactless Biometric Card Reader to biometrically verify 
identity, card authenticity and validity, and establishes a plan for an 
Integrated Test and Evaluation Program (ITEP) for the card reader. The 
ITEP is designed to provide accurate and timely information necessary 
to evaluate the economic impact of a nationwide deployment of the card 
reader(s), and to test the capability of card reader(s) to support the 
enhanced security of the Nation's maritime transportation systems 
through the development and issuance of enhanced rules and 
specifications. The ITEP is comprised of three principle activities 
including:
    (1) Initial Technical Test (ITT),
    (2) Early Operational Assessment (EOA), and
    (3) System Test and Evaluation (ST&E).
    All testing is designed to build upon preceding testing and 
assessments to ensure all technical and operational aspects of the card 
reader are evaluated while minimizing testing duplication.
    The ITT is focused on providing information to determine if select 
card readers meet specification parameters, including environmental 
requirements, to ensure that the card readers will correctly perform 
the biometric match and operate in the maritime operational environment 
during ST&E.
    The EOA is focused to obtain essential data to support rulemaking, 
assess card reader suitability and effectiveness, and support 
refinement of the card reader specification.
    The ST&E is a comprehensive technical and operational testing of 
the card reader system to provide the information required to finalize 
reader regulatory requirements and support future card reader 
acquisitions by the stakeholders.
    Reader conformance testing is predicated upon a test protocol 
verified by the National Institute of Standards and Technology. 
Conformance testing will be conducted in accordance with the test 
protocol at an independent laboratory. This includes TWIC contactless 
reader interface testing.
    Upon successful completion of the ST&E conformance testing, card 
readers and/or portable card readers are installed and tested at 
selected operational sites and vessels. The operational testing will 
proceed with the system operating at the site or vessel. System testing 
then continues until the data to support the decision for declaration 
of operational effectiveness and supportability is acquired.

[[Page 13370]]

    As required by the SAFE Port Act, the pilot program's results 
should validate the TWIC and TWIC reader's impact on the flow of 
commerce, the ability for vessels and facilities to comply with the 
regulations, the applicability of the TWIC reader requirements, and 
their ability to improve security, and economic and environmental 
impacts.

VII. Regulatory Analyses

    Before developing an NPRM, we will consider a number of statutes 
and executive orders related to rulemaking, including Executive Orders 
12866 and 13132 (Regulatory Planning and Review and Federalism, 
respectively), the Regulatory Flexibility Act (5 U.S.C. 601-612), the 
Paperwork Reduction Act (44 U.S.C. 3501-3520), and the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321-4370f). If you have 
any information or comments that you feel would be helpful to us as we 
complete these required analyses, please submit it to the docket during 
the comment period for this ANPRM. Draft analyses will be included as 
part of an NPRM, and will be made public for comment before the 
issuance of a final rule, as required by the Administrative Procedure 
Act (5 U.S.C. 553).

    Dated: January 16, 2009.
Brian M. Salerno,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety, 
Security and Stewardship.
[FR Doc. E9-6852 Filed 3-26-09; 8:45 am]
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