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Chapter 4: Security Regulations and Guidance 41
· 33 CFR 120 and 128 (which deal with security of vessels; CFR 120 is under revision);
· 33 CFR 160 (which deals with administrative procedures, reporting and record-keeping for
harbors, notice of arrival rules, hazardous materials, marine safety, and navigation);
· 46 CFR 701 (which deals with port security);
· 46 CFR 2 (which deals with marine safety, security, reporting, and vessels);
· 46 CFR 31 (which deals with cargo vessels, inspection and certification, and security);
· 46 CFR 71 (which deals with passenger vessels, inspection and certification, and security); and
· 46 CFR 91 (which deals with vessel inspection and certification).
For vessel and facility security plans (i.e., 33 CFR 104 and 105), alternative security programs
(ASPs) can be approved by the U.S. Coast Guard for facility or vessel associations or large fleets.
For example, the Passenger Vessel Association (PVA) has an approved vessel security plan that is
used by many of its 300 members, representing over 2,000 vessels. Other ASPs approved by the
U.S. Coast Guard have been developed by the American Waterway Organization (an association
of inland and coastwise tug/barge operators) and the American Gaming Association (an associ-
ation for riverboat gaming operators). ASPs are designated as sensitive security information
(SSI), as are all vessel and facility security plans developed under these regulations. Regardless of
whether an ASP is used, a security assessment must be conducted for all vessels and facilities for
which 33 CFR 104, 33 CFR 105, or SOLAS are applicable.
4.2.2 Maritime Security (MARSEC) Directives
MARSEC directives are issued by the commandant of the Coast Guard to provide vessels and
facilities with performance standards regarding access control and the secure handling of cargo.
These directives do not impose new requirements, but they provide performance standards for
meeting the regulations.
MARSEC directive numbering incorporates the applicable CFR subsection topic number and
the sequential numbering of the document. For example, 105-2 means the information pertains
to 33 CFR 105 (maritime facility security) and that it is the second directive issued for maritime
facility security. For ferry owners and operators, the most pertinent directives are MARSEC
Directive 104-5, which applies to passenger vessels and ferryboats and supersedes the earlier
MARSEC Directive 104-2, and MARSEC Directive 105-2, which applies to facilities that receive
foreign passenger vessels and ferryboats. MARSEC Directive 104-6 applies to vessels in high-
risk waters and thus may apply to some ferry operations. Other MARSEC directives apply
specifically to cruise ships (104-1), cargo and towing vessels (104-3), and mobile offshore
drilling units (104-4).
Information within the MARSEC directives is designated as SSI and is not subject to public
release. The Captain of the Port (COTP) determines which MARSEC directives are relevant for
a particular operation. Designated company, vessel, and facility security officers obtain copies of
these directives after contacting their COTP and signing a non-disclosure agreement.
4.2.3 Navigation and Vessel Inspection Circulars (NVICs)
NVICs provide detailed guidance on the enforcement of or compliance with federal marine
safety regulations and Coast Guard marine safety programs. NVICs are available to the general
public. They do not have the force of law, but they provide important information on how to
achieve regulatory and program compliance. NVICs ensure that Coast Guard inspections and
other regulatory actions are consistently conducted and are directed primarily to Coast Guard
personnel. However, they also assist the marine industry and the general public in understand-
ing how certain regulations will be enforced and how marine safety programs will be conducted.
