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APPENDIX A
Summary of Regulations
and Guidance
Table A1. Summary table of maritime security policy and its impact on the USFS.
Year
Title of Legislation Objective of Legislation Impact on the USFS
Enacted
Created requirement for certain
types of vessel and maritime Significantly increased
International Ships &
facilities to have security plans international security
2001 Port Facility Security
and undertake other security- requirements for vessels and
(ISPS) Code
related activities to prevent maritime facilities.
maritime terrorism.
Mandated numerous security
measures to include specific
types of passenger vessels and
Established security protection maritime facilities. Also,
Maritime Transportation measures to enhance the required the U.S. Coast Guard
2002
Security Act (MTSA) security of vessels, facilities, to implement security programs
cargo, and people at U.S. ports. to evaluate and identify security
issues and mitigate
vulnerabilities by implementing
security protective measures.
Obligated passenger vessels
and facility owners/operators
meeting specified criteria to
33 CFR Navigation and Established an organizational, implement and follow maritime
Navigable Waters, operational, and administrative security guidelines. Each part
2003 Chapter I, Subchapter structure for the implementation addressed a specific maritime
H--Maritime Security, of security protective measures security topic:
Parts 101 and 103-106 within the maritime industry. Part 101: General Security
Part 103: The AMS Committee
Part 104: Vessel Security
Part 105: Facility Security
Sources: Federal Highway Administration. Transportation Equity Act for the 21st Century (TEA-21),
http://www.fhwa.dot.gov/tea21/, and U.S. Coast Guard, Maritime Transportation Security Act (MTSA) 2002,
http://www.uscg.mil/hq/g-m/mp/mtsa.shtml.
51
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52 Part II: Characteristics of the U.S. Ferry System
Table A2. Summary table of security-related NVICs and their impact on the USFS.
NVIC
Title of NVIC Impact on the USFS
Number
Outlines procedures for conducting the International
Port Security (IPS) Program, details the process for
02-05 International Port Security (IPS) Programs conducting information exchanges with other
countries to learn how they are implementing the
ISPS Code.
Provides guidance detailing the Facility Security
Implementation Guidance for the Regulations
03-03 Plan review process and compliance inspection
Mandated by the Maritime Transportation
Change 1 information and clarifies MTSA guidance mandated
Security Act (MTSA) of 2002 for Facilities
in 33 CFR 105.
Establishes new guidance for developing security
Security for Passenger Vessels and Passenger
04-02 plans and implementing security measures for
Terminals
passenger vessels and terminals.
Guidance for Verification of Vessel Security
Provides guidelines for implementing the security
Plans on Domestic Vessels in Accordance with
regulations mandated by MTSA 2002 and the ISPS
the Regulations Mandated by the Maritime
04-03 Code and guidance for conducting verification
Transportation Security Act (MTSA) of 2002
inspections of affected U.S. vessels operating in
and International Ship & Port Security (ISPS)
domestic waters.
Code
Part 1 provides updated procedures for risk-based
vessel targeting, reporting, notification, boarding,
06-03 Coast Guard Port State Control Targeting and
and control and enforcement, including revised
Change 1 Boarding Policy for Vessel Security and Safety
examination checklists. Part 2 provides updated
enclosures to NVIC 06-03.
Provides guidance on the development and
Voluntary Screening Guidance for Owners and
implementation of a screening regime for vessels and
Operators Regulated under Parts 104, 105, and
06-04 facilities. An overview of what owners and operators
106 of Subchapter H of Title 33, Code of Federal
should consider is provided. Other equivalent
Regulations
methods are permitted.
Provides guidance on the development of area
maritime security (AMS) committees and area
Guidelines for Development of Area Maritime maritime security plans, describes responsibilities of
09-02
Security Committees and Area Maritime Security the Captain of the Port acting as the Federal
Ch-1
Plans Required for U.S. Ports Maritime Security Coordinator, provides a template
for the AMS plan, and addresses port security issues
shared by stakeholders and the AMS committees.
Provides recommendations for performing security
10-02 Security Guidelines for Vessels assessments, developing security plans, and
implementing security measures and procedures.
Provides maritime industry guidance on the access,
Guidelines for Handling Sensitive Security
10-04 safeguarding, and disclosure of information to ensure
Information
transportation security.
Provides guidance on developing security plans,
11-02 Recommended Security Guidelines for Facilities
procedures, and measures for facilities.
Establishes maritime security procedures for vessels
Maritime Security Compliance and Enforcement
12-04 operating in the boundary waters of the United States
for U.S./Canadian Boundary and Coastal Waters
and Canada.
Source: U.S. Coast Guard, List of Issued NVICs, http://www.uscg.mil/hq/g-m/mp/nvic.html.
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Appendix A: Summary of Regulations and Guidance 53
Other Sources of Maritime Guidance
Other sources of maritime guidance that may have security implications are described briefly
below.
Local Notices to Mariners (LNMs)
LNMs are published by the U.S. Coast Guard and are the primary means for disseminating
information concerning navigation issues and other items of interest to mariners on waters under
U.S. jurisdiction. The LNMs are essential to all navigators for the purpose of keeping their charts,
lists, coast pilots, and other nautical publications up-to-date as well as to inform the maritime
community of general security information (e.g., the temporary or permanent extension or
reduction of a security zone or naval vessel protective zone [NVPZ]). The LNMs may be used to
disseminate maritime security information, encourage the public to report suspicious activities
to their local Federal Bureau of Investigation (FBI) Joint Terrorism Task Force (JTTF) office, and
so forth. The Department of Homeland Security (DHS) encourages the maritime public to report
information concerning suspicious activity to their local JTTF office. For more information, visit
the U.S. Coast Guard's "LNM Frequently Asked Questions" page at http://www.navcen.uscg.gov/
faq/lnmfaq.htm.
Naval Vessel Protection Zones (NVPZs)
As a security precaution in 33 CFR 165, the U.S. Coast Guard designated concentric zones
around U.S. Navy warships as NVPZs. Passenger vessels may encounter a naval warship during
their travel on or near their route. Vigilance and caution on behalf of the vessel's master while in
the area of the warship are necessary to ensure safe passage around or through the zone. The
NVPZs surrounding all U.S. Navy ships over 100 feet in length consist of two concentric rings.
The outer ring of the zone is a regulated area that encompasses a 500-yard standoff distance of
water area around the naval vessel. The inner ring of the zone encompasses a 100-yard standoff
distance and area surrounding the naval vessel. Zones are in force whether the vessel is moored
or underway (i.e., in motion). Maritime vessels operating within the 500-yard zone, but outside
of the 100-yard zone, must operate at minimum speed and proceed as directed by the naval ves-
sel's commanding officer or official patrol. Vessels passing within the 100-yard inner ring must
first contact the respective U.S. Navy or U.S. Coast Guard vessel via the designated maritime
VHF-FM channel before continuing. This precaution is to ensure safe passage through the zone
in accordance with the navigation rules.
