Security for Passenger Vessels and Passenger Terminals

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: Final rule.

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SUMMARY: The Coast Guard implements a final rule for the security of

passenger vessels and passenger terminals. The purpose of this rule, as

of the interim rule now in effect, is to deter, or mitigate the results

of, terrorism and other unlawful acts against passenger vessels and

passenger terminals. The rule should reduce the likelihood of such acts

and should reduce the damage to property and injury to persons, if such

acts occur.

DATES: This final rule is effective on November 13, 1998.

ADDRESSES: Documents as indicated in this preamble are available for

inspection or copying at the office of the Executive Secretary, Marine

Safety Council (G-LRA, 3406), U.S. Coast Guard Headquarters, 2100

Second Street SW., room 3406, Washington, DC 20593-0001, between 9:30

a.m. and 2 p.m., Monday through Friday, except Federal holidays. The

telephone number is 202-267-1477. A copy of the material listed in

Incorporation by Reference of this preamble is available for inspection

at room 1210, U.S. Coast Guard Headquarters.

FOR FURTHER INFORMATION CONTACT: LCDR John Farthing, Project Manager,

Vessel and Facility Operating Standards Division, 202-267-6451.

SUPPLEMENTARY INFORMATION:

Regulatory History

On March 25, 1994, the Coast Guard published [59 FR 14290] a notice

of proposed rulemaking (NPRM) entitled ``Security for Passenger Vessels

and Passenger Terminals.'' The Coast Guard

[[Page 53588]]

held three public meetings and received over 115 comments on the NPRM.

On July 18, 1996, the Coast Guard published [61 FR 37648] an

interim rule requiring the development of Security Plans based on three

threat levels. The interim rule required all passenger vessels and

passenger terminals covered by the rule to submit Plans by October 16,

1996.

On October 3, 1996, the Coast Guard published [61 FR 51597] a

Notice of Policy clarifying the tonnage requirement and the submission

of Terminal Security Plans by entities other than the terminals

themselves.

Background and Purpose

The death of a U.S. citizen, during the hijacking of the ACHILLE

LAURO in 1985, demonstrates the threat of terrorism to passenger

vessels and associated terminals. This vulnerability has caused major

national and international concern about terrorism. To address this

threat, the President signed into law the Omnibus Diplomatic Security

and Antiterrorism Act of 1986 [Pub. L. 99-399; 100 Stat. 889], Title IX

of which constitutes the International Maritime and Port Security Act.

That Act amended the Ports and Waterways Safety Act [33 U.S.C. 1221],

and provided 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'' [Sec. 906].

The International Maritime Organization (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. We, the Coast

Guard, published a notice listing these measures as ``guidelines'' and

encouraging voluntary compliance [52 FR 11587; April 9, 1987].

Initially, the response was promising as many passenger vessels and

associated passenger terminals operating in the U.S. began implementing

the guidelines. However, we determined that voluntary compliance had

not produced the industry-wide level of security necessary to ensure

that acts of terrorism are deterred, or responded to, in the best

possible manner. We have seen an increase in domestic terrorism along

with a consistent, if not increasing, threat of international

terrorism. For these reasons, the Secretary of the Department of

Transportation asked all agencies of the Department to reassess their

security procedures and standards. Consequently, we determined that

implementing a rule to ensure that passenger vessels and passenger

terminals are prepared to handle terrorist threats or actions was

necessary.

On July 18, 1996, the Coast Guard published [61 FR 37648] an

interim rule requiring the development of Security Plans by passenger

vessels and passenger terminals. The interim rule required all

passenger vessels and passenger terminals covered by the rule to submit

Plans by October 16, 1996.

Implementation of the interim rule has been highly successful. The

passenger vessels and passenger terminals affected by this rule have

developed plans to ensure that passenger vessels and passenger

terminals are prepared to handle terrorist threats or actions.

Additionally, the Department of Transportation, the Coast Guard, and

industry have cooperatively embarked on several related projects to

enhance security for these vessels and terminals.

Discussion of Comments and Changes

1. General

We received six comments on the interim rule, most of which

expressed satisfaction with the rule as written.

Several of the sections, and their headings, in Parts 120 and 128

have been revised to reflect the new ``plain language'' style of

regulations.

2. Definition of Terms Relative to Security Level

Several comments expressed concern about the use of the terms

``High Threat,'' ``Medium Threat,'' and ``Low Threat.'' They felt that

these terms were confusing because many other agencies use the same

terms with no commonality among the definitions.

We agree that these terms are confusing and have changed ( 120.110

of the rule by removing those terms and substituting three Security

Levels with similar definitions.

3. Definitions of ``embarks'' and ``disembarks''

There were also several comments expressing concern about the

meaning of embarking and disembarking passengers. Some felt this meant

only the initial embarkation or final debarkation of passengers. They

recommended that the rule should be changed to define these terms.

We do not agree. We consider the concepts embarking and

disembarking to be clear and to need no further definition. ``Webster's

New World Dictionary'' defines the terms embark and disembark as ``to

put or take (passengers or goods) aboard a ship ...'' and ``to unload

from or leave a ship ...'' respectively. Security is necessary anytime

passengers or stores are placed on or taken off a vessel. The degree of

security will vary depending on the location, the operation, and the

perceived threat.

4. Other Types of Vessels

One comment raised a question about the requirement of Security

Plans for other types of vessels (such as tankers and cargo vessels)

that also carry passengers for hire.

At present, we do not require Plans for vessels whose primary

service is not the carriage of passengers. In the future, should the

degree of threat increase, we may amend this rule to encompass other

vessels that handle passengers regardless of service.

5. Terminal Operators

One comment raised the issue of who is the terminal operator, and

the issue also arose during several meetings between industry and local

Coast Guard Captains of the Port (COTPs).

This issue (together with the issue of tonnage) led to the

publication of the Notice of Policy on October 3, 1996. We understand

that terminals differ in size and complexity. It is in the interest of

all parties to allow for the submission of Security Plans for terminals

by entities other than the terminals themselves. These Plans can be

based upon legal contracts between vessels and terminals or upon

responsibilities for absolute control over terminal areas. In some

instances annexes to the Security Plan for vessels may substitute for

Plans for terminals, with the approval of the COTPs, enabling vessels

to operate in remote sites where typical terminal facilities do not

exist. This will still provide a degree of security for their

passengers commensurate with the reduced level of activity taking place

in those sites. We have incorporated this policy clarification into

this rule by inserting the text from the Notice of Policy into a new (

120.303 and a new ( 128.305, after renumbering ( 128.305 to 128.307, (

128.307 to 128.309, and ( 128.309 to 128.311.

6. Exemption from ``Freedom of Information Act''

During the previous comment periods, many parties asked to have the

required Security Plans exempted from requests under the ``Freedom of

Information Act.'' The Coast Guard, in turn, asked Congress for express

authority to withhold them.

Congress granted this authority in the ``Coast Guard Authorization

Act of

[[Page 53589]]

1996'' [Pub. L. 104-324], which exempts these plans from required

disclosure to the public [( 302; 33 U.S.C. 1226(c)].

7. Plain Language

In an effort to develop a more customer-oriented approach to

drafting regulations, the Coast Guard will publish the final rule using

``plain language'' techniques. Clear, more readable regulations are

important for the success of our government's reinvention initiative.

Incorporation by Reference

The Director of the Federal Register has approved the material in

(( 120.220, 120.300, 128.220, and 128.300 from International Maritime

Organization (IMO), MSC Circular 443, ``Measures to Prevent Unlawful

Acts Against Passengers and Crews on Board Ships'', dated September 26,

1986, for incorporation by reference effective October 16, 1996, under

5 U.S.C. 552 and 1 CFR part 51. Copies of the material are available

from the source listed in (( 120.120 and 128.120.

Regulatory Assessment

This rulemaking is a significant regulatory action under section

3(f) of Executive Order 12866. The Office of Management and Budget

(OMB) reviewed the rulemaking under that Order. This final rule needs

an assessment of potential cost and benefits under section 6(a)(3) of

that Order. It is significant under the regulatory policies and

procedures of the Department of Transportation [44 FR 11040 (February

26, 1979)]. We prepared an Assessment, which is available in the docket

for inspection or copying where indicated under ADDRESSES. A summary of

the Assessment follows:

We expect that this rule will affect about 137 passenger vessels

and 53 passenger terminals. Of the vessels, about 134 are cruise

vessels, each carrying in excess of 100 passengers and operating out of

U.S. ports. Of the terminals, all serve these cruise vessels. There may

be up to 40 more vessels and 20 more terminals that will be subject to

this rule only on occasion. Such occasions could include where a vessel

subject to this rule would schedule a port call outside its usual

itinerary (i.e. for a special event), or if a vessel not usually

subject to this rule was chartered for a voyage that would make it

applicable. There are around 4 million passengers a year that will be

subject to, and will benefit from, the security measures required by

this rule.

We estimate initial total implementing costs at $611,040. We

estimate annual total operating costs at $30,768. If the number of

passengers remains constant at about 4 million a year, the cost to

consumers will be negligible.

The potential exists for the loss of many lives and for significant

property damage from even a single act of terrorism against a passenger

vessel. Although the benefits of avoiding such an act cannot be exactly

quantified, we assert that the benefits from this rule outweigh the

costs.

Small Entities

Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], we

must consider whether this final rule will have a significant economic

impact on a substantial number of small entities. ``Small entities''

include small businesses, not-for-profit organizations that are

independently owned and operated and are not dominant in their fields,

and governmental jurisdictions with populations of less than 50,000.

Firms affected by this rulemaking are classified as ``Water

Transportation of Passengers, N.E.C.'', Standard Industrial Code (SIC)

#4489. According to 13 CFR Part 121, small businesses under this SIC

are those firms that employ less than 500 people.

Of the 137 passenger vessels affected by this rulemaking, the

average displacement of each vessel is 31,050 gross tons. The average

passenger capacity is 1,171 passengers and the crew size averages 440

persons. All but 12 of these affected passenger vessels belong to a

fleet of two or more vessels. The tonnage of the vessels, the crew

size, and passenger capacity together suggest that the majority of

these passenger vessels are not owned and operated by small entities.

To ensure compliance with the Small Business Regulatory Enforcement

Fairness Act, the Coast Guard analyzed the affected population to

determine with more certainty the prospective impact upon small

entities. The Passenger Vessel Association (PVA) was contacted to

determine if any of the firms operating passenger vessels affected by

this rulemaking were members. Approximately 98 percent of PVA members

are unaffected small entities. Only one affected vessel was found to be

operated by a PVA member, but its operator was not a small entity.

The Coast Guard contacted companies which own and operate only one

vessel. We determined that two of the single-vessel companies being

affected by this rule are small entities and that two of the single-

vessel companies affected by this rule exceed the 500-employee

threshold and were not small entities. Information on the remaining

eight single-vessel companies was not made available to the Coast

Guard. We concluded that this rule impacts at least two, and up to ten,

small entities.

The costs attributable to this rule are a function of the time it

takes to perform security planning and surveys. Security requirements

for small vessels and terminals will be less complex, and therefore

less expensive to implement, than for large vessels and terminals. The

reduced complexity will result in costs to small entities that are less

than the relatively low average initial cost of $3,216 per vessel/

terminal and annual costs of $161 per vessel/terminal calculated for

the rulemaking. Very few small entities are affected, in all likelihood

no more than 10 firms, and the per-firm costs are quite low.

Accordingly, the Coast Guard certifies under section 605(b) of the

Regulatory Flexibility Act (5 U.S.C. 601 et seq.) that this final rule

will not have a significant economic impact on a substantial number of

small entities.

Assistance for Small Entities

Under section 213(a) of the Small Business Regulatory Enforcement

Fairness Act of 1996 [Pub. L. 104-121], we offered through the interim

rule to assist small entities to understand this final rule so they can

better evaluate its effects on them and participate in the rulemaking.

We received no comments in response to the interim rule on this matter.

Collection of Information

This final rule provides for a collection of information under the

Paperwork Reduction Act of 1995 [44 U.S.C. 3501 et seq.]. It requires

the development of security plans for both passenger vessels and

passenger terminals. It also requires the amendment of the plans to

keep them current and the reporting of unlawful acts to the Coast

Guard. It affects about 137 vessels and 53 terminals. During previous

comment periods we received no comments concerning the collection of

information.

As required by 5 U.S.C. 3507(d), we submitted a copy of this rule

to the Office of Management and Budget for its review of the collection

of information. OMB has approved the collection. The sections are

Secs. 120.220, 120.300, 128.220, 128.300, 128.305, and 128.309, and the

control number for them is OMB Control Number 2115-0622, which expires

on January 31, 2000.

There is no requirement for persons to respond to a collection of

information unless it displays a currently valid OMB control number.

[[Page 53590]]

Federalism

We have analyzed this final rule under the principles and criteria

contained in Executive Order 12612 and have determined that this rule

does not have sufficient federalism implications to warrant the

preparation of a Federalism Assessment.

Environment

We have considered the environmental impact of this final rule and

concluded that, under paragraph 2.B.2.e.(34) of Commandant Instruction

M16475.1B, this rule is categorically excluded from further

environmental documentation. This rule implements statutory authority

of the Coast Guard in 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

Passenger vessels, Incorporation by reference, Reporting and

recordkeeping requirements, Security.

33 CFR Part 128

Incorporation by reference, Reporting and recordkeeping

requirements. Security, Waterfront facilities.

Accordingly, the Coast Guard adopts with the following changes the

interim rule amending 33 CFR parts 120 and 128, which was published at

61 FR 37648 onJuly 18, 1996, as a final rule:

PART 120-SECURITY OF PASSENGER VESSELS

1. The cite of authority for part 120 continues to read as follows:

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

2. Revise the heading of Sec. 120.100 to read as follows:

Sec. 120.100 Does this part apply to me?

* * * * *

3. In Sec. 120.110 remove definitions of ``High Threat,'' ``Low

Threat,'' and ``Medium Threat,'' and add, in alphabetical order,

definitions to read as follows:

Sec. 120.110 Definitions.

As used in this part:

* * * * *

Security Level I means the degree of security precautions to take

when the threat of an unlawful act against a vessel or terminal is,

though possible, not likely.

Security Level II means the degree of security precautions to take

when the threat of an unlawful act against a vessel or terminal is

possible and intelligence indicates that terrorists are likely to be

active within a specific area, or against a type of vessel or terminal.

Security Level III means the degree of security precautions to take

when the threat of an unlawful act against a vessel or terminal is

probable or imminent and intelligence indicates that terrorists have

chosen specific targets.

* * * * *

We means the United States Coast Guard.

You, unless otherwise specified, means the owner, operator, or

charterer of a passenger vessel.

4. Revise Sec. 120.200 to read as follows:

Sec. 120.200 What must my Vessel Security Program cover?

(a) If this part applies to your passenger vessel, you must

implement a program for that vessel that--

(1) Provides for the safety and security of persons and property

traveling aboard the vessel, against unlawful acts;

(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 appropriate security measures for Security Levels I,

II, and III that allow for increases in security when the Commandant or

Captain of the Port (COTP) advises you that a threat of an unlawful act

exists and may affect the vessel or any person aboard it;

(5) Designates, by name, a security officer for the vessel;

(6) Ensures that all members of the crew are adequately trained to

perform their duties relative to security; and

(7) Provides for coordination with terminal security while in port.

(b) If this part applies to your passenger vessel, you must work

with the operator of each terminal at which that vessel embarks or

disembarks passengers, to provide security for the passengers and the

vessel. You need not duplicate any provisions fulfilled by the terminal

unless directed to by the Commandant. When a provision is fulfilled by

the terminal, the applicable section of the Vessel Security Plan

required by Sec. 120.300 must refer to that fact.

5. Revise Sec. 120.210 and its heading to read as follows:

Sec. 120.210 What are the responsibilities of my vessel security

officer?

(a) If this part applies to your passenger vessel, you must

designate a security officer for your vessel.

(b) This officer must ensure that--

(1) An initial comprehensive security survey is conducted and

updated;

(2) The Vessel Security Plan required by Sec. 120.300 is

implemented and maintained, and amendments to correct its deficiencies

and satisfy the security requirements for the vessel are proposed;

(3) Adequate training for members of the crew responsible for

security is provided;

(4) Regular security inspections of the vessel are conducted;

(5) Vigilance is encouraged, as well as is general awareness of

security, aboard the vessel;

(6) All occurrences or suspected occurrences of unlawful acts and

related activities are reported under Sec. 120.220; and

(7) Coordination, for implementation of the Vessel Security Plan

required by Sec. 120.300, takes place with the terminal security

officer at each terminal where the vessel embarks or disembarks

passengers.

6. Revise Sec. 120.220 to read as follows:

Sec. 120.220 What must I do to report an unlawful act and related

activity?

(a) Either you or the vessel security officer must report each

breach of security, unlawful act, or threat of an unlawful act against

any of your passenger vessels to which this part applies, or against

any person aboard it, that occurs in a place subject to the

jurisdiction of the United States. You must report the incident to both

the COTP and to the local office of the Federal Bureau of Investigation

(FBI). Also, if your vessel is a U.S.-flag vessel, you must report each

such incident that occurs in a place outside the jurisdiction of the

United States to the hotline of the Response Center of the Department

of Transportation at 1-800-424-0201, or, from within metropolitan

Washington, D.C., at 202-267-2675.

(b) Either you or the vessel security officer must file a written

report of the incident, using the form ``Report on an Unlawful Act,''

contained in IMO MSC Circular 443, which you or the officer must

forward as soon as possible to Commandant (G-MOR), U.S. Coast Guard

Headquarters, 2100 Second Street SW., Washington, DC 20593-0001. You

may initially file the report with Commandant (G-MOR) by fax at (202)

267-4085 or -4065.

7. Revise Sec. 120.300 to read as follows:

Sec. 120.300 What is required to be in a Vessel Security Plan?

(a) If your passenger vessel is subject to this part, you must

develop and

[[Page 53591]]

maintain, in writing, for that vessel, an appropriate Vessel Security

Plan that--

(1) Is unique to the vessel;

(2) Articulates the program required by Sec. 120.200; and

(3) Includes an appendix, for each port where the vessel embarks or

disembarks passengers, that contains port-specific security

information.

(b) The Vessel Security Plan must be developed and maintained under

the guidance in IMO MSC Circular 443, and must establish security

measures to take for Security Levels I, II, and III, 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 where the vessel embarks or disembarks passengers; and

(6) Provide information to members of the crew and to law-

enforcement personnel, in case of an incident affecting security.

(c) You must amend the Vessel Security Plan to address any known

deficiencies.

(d) You must restrict the distribution, disclosure, and

availability of information contained in the Vessel Security Plan to

those persons with an operational need to know.

8. Add new Sec. 120.303 to read as follows:

Sec. 120.303 Who must submit a Terminal Security Plan?

(a) You must submit a Terminal Security Plan whenever--

(1) There is an agreement with the owner or operator of a terminal

that you will submit the Plan;

(2) You have exclusive use of the pier and terminal building

immediately adjacent to the pier and have complete control of that

area;

(3) There is no terminal; or

(4) Passengers embark or disembark but no baggage or stores are

loaded or offloaded.

(b) In the situations described in paragraphs (a)(3) and (4) of

this section, you may, with the permission of the cognizant COTP, use

an annex to the vessel's security plan instead of a Terminal Security

Plan.

(c) The owner or operator of a terminal must submit a Terminal

Security Plan whenever--

(1) There is an agreement with you that the owner or operator of

the terminal will submit the Plan;

(2) No security agreement exists; or

(3) (i) At least one vessel other than a passenger vessel uses the

terminal;

(ii) More than one passenger vessel line uses the terminal; or

(iii) The terminal loads or offloads baggage or stores.

9. Revise Sec. 120.305 to read as follows:

Sec. 120.305 What is the procedure for examination?

(a) You must submit two copies of each Vessel Security Plan

required by Sec. 120.300, or of any Terminal Security Plan or annex

required or permitted under Sec. 120.303 or Sec. 128.305 of this

chapter, to the Commanding Officer, National Maritime Center (NMC),

4200 Wilson Blvd., Suite 510, Arlington, Virginia 22203, for

examination at least 60 days before embarking passengers on a voyage

described in Sec. 120.100.

(b) If the Commanding Officer of the NMC, finds that the Vessel

Security Plan meets the requirements of Sec. 120.300, he or she will

return a copy to you marked ``Examined by the Coast Guard.''

(c) If the Commanding Officer of the NMC, finds that the Vessel

Security Plan does not meet the requirements of Sec. 120.300, he or she

will return the Plan with an explanation of why it does not meet them.

(d) No vessel subject to this part may embark or disembark

passengers in the United States, unless it holds either a Vessel

Security Plan that we have examined or a letter from the Commanding

Officer of the NMC, stating that we are currently reviewing the Plan

and that normal operations may continue until we have determined

whether the Plan meets the requirements of Sec. 120.300.

10. Revise Sec. 120.307 to read as follows:

Sec. 120.307 What do I do if I need to amend my Vessel Security Plan?

(a) If your passenger vessel is subject to this part, you must

amend your Vessel Security Plan when directed by the Commanding Officer

of the NMC, and may amend it on your own initiative.

(b) You must submit each proposed amendment to the Vessel Security

Plan you initiate, including changes to any appendix required by

Sec. 120.300(a)(3), to the Commanding Officer of the NMC, for review,

at least 30 days before the amendment is to take effect, unless he or

she allows a shorter period. He or she will examine the amendment and

respond according to Sec. 120.305.

(c) The Commanding Officer of the NMC, may direct you to amend your

Vessel Security Plan if he or she determines that implementation of the

Plan is not providing effective security. Except in an emergency, he or

she will issue you a written notice of matters to address and will

allow you at least 60 days to submit proposed amendments.

(d) If there is an emergency or other circumstance where the COTP

determines that implementation of the Plan is not providing effective

security, and the procedures in paragraph (c) of this section are

impracticable, the COTP may give you an order to implement increases in

security immediately. The order will incorporate a statement of the

reasons for it.

11. Revise Sec. 120.309 to read as follows:

Sec. 120.309 What is my right of appeal?

Any person directly affected by a decision or action taken by the

Commanding Officer of the NMC, under this part, may appeal that action

or decision to the Assistant Commandant for Marine Safety and

Environmental Protection [Commandant (G-M)] according to the procedures

in 46 CFR 1.03-15.

PART 128--SECURITY OF PASSENGER TERMINALS

12. The cite of authority for part 128 continues to read as

follows:

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

13. Revise the heading of Sec. 128.100 to read as follows:

Sec. 128.100 Does this part apply to me?

* * * * *

14. Revise Sec. 128.110 to read as follows:

Sec. 128.110 Definitions.

The definitions in part 120 of this chapter apply to this part,

except for the definition of You. As used in this part:

You means the owner or operator of a passenger terminal.

15. Revise Sec. 128.200 to read as follows:

Sec. 128.200 What must my Terminal Security Plan cover?

(a) If this part applies to your passenger terminal, you must

implement for that terminal a program that--

(1) Provides for the safety and security of persons and property in

the terminal and aboard each passenger vessel subject to part 120 of

this chapter moored at the terminal, against unlawful acts;

(2) Prevents or deters the carriage aboard any such vessel moored

at the

[[Page 53592]]

terminal 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 any such vessel and

to restricted areas in the terminal;

(4) Provides appropriate security measures for Security Levels I,

II, and III that allow for increases in security when the Commandant or

Captain of the Port (COTP) advises you that a threat of an unlawful act

exists and may affect the terminal, a vessel, or any person aboard the

vessel or terminal;

(5) Designates, by name, a security officer for the terminal;

(6) Provides for the evaluation of all security personnel of the

terminal, before hiring, to determine suitability for employment; and

(7) Provides for coordination with vessel security while any

passenger vessel subject to part 120 of this chapter is moored at the

terminal.

(b) If this part applies to your passenger terminal, you must work

with the operator of each passenger vessel subject to part 120 of this

chapter, to provide security for the passengers, the terminal, and the

vessel. You need not duplicate any provisions fulfilled by the vessel

unless directed to by the COTP. When a provision is fulfilled by a

vessel, the applicable section of the Terminal Security Plan required

by Sec. 128.300 must refer to that fact.

16. Revise Sec. 128.210 to read as follows:

Sec. 128.210 What are the responsibilities of my terminal security

officer?

(a) If this part applies to your passenger terminal, you must

designate a security officer for the terminal.

(b) This officer must ensure that--

(1) An initial comprehensive security survey is conducted and

updated;

(2) The Terminal Security Plan required by Sec. 128.300 is

implemented and maintained, and that amendments to correct its

deficiencies and satisfy the security requirements of the terminal are

proposed;

(3) Adequate training for personnel responsible for security is

provided;

(4) Regular security inspections of the terminal are conducted;

(5) Vigilance is encouraged, as well as is general awareness of

security, at the terminal;

(6) All occurrences or suspected occurrences of unlawful acts and

related activities are reported under Sec. 128.220 and records of the

incident are maintained; and

(7) Coordination, for implementation of the Terminal Security Plan

required by Sec. 128.300, takes place with the vessel security officer

of each vessel that embarks or disembarks passengers at the terminal.

17. Revise Sec. 128.220 to read as follows:

Sec. 128.220 What must I do to report an unlawful act and related

activity?

(a) Either you or the terminal security officer must report each

breach of security, unlawful act, 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 any person aboard 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.

(b) Either you or the terminal security officer must file a written

report of the incident using the form ``Report on an Unlawful Act,''

contained in IMO MSC Circular 443, as soon as possible, to the local

COTP.

18. Revise Sec. 128.300 to read as follows:

Sec. 128.300 What is required to be in a Terminal Security Plan?

(a) If your passenger terminal is subject to this part, you must

develop and maintain, in writing, for that terminal, an appropriate

Terminal Security Plan that articulates the program required by

Sec. 128.200.

(b) The Terminal Security Plan must be developed and maintained

under the guidance in IMO MSC Circular 443 and must address the

security of passengers aboard passenger vessels subject to part 120 of

this chapter, of members of crews of such vessels, and of employees of

the terminal, by establishing security measures to take for Security

Levels I, II, and III, to--

(1) Deter unauthorized access to the terminal and its restricted

areas and to any passenger vessel moored at the terminal;

(2) Deter the introduction of prohibited weapons, incendiaries, and

explosives into the terminal and its restricted areas and onto any

passenger vessel moored at the terminal;

(3) Encourage vigilance, as well as general awareness of security,

at the terminal;

(4) Provide adequate security training to employees of the

terminal;

(5) Coordinate responsibilities for security with the operator of

each vessel that embarks or disembarks passengers at the terminal; and

(6) Provide information to employees of the terminal and to law-

enforcement personnel, in case of an incident affecting security.

(c) You must amend the Terminal Security Plan to address any known

deficiencies.

(d) You must restrict the distribution, disclosure, and

availability of information contained in the Terminal Security Plan to

those persons with an operational need to know.

19. Redesignate Secs. 128.305, 128.307, and 128.309 as

Secs. 128.307, 128.309, and 128.311, respectively; add new Sec. 128.305

to read as follows:

Sec. 128.305 Who must submit a Terminal Security Plan?

(a) The owner or operator of the vessel must submit a Terminal

Security Plan whenever--

(1) There is an agreement with you that the owner or operator of

the vessel will submit the Plan;

(2) The owner or operator of the vessel has exclusive use of the

pier and terminal building immediately adjacent to the pier and has

complete control of that area;

(3) There is no terminal; or

(4) Passengers embark or disembark but no baggage or stores are

loaded or offloaded.

(b) In the situations described in paragraphs (a)(3) and (4) of

this section, the owner or operator of the vessel may, with the

permission of the cognizant COTP, use an annex to the vessel's security

plan instead of a Terminal Security Plan.

(c) You must submit a Terminal Security Plan whenever--

(1) There is an agreement with the owner or operator of the vessel

that you will submit the Plan;

(2) No security agreement exists; or

(3)(i) At least one vessel other than a passenger vessel uses the

terminal;

(ii) More than one passenger vessel line uses the terminal; or

(iii) The terminal loads or offloads baggage or stores.

20. Revise Sec. 128.307 to read as follows:

Sec. 128.307 What is the procedure for examination?

(a) Unless a plan for your passenger terminal will be submitted by

an entity other than yourself under Sec. 128.305 or Sec. 120.303 of

this chapter, you must submit two copies of each Terminal Security Plan

required by Sec. 128.300 to the COTP for examination at least 60 days

before transferring passengers to or from a vessel subject to part 120

of this chapter.

(b) If the COTP finds that the Terminal Security Plan meets the

requirements of Sec. 128.300, he or she will

[[Page 53593]]

return a copy to you marked ``Examined by the Coast Guard.''

(c) If the COTP finds that the Terminal Security Plan does not meet

the requirements of Sec. 128.300, he or she will return the Plan with

an explanation of why it does not meet them.

(d) No terminal subject to this part may transfer passengers to or

from a passenger vessel subject to part 120 of this chapter, unless it

holds either a Terminal Security Plan that we have examined or a letter

from the COTP stating that we are currently reviewing the Plan and that

normal operations may continue until the COTP has determined whether

the Plan meets the requirements of Sec. 128.300.

21. Revise Sec. 128.309 to read as follows:

Sec. 128.309 What do I do if I need to amend my Terminal Security

Plan?

(a) If your passenger terminal is subject to this part, you must

amend your Terminal Security Plan when directed by the COTP, and may

amend it on your own initiative.

(b) You must submit each proposed amendment to the Terminal

Security Plan you initiate to the COTP for review at least 30 days

before the amendment is to take effect, unless he or she allows a

shorter period. The COTP will examine the amendment and respond

according to Sec. 128.307.

(c) The COTP may direct you to amend your Terminal Security Plan if

he or she determines that implementation of the Plan is not providing

effective security. Except in an emergency, he or she will issue you a

written notice of matters to address and will allow you at least 60

days to submit proposed amendments.

(d) If there is an emergency or other circumstance that makes the

procedures in paragraph (c) of this section impracticable, the COTP may

give you an order to implement increases in security immediately. The

order will incorporate a statement of the reasons for it.

22. Revise the heading of Sec. 128.311 to read as follows:

Sec. 128.311 What is my right of appeal?

* * * * *

Dated: September 25, 1998.

James M. Loy,

Admiral, U.S. Coast Guard Commandant.

[FR Doc. 98-26578 Filed 10-5-98; 8:45 am]

BILLING CODE 4910-15-P