Protecting

America’s
Ports

Maritime Transportation
Security Act of 2002
 Contents
I. Press Release: Maritime Security Regulations 3

II. Fact Sheet: Implementation of the Maritime

Transportation Security Act of 2002 5

III. Fact Sheet: Summarized Regulations 8

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 U. S. DEPARTMENT OF HOMELAND SECURITY

Office of the Press Secretary

FOR IMMEDIATE RELEASE July 1, 2003

Department of Homeland Security issues maritime security regulations

Rules mandate security improvements in the nation’s seaports

WASHINGTON, D.C. – The U.S. Department of Homeland Security announced the publication
of security regulations today requiring sectors of the maritime industry to implement measures
designed to protect America’s ports and waterways from a terrorist attack.

“With 95 percent of our nation’s international cargo carried by ship, port security is
critical to ensuring our Nation’s homeland and economic security,” Secretary of Homeland
Security Tom Ridge said. “The port security measures we are putting in place, both here at home
and abroad, are about expanding our capabilities – strengthening a vitally important system with
additional layers of defense.

“This effort is part of a broad international effort to increase global shipping security and
one of many steps we are taking to better protect our ports and the ships traveling in our waters.”

The result of intense international and domestic efforts that began in November 2001,
these regulations significantly strengthen the security of our ports by requiring preventive
security measures and plans to deter threats and provide a framework for response in the event of
an attack.

The regulations build on a comprehensive port security strategy and range of

enhancements directed by the President following September 11, 2001, and implement
significant portions of the Maritime Transportation Security Act of 2002 (MTSA). By requiring
completion of security assessments, development of security plans, and implementation of
security measures and procedures, these regulations will reduce the risk and mitigate the
exposure of our ports and waterways to terrorist activity.

Developed using risk-based methodology, the security regulations focus on those sectors
of maritime industry that have a higher risk of involvement in a transportation security incident,
including various tank vessels, barges, large passenger vessels, cargo vessels, towing vessels,
offshore oil and gas platforms, and port facilities that handle certain kinds of dangerous cargo or
service the vessels listed above. An estimated 10,000 vessels, 5,000 facilities, and 40 outer
continental shelf facilities will be directly affected

The regulations require security measures that have three scalable security levels.
Depending on security needs, measures may include passenger, vehicle and baggage screening
procedures; security patrols; establishing restricted areas; personnel identification procedures;
access control measures; and/or installation of surveillance equipment.

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 To promote innovation and flexibility, the Department of Homeland Security is also
encouraging the private sector to develop acceptable alternatives to accommodate specific
security measures. Alternatives that afford a level of security equal to the original regulation may
be presented by individual industry entities.

The regulations published today amend other sections of the Code of Federal Regulations
to implement Automatic Identification System (AIS) requirements for certain vessels, as required
by MTSA. AIS is a system of equipment and technologies that automatically sends detailed ship
information to other ships and shore-based agencies. Installing AIS equipment on certain vessels
traveling in our waters will allow comprehensive, virtually instantaneous vessel tracking and
monitoring, increasing security and safety in our shipping channels, and our awareness of
maritime activity.

The regulations were developed through interagency teamwork within the Department of
Homeland Security (the Coast Guard, Transportation Security Administration and the Bureau of
Customs and Border Protection) and with the Department of Transportation’s Maritime
Administration.

The interim final rules are effective as of July 1, 2003. They will be replaced by final
rules by October 25, 2003. The Coast Guard is accepting written comments on the regulations
for 30-days, and will hold a public meeting to discuss all of the maritime security interim final
rules and the AIS interim rule on July 23, 2003, in Washington, D.C., at the Grand Hyatt Hotel
on 1000 H Street, N.W.

The regulations and details on submitting comments are published in a series of Federal
Register notices that include a request for comment on the further implementation of the AIS, as
required by MTSA. The Federal Register Docket can be viewed online at http://dms.dot.gov.
The docket numbers are as follows.

General USCG-2003-14792
Ports USCG-2003-14733
Vessels USCG-2003-14749
Facilities USCG-2003-14732
Outer continental shelf facilities USCG-2003-14745
AIS USCG-2003-14757
AIS request for comments USCG-2003-14878

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 U. S. DEPARTMENT OF HOMELAND SECURITY
Office of the Press Secretary

July 2003 – Fact Sheet

IMPLEMENTATION OF THE MARITIME TRANSPORTATION SECURITY ACT

The Maritime Transportation Security Act of 2002 (MTSA), signed on November 25, 2002, by
President Bush, is a landmark piece of legislation that is designed to protect the nation’s ports
and waterways from a terrorist attack. While the publication of new regulations on July 1 marks
a significant milestone in the implementation of MTSA, the Department of Homeland Security
has been taking major steps to implement the entire act. Below are the major components of the
MTSA, and the actions we have undertaken.

THREAT & SECURITY ASSESSMENTS

Port Threat & Vulnerability Assessments

Preliminary assessments have been completed and we are now conducting comprehensive
assessments at 55 critical ports that will provide local threat profiles and evaluate all aspects of
security surrounding each port.

Vessel and Facility Vulnerability Assessments

Security plans are required on over 10,000 vessels and 5,000 facilities in the new regulations.
The regulations require the individual vessel owner to conduct a self-assessment and develop a
security plan. The Transportation Security Administration, in conjunction with the Coast Guard
and Information Analysis and Infrastructure Protection directorate, is developing an assessment
tool that may be used by ports, vessels, and facilities that are required to conduct these self-
assessments.

Foreign Port Assessments

Shipping is a global system. The security of the ports in other nations is important to the security
of our ports. We will deploy verification and audit teams to ensure that 2,500 foreign ports have
effective security programs.

SECURITY PLANS AND ADVISORY COMMITTEES

National Maritime Security Plan and Advisory Committee

Another element of our layered maritime security strategy is the National Maritime
Transportation Security Plan, an interagency initiative to build an overarching national strategy
for protecting America’s ports. The National Maritime Security Advisory Committee will advise
the Secretary on this national strategy.

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Area Maritime Transportation Security Plans and Committees
Adding yet another layer to our security strategy are Area Maritime Transportation Security
Plans that will detail the response and preventative security policies. In addition, port security
committees have already been informally established around the country and the new regulations
establish Area Maritime Security Committees that will address the complex and diverse security
needs of each of our 361 ports. In addition, the International Maritime Organization now
requires all ships and port facilities to have security plans – making this a worldwide standard.

Vessel and Facility Security Plans

The new regulations require the owners/and or operators of over 10,000 vessels and 5,000
facilities to develop and implement security plans that may include passenger, vehicle and
baggage screening procedures; security patrols; establishing restricted areas; personnel
identification procedures; access control measures; and/or installation of surveillance equipment.

Security Incident Response Plans

The Coast Guard and other agencies have long had a suite of contingency and response plans for
domestic incidents and terrorist activities. In addition, the new regulations require that key
portions of industry address how they would respond to an incident in security plans that they
must develop and submit to the Coast Guard for approval. Finally, we are coordinating security
plans with other plans that already exist for other emergencies, such as oil spills and natural
disasters.

OTHER INITIATIVES AND PROGRAMS

Transportation Security Cards

The Transportation Security Administration is working on developing the Transportation Worker
Identification Credential (TWIC). Over time, the TWIC will be used as a credential for
transportation workers from all modes who have undergone, and passed, required background
checks. TWIC will introduce a common credential, one that positively ties the person -- to the
credential -- to the background check which can be used in conjunction with access control to
critical components of the Nation’s transportation infrastructure.

Maritime Safety and Security Teams

Maritime Safety and Security Teams are a Coast Guard rapid response force capable of
nationwide deployment via air, ground or sea transportation to meet emerging threats and were
created in direct response to the terrorist attacks on Sept. 11, 2001. Maritime Safety and
Security Teams are already deployed to Seattle; Chesapeake, Virginia.; Los Angeles/Long
Beach; and Houston/Galveston. More teams will be deployed by the end of this year to St.
Mary’s, Georgia., and the Port of New York/New Jersey. President Bush has included funds for
six additional teams in his fiscal year 2004 budget request to Congress.

Grants
We made available $170 million in port security grants in June 2003 to 387 ports and facilities.
Later this year we will make available an additional $105 million. This is on top of $92 million

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awarded by the Transportation Security Administration in 2002. In addition, the Office for
Domestic Preparedness awarded another $75 million to 13 critical national seaports.

Maritime Intelligence
Using a variety of current and future operations, including the National Maritime Intelligence
Center, and local and regional intelligence centers, we are focusing on gathering, analyzing and
disseminating information. The President’s fiscal year 2004 budget request to Congress includes
$34 million to increase our intelligence capabilities.

Automatic Identification Systems

Automatic Identification Systems (AIS) immediately sends detailed ship information to other
ships and shore-based agencies. The installation of AIS on certain vessels traveling in our
waters, as required by the new regulations, will allow comprehensive, virtually instantaneous
vessel tracking and monitoring, increasing safety and security in our shipping channels. This is
also an international initiative.

Secure Systems of Transportation

Programs such as Operation Safe Commerce, which is led by TSA and the Bureau of Customs
and Border Protection (CBP), and CBP’s Customs-Trade Partnership Against Terrorism, will
help identify ways to better secure cargo containers and add additional layers of security
throughout the entire sea transportation system.

International Seafarer Identification

Recently adopted international agreements provide for a program to improve the security of
seafarers documents through the use of a biometric indicator, enhanced tamper resistant features,
and the establishment of national databases, all of which will create uniform and verifiable
credentials for the mariners around the world.

Extension of Seaward Jurisdiction

MTSA extended certain Coast Guard authorities out to 12 nautical miles from the U.S. coast.
This measure is part of our strategy to push our borders out – to gain information about what is
coming in and deal with it as far away from our shores as possible and have the authority to
exercise protective actions and measures.

Deepwater Ports
This provision added natural gas facilities to the Coast Guard’s previous authority to regulate
other kinds of deepwater ports. We expect to receive two to three applications per year. These
facilities will allow for the unloading of natural gas offshore, and will help increase our ability to
import natural gas.

Sea Marshals
Since shortly after September 11, 2001, the Coast Guard has been placing armed personnel on
key vessels as they transit in and out of port to keep those vessels from being used by terrorists
as weapons. Sea Marshals ensure positive control, 24 hours a day, seven days a week of over

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21,000 vessels arrivals, departures and inter-port transits in the 55 most critical ports. The
President has included funding for 53 Sea Marshals in his fiscal year 2004 budget request to
Congress.

Maritime Security Professional Training

The publication of these regulations is the beginning of the work begun by the Maritime
Administration at the Department of Transportation, in cooperation with the Coast Guard and the
Transportation Security Administration, to establish standards for training. We are continuing
the cooperative effort of these agencies and the international community to fully leverage
existing security training expertise.

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 U. S. DEPARTMENT OF HOMELAND SECURITY
Office of the Press Secretary

July 2003 – Summarized Regulations

NEW MARITIME SECURITY REGULATIONS

MAKING OUR WATERS SAFER: The Maritime Transportation Security Act of 2002
(MTSA), the new security amendments to the International Convention for the Safety of Life at
Sea 1974 (SOLAS), and its complementary International Ship and Port Facility Security Code
(ISPS) strengthen and add additional protective layers of defense to our Nation’s port security.
• MTSA: Designed to protect the nation's ports and waterways from a terrorist attack.
Landmark legislation that requires area maritime security committees, security plans
for facilities and vessels that may be involved in a transportation security incident
• ISPS: First multilateral ship and port security standard ever created. Implementation
scheduled for 2004; requires all nations to develop port and ship security plans.
Regulations specify requirements for:
• Security assessments, development of security plans, implementation of measures to
address access control, security monitoring, and physical, passenger, personnel,
baggage and cargo security.
• Annual exercises and/or drills
• Designation of security personnel for each vessel or facility
• Installation of Automatic Identification System (AIS), equipment that automatically
sends detailed ship information to other ships and shore-based agencies

WHO THE REGULATIONS WILL APPLY TO: The regulations focus on those entities that
may be involved in a transportation security incident, including various tank vessels, barges,
large passenger vessels, cargo vessels, towing vessels, offshore oil and gas platforms, and port
facilities that handle certain kinds of dangerous cargo or service the vessels listed above.

WHEN: July 1, 2003 Temporary Interim Rules published; Effective date of regulations
July 23, 2003 Public Meeting in Washington, D.C.
July 31, 2003 Deadline for submission of written comments
October 2003 Projected publication of Final Rule
November 2003 Effective date of Final Rules (30 days from publication)
Dec. 31, 2003 Deadline for submission of security plans
July 1, 2004 International and domestic deadline for implementation of MTSA
regulations & ISPS requirements.

WHERE: Ports of all sizes throughout the country and the world

REGULATORY HIGHLIGHTS

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The new MTSA security regulations cover vessels and facilities operating on or adjacent to
waters subject to the jurisdiction of the United States and are split into six separate parts.
Following a general section that discusses general requirements and definitions, each of the
sections focuses on a specific segment of the marine industry: ports, vessels, facilities, and outer
continental shelf facilities. A final regulation addresses the installation of Automatic
Identification Systems (AIS). These regulations are part of the new Subchapter H of Title 33 of
the Code of Federal Regulations (CFR), except for AIS, which amends several sections of the CFR.
The regulations have common elements, including:
Security Officers & Training for all Personnel
Requires the designation of an individual who will be responsible for the vessel or facility
security program, outlines the qualifications for security officers, and requires all personnel to
have training so that they are ready and able to implement the security plan.
Security Assessments and Plans
Requires owners and operators to assess the vulnerabilities, and develop plans that may include
passenger, vehicle and baggage screening procedures; security patrols; establishing restricted
areas; personnel identification procedures; access control measures; and/or installation of
surveillance equipment.

GENERAL – Parts 101 & 102

Alternative Security Programs/Equivalencies

Provides flexibility and encourages innovation by allowing industry to submit, for Coast Guard
approval, alternative security programs that provide an equal level of security as required in the
regulations.
Maritime Security Directives
Gives the Coast Guard the authority to issue supplemental directives that require the
implementation of specific security measures within the context of security plans, allowing the
government to communicate sensitive security information to industry
Increased threat = increased security
Establishes three levels of security, which align with an international system, and correspond to
the Homeland Security Advisory System. These levels allow industry to increase and decrease
security measures based on threat conditions, providing reasonable and effective security.
Communication of Maritime Security Information
Requires the Coast Guard to communicate information on threats to the appropriate members of
maritime industry and other authorities in the port.

PORTS – Part 103

Federal Maritime Security Coordinators

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Designates the Coast Guard Captains of the Port as Federal Maritime Security Coordinators,
giving them the authority to oversee and direct the necessary activities of increasing security of
our ports.
Area Maritime Security Committees (AMS)
Establishes Area Maritime Security Committees, made up of members of other federal, state and
local agencies, industry and others, to assess the specific vulnerabilities in each of our 361 ports
and develop plans for very complex and diverse security requirements within the port areas.
Risk Assessments and Security Plans
Requires the AMS Committees to conduct risk assessments, building on preliminary assessments
already conducted in 47 key ports, which examine the threats, consequences, and vulnerabilities
of the port. Details the elements of Area Maritime Security Plans, including requiring an annual
exercise.

VESSELS – Part 104

Examples of vessels most directly impacted by the new regulations

• Small cruise ship traveling from Chicago to Montreal
• SOLAS-certified cargo ship carrying grain traveling from Jacksonville to New York
• Container vessel carrying cargo from New Orleans to San Juan
• Container vessel carrying cargo from Hong Kong to Los Angeles
• Barge carrying auto part containers traveling from Seattle to Vancouver
• Cruise ship on a Caribbean voyage
• Dinner boat on the Chesapeake Bay carrying more than 150 people
• Gaming boat on the Mississippi
• Ferries operating in Puget Sound, Washington
• Barge carrying home heating oil on the Hudson River
• Tanker carrying liquefied natural gas
• Supply vessel heading to an offshore oil rig
• Towing vessel pushing an oil barge on the Mississippi River

FACILITIES – Part 105

Examples of maritime facilities most directly impacted by the new regulations

• Facility that handles dangerous cargo, including oil, chemicals, and explosives
• Facility that services vessels that carry more than 150 passengers
• Facility that receives vessels on international voyages, including vessels solely navigating the
Great Lakes.

OUTER CONTINENTAL SHELF FACILITIES – Part 106

Examples of offshore oil & gas platforms most directly impacted by the new regulations

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• Oil rig that produces more than 100,000 barrels of oil per day
• Platform that produces more than 200 million cubic feet of natural gas per day
• Platform that is consistently manned by more than 150 people

AUTOMATIC IDENTIFICATION SYSTEMS

The regulations require the installation of Automatic Identification System (AIS) on certain
vessels. AIS equipment is a system that automatically sends detailed ship information to other
ships and shore-based agencies. Installing AIS equipment on certain vessels traveling in our
waters will allow comprehensive, virtually instantaneous vessel tracking and monitoring,
increasing security and safety in our shipping channels.

Examples of vessels required to install an Automatic Identification System

• Ships on an international voyage
• Large passenger vessels
• Other commercial vessels operating in a Vessel Traffic System

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