REMARKS
1. These Guidelines do not supersede current Federal Regulations.
2. The following is a listing of current Federal Regulations and Coast Guard polices which are in effect for waterfront facilities:
· 33 CFR Part 125 – Identification credentials for persons requiring access to waterfront facilities or vessels.
· 33 CFR Part 126 – Handling of class 1 (explosives) materials or other dangerous cargoes within or contiguous to waterfront facilities.
· 33 CFR Part 127 – Waterfront facilities handling liquefied natural gas and liquefied hazardous gas.
· 33 CFR Part 128 – Security of Passenger Terminals.
· NVIC 3 - 96 – Security for Passenger Vessels and Passenger Terminals
· NVIC 1- 97 – Shipboard Safety Management and Contingency Plan for Passenger Vessels
· IMO Circular 443 - Measures To Prevent Unlawful Acts Against Passengers And Crews On Board Ships
· 33 CFR Part 154 – Facilities transferring oil or hazardous material in bulk.
INDEX
1. Identification Procedures
A. Identification Procedures for Personnel Screening
B. Acceptable Identification
C. Employee Background Checks (Reserved)
2. Access Control
A. Armed Guards/Local Police Department Response
B. Gates
C. Deliveries
D. Vessel Arrival and Security Procedures While Moored
3. Internal Security
A Vehicle Control
B. Rail Security
C. Key/ID/Access Card Control
D. Security Rounds
4. Perimeter Security
A. Restricted Areas
B. Barriers
C. Fencing
5. Lighting
6. Security Alarms/Video Surveillance/Communication Systems
A. Alarms
B. Video Surveillance
C. Communications Systems
7. Training and Security Awareness
8. Security Plan
1) Employees
a) All employees should be required to show an employee/union photo ID prior to entry.
b) Facilities that do not use employee/union photo IDs should cross reference employee’s identification with employer supplied access lists.
c) While on the facility, personnel should possess valid identification and present upon request by security/government representative.
d) The facility should have a verification process to ensure employees entering have valid business.
2) Vendors/Contractors/Vessel Pilots
a) All vendors/contractors/ vessel pilots should be required to show a valid photo ID prior to entry.
b) While on the facility all vendors/contractors/ vessel pilots should possess valid ID and present upon request by security/competent authority/government representative.
c) Vendors, contractors, and pilots visits should be scheduled in advance.
d) If the arrival of vendors, contractors, or pilots is not prearranged, entry should be prohibited until their need to enter is verified by proper authority (as identified in the facility security plan).
e) The facility should have a verification process to ensure Vendors/Contractors/ Vessel Pilots entering have valid business.
f) The use of access lists that preauthorize regular contractors, vendors, and pilots to enter the facility or board vessels moored at that facility are permitted in lieu of the daily schedule requirements.
3) Truck Drivers/Passengers:
a) All truck drivers (for cargo) and passengers (when allowed by the facility) should be required to show a valid photo ID prior to entry.
b) While on the facility truck drivers/passengers should present this ID when requested by security/government representative.
c) The facility should have a verification process to ensure drivers entering have valid business (e.g. checking booking numbers).
4) Visitors (all personnel not falling into other categories)
a) All visitors should be required to show a photo ID prior to entry.
b) While on the facility all visitors should be required to have photo ID and present it upon request by security/cognizant government representative.
c) Visitors should be scheduled in advance. If not, entry should be prohibited until proper authority authorizes visit (as identified in the facility security plan).
d) The facility should have a verification process to ensure visitors entering have a valid purpose for their visit.
5) Government Employees
a) Government agency representatives should be given access to complete official visits/inspections.
b) Government agency representatives should present their valid government organization I.D. card to security personnel or competent authority prior to entry.
6) Vessel Personnel Access through a Facility
a) Vessel personnel (crewmembers, agents, contractors, vendors and passengers on freight vessels) should not be permitted to depart or arrive by way of the facility unless their identification is provided in advance. If not, entry through the facility should be prohibited until authorized by proper security personnel or competent authority in accordance with the facility security plan.
b) All passengers and crew (on passenger ships) should be allowed to depart the vessel in accordance with INS rules. They should proceed directly to their place of work or out of the terminal.
7) Search Requirements
a) All persons, packages and vehicles entering or leaving facility should be subject to search by Security personnel or competent authority. Signs should be posted advising personnel of this requirement prior to entry.
b) Random inspections should be conducted on at least 5% of those entering the facility while the facility is at security level I. This excludes containerized cargo.
B. Acceptable Identification
ID Cards should be a tamper-resistant and laminated photo identification card. Identification cards should show the relevant details of the holder, e.g. name, description, or other pertinent data and are to be issued by an appropriate control authority such as Pacific Maritime Association, port authority, facility operator/owner, labor organization or government agency. Acceptable identification includes:
· State Issued Drivers License
· ID Card issued by a Governmental Agency
· Passport
· ID Card issued by facility operator/owner
· PMA Card
· Labor Organization ID card
Exceptions: Alternatives may be accepted when worked out by Facility Security Personnel and may include an escort if no photo ID is available
A. Armed Guard/Local Police Department Response.
1) Facility should have armed security personnel with the authority to prevent and/or respond to unlawful acts, detain trespassers and protect the facility OR the facility (coordinates with the port authority) should establish a working arrangement with local law enforcement that should ensure a response time of 10 minutes or less.
B. Gates
1) All perimeter gates should be locked, secured, or guarded at all times.
C. Deliveries
Deliveries refer to supplies and services unless otherwise noted.
1) All packages entering or leaving facilities should be subject to search by Security personnel or competent authority. Signs should be posted advising personnel of this requirement prior to entry. This does not include cargo containers.
2) Arrival of deliveries should be scheduled in advance. Where not scheduled in advance, deliveries should be prohibited entry onto the facility until approved by competent authority. This does not include cargo containers.
3) The facility operator should establish procedures to ensure the validity, safety, and security of all hazardous material shipments prior to acceptance.
D. Vessel Arrival and Security Procedures While Moored
1) Facilities should not permit unscheduled tugs, barges or other vessels to berth alongside without prior notification from the port authority or facility.
2) Arriving vessel crews should be advised of a facility’s security level.
3) Vessel crewmembers should not be permitted to depart or arrive by way of the facility unless their identification is provided and verified.
4) Vessel agents should schedule vendors and vessel visitors in advance.
5) The facility should provide a means for the vessel to contact facility security.
3. Internal Security
A. Vehicle Control
Facility management should develop vehicle access controls. Where possible, establish designated parking areas away from restricted areas. Where practicable, establish exclusionary zones to protect buildings or other potential high value targets. Fully describe the measures implemented and standards used in the Facility Security Plan. The following guidelines apply:
1) Automobiles approved for entry onto marine facilities should be controlled regarding their destination and parking.
2) All vehicles entering or leaving facilities should be subject to search by security personnel or competent authority. Signs should be posted advising personnel of this requirement prior to entry.
3) Parking within the facility should be tightly restricted and should be authorized by a strictly enforced gate pass and/or decal system.
4) Passes or decals should be color or otherwise coded to further restrict access to authorized times and locations.
5) Parking for employees, dockworkers and visitors should be restricted to designated areas, that are fenced and outside of the cargo handling and designated storage areas.
6) Parking for vehicles authorized on facility grounds should be restricted largely to port authority, carrier, maintenance, commercial and government vehicles which are essential within the facility. Parking for these vehicles should be restricted or clearly marked designated parking areas within the perimeter of the facility.
7) Temporary permits or passes should be issued to vendors and visitors for parking in designated controlled areas.
B. Rail Security
1) Key/ID/Access Card controls should be implemented to delineate which personnel have access to specific areas. A master ledger should be maintained that records the legitimate holder of each key copy, issuance for which should be controlled by management or security personnel.
2) Locks, locking devices, and key control systems should be inspected regularly and malfunctioning equipment repaired or replaced.
3) Only case hardened locks and chains should be used, with chains permanently attached to fence posts/gates.
4) Formal guidelines for computer security should be in place for each facility.
5) Computerized information access should be password controlled and should be restricted on a need-to-know basis, which would include dissemination of information no sooner than required.
6) Facilities should take steps to prevent facility equipment from being accessed by non-authorized personnel.
1) Security personnel should conduct roving safety and security patrols specific to a facility’s layout including the areas of waterside access.
2) Security personnel should conduct rounds at least once in a four-hour period at varying times to prevent predictability.
3) Adequate record keeping of the security rounds conducted should be available for inspection.
A. Restricted Areas
1) The facility should establish restricted areas that control and channel access, improve security and increase efficiency. This should provide degrees of security that are compatible with the facility’s operational requirements. Examples include:
· Alarm/surveillance system control
· Power supply and lighting control systems
· Computer servers and storage devices
B. Barriers
1) Perimeter areas should be cleared of vegetation and debris that could be used to breach fences.
2) Natural barriers such as water, ravines, etc., can sometimes be effectively utilized as part of the control boundary rather than fences.
3) If used, natural barriers may require supporting safeguards (i.e. security patrols, surveillance, anti-intrusion devices, lighting) especially during high threat period (Security Levels II & III).
a) Security fences and other barriers should be located and constructed so as to prevent the introduction of dangerous substances or devices. Fencing should be 8 feet high, 9 gauge galvanized steel, of 2 inch wide chain link construction topped with an additional 2 foot barbed wire outrigger consisting of 3 strands of 9 gauge galvanized barbed wire at a 45 degree outward angle above the fence.
b) The effectiveness of a security fence against penetration depends to a large extent on the construction employed.
c) The bottom of the fence should be within 2 inches of the ground.
d) Security fence lines should be kept clear of all obstructions.
A. Facilities should be illuminated at least to the level of twilight and should be provided sunset to sunrise. The minimum standard for illumination should be one-foot candle at 1 meter above the ground. Dock work areas, container unloading and loading areas, waterfront, perimeter, restricted areas and all access points should have 5 foot candle illumination
B. Lighting should conform to federal regulations (e.g. OSHA) and comply with voluntary agreements such as the U.S. Customs Sea Carrier or Super Carrier Initiatives (if applicable).
C. Updated lighting technology should be used, such as high-pressure sodium, mercury vapor, or metal halide lighting.
D. Lighting should be directed downward, away from guards or offices, or navigable waterways and should produce high contrast with few shadows.
6. Security Alarms/Video Surveillance/Communications Systems
A. Alarms
1) Intrusion detection systems and alarm devices may be appropriate as a complement to guards and patrols during periods of increased threat.
2) All control and switching systems for alarms and communication systems should be in a restricted access area.
3) Alarms may be local, i.e. at the site of the intrusion, provided at a central location or station, or a combination of both.
4) The standard response time by facility personnel to alarms should be no more than five minutes.
B. Video Surveillance
1) Closed Circuit Television cameras can be used as a part of the facility security system. When used cameras should be placed at main entrances and exits and in areas with high risk and/or high value cargo.
2) Cameras should be able to record at relatively low levels of light and should have a remote control zoom lens capability when used for surveillance.
3) Cameras should have video tape recording capabilities and be capable of being monitored at same time.
4) Cameras should be positioned, with a recording mechanism to video record vehicles and pedestrians entering and exiting the facility.
C. Communications Systems
1) Security and communication system should be tested once per shift and a record of results maintained.
2) A means of transmitting emergency signals by radio, direct-line facilities or other similarly reliable means should be provided at each access point for use by the control and monitoring personnel to contact police, security control, or an emergency operations center in the event assistance is required.
3) Facility should ensure adequate back up/emergency power supply in place to operate security and communication systems when primary power is interrupted.
4) Facility should have dedicated emergency/security communication system in place.
5) Each person on the security force should be issued equipment and trained on the system operation
7. Training and Security Awareness
A. Security force personnel (whether permanent or contracted) should complete training and qualification programs established by the facility operator and described in the facility’s Security Plan that provides the knowledge and training to properly secure the facility.
B. The training program should be job specific for all personnel, both management and non-management. The program should at a minimum include the following elements:
1) Law enforcement and security guidelines
2) Company policies including the security plan and response procedures.
3) Prevention, detection and investigation of criminal activities.
4) Reporting of threats or actual criminal and terrorist activity.
5) Communications and surveillance systems operation.
6) Procedures for notifying all facility personnel when higher security levels are imposed.
C. Employees should be given an annual awareness training refresher to ensure that they have an up to date working knowledge of the facility’s emergency plan including security procedures and procedures for notifying law enforcement agencies
D. Training program should be reviewed and personnel qualifications certified annually.
8. Security Plan Format and Response Procedures
A. A Facility Security Plan should include as a minimum the following:
1) Identification procedures.
2) Access control procedures.
3) Internal security requirements.
4) Designated restricted areas
5) Perimeter security plan.
6) Security lighting and maintenance plan.
7) Security alarms, video surveillance and communication systems.
8) Designated (by name) security officer for the facility.
9) Training program for security force.
10) Employee security awareness training.
11) Security communications including prearranged agreements with local PD/FD.
12) Notification list (update quarterly or as needed)
13) Procedures set in place that will provide for upgrading to Security Level II and III
14) Response procedures for the following scenarios:
· Unauthorized personnel discovered on the facility
· Unauthorized/illegally parked/abandoned vehicles in or near the facility
· Unauthorized vessels moored along the waterfront property
· Bomb threat
· Suspicious person(s) or activity response
· Loss of power/lighting
· Mail Handling
· Unknown or suspicious package discovery response