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Facility Security Threats – It’s a Knowledge Requirement!

Before we get started on our threat discussion this month, let’s see what 33 CFR 105 requires of us. In particular, our knowledge and training must include awareness of security threats and patterns.

• §105.205 Facility Security Officer (FSO).

(b) Qualifications.

(2) In addition to knowledge and training required in paragraph (b)(1) of this section, the FSO must have knowledge of and receive training in the following, as appropriate:

(b)(2)(viii) Current security threats and patterns;

• §105.210 Facility personnel with security duties.

Facility personnel responsible for security duties must maintain a TWIC, and must have knowledge, through training or equivalent job experience, in the following, as appropriate:

(a) Knowledge of current security threats and patterns;

• §105.225 Facility recordkeeping requirements.

(b) Records required by this section may be kept in electronic format. If kept in an electronic format, they must be protected against unauthorized deletion, destruction, or amendment. The following records must be kept:

(6) Security threats. For each security threat, the date and time of occurrence, how the threat was communicated, who received or identified the threat, description of threat, to whom it was reported, and description of the response;

The Coast Guard takes a risk-based approach to security. Threats are an important consideration in their many activities, such as setting MARSEC levels. In lieu of your own research, or trying to navigate through Homeport, you can take advantage of participating in your Area Maritime Security Committee (AMSC) to learn more about what the Coast Guard perceives as the prominent threats in your area. Have that discussion with your Coast Guard facility inspector and with your colleagues in the AMSC.

Remember that the specific threat discussions may include Sensitive Security Information (SSI), so it’s our duty to be careful to protect this information. If you’re having a threat discussion, then be sure to know your surroundings. Also, when recording a security threat to your facility or personnel, be sure to mark the record as SSI, and protect it along with your other facility documentation.

Next week’s blog will look at Threats as a component of our facility’s risk equation…

Also, did you know? …

The Facility Security Symposium and FSO Academy (June 6-8 in New Orleans) was created to give members of the international port community a unique opportunity to have direct access to the foremost leaders that establish the industry’s best practices and procedures. Register now before it’s too late – rooms and seats are going fast!

TWIC Reader Requirements Final Rule – So far this month we discussed Who, What, When, Where and Why, so we will cover a few “What if” questions this week.

What if my TWIC card is stolen, damaged or lost? – Unescorted access can be granted up to 30 days if:

• TWIC card appears on the Cancelled Card List (CCL)
• Individual was known to have had a TWIC card
• Individual reported it lost, stolen or damaged

Facilities using a Physical Access Control System (PACS) – If after 30 days the individual has NOT linked their facility access card to a valid TWIC card, the PACS must deny unescorted access to secure areas.

What if I forgot my TWIC card at home? – Unescorted access is DENIED unless electronic TWIC inspection can be performed by PACS with facility access card. If you have TWIC readers, the individual will NOT be able to perform a required electronic TWIC inspection.

What if my job requires me to go between secure and unsecure areas to complete my duties, do I need to complete an electronic TWIC inspection every time I re-enter the secure area? – NO, an electronic TWIC inspection is not required for reentry into a secure area as long as certain requirements and conditions are met. This includes the following:

• Designated Recurring Access Area (DRAA) – An unsecure area adjacent to a secure area with access gates where employees require frequent access between the unsecure and secure areas to complete their duties.

• Recurring Unescorted Access (RUA) – TWIC holding employees going between secure and unsecure areas without going through an electronic TWIC inspection each time they pass from unsecure to secure after an initial electronic TWIC inspection was conducted.

DRAA Requirements

• Must be designated and approved in FSP
• Security Guards at each secure area access point
• Entire DRAA must be visible to security personnel
• Electronic TWIC inspection completed for initial entry into secure area (beginning of work shift) and TWIC holder can have RUA as long as they do NOT leave DRAA
• If TWIC holder leaves DRAA for ANY reason, they must conduct an electronic TWIC inspection upon return into the secure area

Some possible DRAA scenarios are:

Cruise ship porters carry baggage from curbside check-in area (unsecure) to baggage storage area (secure) for cruise ship passengers

Forklift operators transport packages from loading area (unsecure) to secure storage area on vessel or facility.

NOTE – Seebald & Associates presented a Webinar last Thursday (February 22^nd) that covered everything you need to know about TWIC Reader Requirements. If you missed the webinar, S&A Platinum members can view the recorded presentation via our website.

Last week we discussed WHO is expected to comply with TWIC Reader Requirements, WHAT is required to complete an Electronic TWIC Inspection, and WHY this is a requirement. This week we will go over the WHEN, WHERE, and HOW for different implementation options along with administrative requirements.

There is quite a bit of apprehension in how to purchase or enhance current systems to be in compliance with the TWIC Reader Requirement Final Rule. We are asked all the time – How do I know what TWIC Readers to purchase? or Can I enhance the Physical Access Control System (PACS) I have in place at my facility? I will address each question and provide guidance that will assist you in determining which solution is better for you.

TWIC Readers – TSA has a Qualified Technology List (QTL) outlining companies that have approved readers meeting the Electronic TWIC inspection requirements. That list can be found at: TSA QTL: https://universalenroll.dhs.gov/permalinks/static/twic-reader-qtl If your TWIC reader is not on the list, that is OK as long as it meets the Electronic TWIC Inspection Requirements – see last week’s blog for details.

PACS – Facilities are authorized to enhance their current systems to meet the Electronic TWIC inspection requirements. I am sure you are picking up a theme here – whatever system or reader you use, it must meet the Electronic TWIC inspection requirements.

Can the TWIC Readers and PACS be portable? – Yes, there is no requirement for either to be fixed or stationary, portable systems are acceptable.

What if TWIC Reader or PACS malfunctions? – You are required by law to have a back-up system or portable TWIC readers at the ready that perform the Electronic TWIC Inspection requirements (Visual inspection of the TWIC cards is NOT authorized). NOTE: If you cannot provide a back-up for that access point, you must report it to your Captain of the Port and obtain permission to operate.

Once you have decided on the hardware solution, there are some administrative requirements that must be met and those are:

• Must record/document each ENTRY into a secure area and you are required to maintain these records for two years.

We are asked – What if we document both the entry and exit of all personnel in and out of a secure or secure/restricted area? A lot of facilities track who enters and exits for accountability reasons and this is permissible and accepted by the Coast Guard, but make sure you maintain those records for two years.

Next week’s blog will discuss what is required if a TWIC card is lost, stolen or damaged as well as what requirements need to be met if you routinely move between a secure area and an unsecure area to perform your duties.

Reminder – Seebald & Associates will host a Webinar this week. We’ll discuss the TWIC Reader Requirements Final Rule on Thursday, February 22, at 11:00am ET and 3:00pm ET.

The Coast Guard has recently put out enforcement guidance regarding the TWIC Reader Requirements Final Rule, which was in last week’s blog. This week we will recap WHO is expected to comply, WHAT is required during an Electronic TWIC Inspection, and WHY this is a requirement.

WHO IS REQUIRED: The following facility types will be expected to comply starting August 23, 2018:

1. Facilities that receive vessels certified to carry more than 1,000 passengers; and
2. Facilities subject to 33 CFR 105.295 – Certain Dangerous Cargo (CDC) facilities.
   (Guidance regarding how 33 CFR 105.295 is applied can be found in Policy Advisory Council Decision 20-04 – Certain Dangerous Cargo Facilities.)

WHAT IS REQUIRED: Electronic TWIC inspection – conducted by TWIC Readers or Physical Access Control Systems (PACS) and required each time a person is granted unescorted access to a secure area and must be in place by August 23, 2018.

What is an Electronic TWIC Inspection? – Three things must happen in order to fulfill the requirements:

1. Card Authentication – validates Card Holder Unique Identification (CHUID) and Federal Agency Smart Credential – Number (FASC-N)

2. Card Validity – TWIC card is checked against Cancelled Card List (CCL) – is TWICrevoked or expired? TSA CCL: https://universalenroll.dhs.gov/

How Often must the CCL be checked?

MARSEC 1 – CCL is updated and checked every 7 days

MARSEC 2 & 3 – CCL is updated and checked daily

3. Identity Verification – cardholder’s identity confirmed with biometrics

Biometrics – accepted templates:

fingerprints

digital facial image with PIN

Alternative biometrics (vascular) are authorized if this biometric template is tied to TWIC holder & approved in FSP

If you have any questions on whether your facility will be expected to comply or what is required, we recommend you contact your local Captain of the Port. Also, you are always welcomed to contact Ed Seebald or any of our Associates.

Remember – Everyone presenting a TWIC, along with a reason to access the secure or secure-restricted portion of a maritime facility, is also subject to random screening.

WHY – IT’S THE LAW!!!

Next week’s blog will discuss WHEN, WHERE, and HOW regarding TWIC Reader implementation options and administrative requirements.

NOTE: Join us for our WEBINAR on Thursday February 22 that will explain all this and provide you an opportunity to ask questions. Details will be sent out separately on the Webinar.

The Coast Guard has put out enforcement guidance regarding TWIC Reader Requirements Final Rule.

The following facilities will be expected to comply with the TWIC Reader Requirements Final Rule commencing August 23, 2018:

1. Facilities that receive vessels certified to carry more than 1,000 passengers; and
2. Facilities subject to 33 CFR 105.295 – Additional requirements for Certain Dangerous Cargo (CDC) facilities. (Guidance regarding how 33 CFR 105.295 is applied can be found in Policy Advisory Council Decision 20-04 – Certain Dangerous Cargo Facilities.)

I recommend facilities with any further questions reach out to their local Captain of the Port.

NOTE – This month’s blogs and Webinar will address TWIC Reader Requirements Final Rule.

For those attending the 5^th Seebald & Associates International Facility Security Symposium in New Orleans, June 6-8, 2018, a senior representative from Coast Guard Office of Port and Facility Compliance will be speaking about TWIC Reader Requirements and other pertinent policies.

We’ve covered the main layers of the facility security organization (FSA, FSP, FSO, PSD, AO) in previous blogs. This week we’ll look at what’s in the pyramid’s capstone.

Now that the FSA, FSP are completed and the training program is established, the FSO must not become complacent. The Capstone to the Seebald Security Pyramid consists of regularly conducted Drills, Exercises, Audits and Reviews.

DRILLS – How often do you conduct drills? We know a security drill is required to be conducted every 90 days, testing one element of the FSP. There are many elements to your FSP. If you meet the minimal drill requirements, then you will test at only four elements of your plan. That’s NOT how you become proficient!

We recommend you conduct drills at least monthly, and, for all the Seebald Platinum Members, use the drills sent out every month to improve your security awareness. Drills are meant to test at least one element of your plan, so remember to document observations and do not conduct training during the drill or you will never achieve an accurate assessment. Drills do not need to be complicated, nor time-consuming. You can get better at conducting drills by conducting more drills! And remember, you are required to document best practices and lessons learned.

EXERCISES – Exercises are a full test of your security program and must include substantial and active participation from the FSO. They’re required once each calendar year, not to exceed 18 months. Exercises maybe full scale or live; tabletop simulation or seminar; or combined with other appropriate exercises. Each exercise must test communication, notification procedures, elements of coordination, resource availability, and response. As the same with drills, you must capture best practices and lessons learned. To ensure you meet the frequency of required exercises, we at Seebald & Associates will conduct and document and exercise at your facility during your annual audit.

AUDITS – The FSP is required to be audited annually by a subject matter expert outside of your security organization. The FSO should choose someone who will be critical and honest, so you get an accurate assessment in how the FSP is being executed. After the audit, the FSO is required to address the discrepancies. Remember, the audit report is Sensitive Security Information for the FSO only, do NOT show your audit report to the Coast Guard. The FSO must sign an audit record that documents when and who conducted the audit. Place the audit record with your security documentation – this is what substantiates your audit for the Coast Guard during your annual inspection.

REVIEWS – FSO Reviews are crucial to building and maintaining a security culture and requires dedication from the FSO in making security a priority. Reviews should be part of the FSO’s regular routine – this is security management by walking around. The FSO should be reviewing the FSP on a regular basis and not once a year two weeks prior to the annual Coast Guard inspection. The FSO should use the FSP to develop and use checklists during these walk around reviews. These checklists can include but not limited to: perimeter fencing, lights, security gates & guard posts, technical systems, communication systems, and information technology/cyber systems. During walk arounds, the FSO can review items on their checklist, conduct security training by stopping and asking PSDs and AOs security awareness questions, or conduct drills. Taking the time and making these walk around reviews part of your routine will improve the security posture and awareness on the facility.

Overall – remember, the Seebald Facility Security Pyramid provides you with the organization to secure your facility – the rest is up to you.

This week’s blog looks at Personnel with Security Duties and All Other facility personnel, with an emphasis on their roles in the facility’s security organization.

33 CFR 105 is a performance-based law, which requires that personnel not only know their responsibilities, but also demonstrate that they are capable of performing their roles. The FSO is responsible to ensure Personnel with Security Duties (PSD) and All Others (AO) have this required knowledge through training or job experience. This is where a lot of facilities receive discrepancies during their annual Coast Guard inspection, because employees do not receive regular training outside of their initial security training during orientation when first hired.

Building a security culture needs a security training program that is executed regularly and this falls on the FSO. PSDs are required to know 14 elements outlined in 33 CFR 105.210, and AOs are responsible for six elements outlined 33 CFR 105.215. This is where a thorough training program is needed and a dedicated FSO makes the time to ensure all the employees receive regular training.

An industry best practice known as a “Security Moment,” is similar to a Safety Briefing that occurs prior to many meetings at facilities whose culture focuses on safety. In the case of a Security Moment, a security awareness building requirement can be re-emphasized. The FSO can also take 10-15 minutes during All-Hands meetings and provide brief training on one or two of the required security elements. Another best practice is “Just in Time” training, such as sending reminder emails with required security information that will enhance security awareness prior to a scheduled Coast Guard inspection.

This week’s blog will explain the Facility Security Officer’s (FSO) role and build on the first two levels of the Seebald Facility Security Pyramid in which the FSO must ensure the FSA is conducted and the FSP is developed.

33 CFR 105.400 requires the FSO to be identified by name with 24-hour contact information because they are the primary custodian of the FSP and responsible for ensuring the plan’s security measures are carried out. The FSO is also required to have general knowledge, through training or equivalent job experience in 21 elements outlined in 33 CFR 105.205.

The FSO is also responsible for security awareness and vigilance of the facility personnel, ensure security training to personnel with security duties, ensure occurrences that threaten the facility security is documented and reported to the owner or operator, ensure maintenance of records, preparation and submission of required reports plus a lot more that will be covered in coming weeks.

The FSO’s security responsibilities are abundant and time-consuming, requiring dedication and security to be a priority. Creating a solid security culture starts with the FSO.

This month’s S&A blog series to start out a new year focuses on using the Seebald Facility Security Pyramid to create a solid security organization. Like any structure, your organization needs a strong foundation. Our Facility Security Pyramid must be grounded by a solid Facility Security Assessment, which leads to generating an effective Facility Security Plan.

Your Facility Security Assessment (FSA) is the first step toward building your Facility Security Plan (FSP). Subpart C of 33 CFR 105 lays out requirements for your FSA. The FSA is based on a collection of facility background information, a complete facility on-scene survey, and an analysis of information collected. Part of this assessment requires you to conduct a Risk Based Analysis (RBA). The RBA is scenario-based and focuses on risk components made up of threats, vulnerabilities and consequences, which assists you in developing risk mitigating security measures.

Your FSP must address the risks identified in your FSA. Subpart D of 33 CFR 105 provides the FSP’s format, content, submission & approval, amendment and audit requirements. The FSP documents security measures required to protect your facility. Your FSP defines the roles and responsibilities of all facility employees – FSO, Personnel with Security Duties and All Others. The FSP also describes security measures to be taken for each MARSEC Level as well as defines appropriate actions in emergency situations. The FSP is required for re-submission every five years on its anniversary date. Also remember, the FSP is Sensitive Security Information and must be protected per 49 CFR part 1520.

Documenting Your Drills & Exercises

You may remember our adage from our FSO and PSD courses that “If it’s not documented, then it didn’t happen.” This certainly applies to Drills & Exercises. Be sure to keep your documentation in a central location, such as an S&A Documentation Kit.

Drills and Exercises documentation is low-hanging fruit for a Coast Guard Inspector looking for compliance violations. It’s relatively easy to go through your records to find flaws. The first is to ensure that Drills and Exercises are conducted at the required frequency. For Drills, that means at least once every three months. For Exercises, it’s at least once each calendar year, with no more than 18 months between exercises. If you use an electronic system for your Drills & Exercises, we’ve found a best practice where FSOs print a copy of the Drill Log or Exercise Report and place it in their Documentation Kit.

For each Drill or Exercise, the documentation should include the date held, the FSP element tested (for Drills), a description of the Drill or Exercise, a list of participants, and any best practices or lessons learned that might improve your FSP. Describing the best practices or lessons learned is often the weak part of the documentation we see when we conduct facility security Audits. When I see “N/A” or “None” under best practices or lessons learned, it means to me that the person leading the Drill or Exercise failed in doing their job.

On a side note, when you find best practices or lessons learned in your Drills or Exercises, please share them with us at Seebald & Associates. We keep track of them and share them with our clients and students. They’re not attributed to you, unless you say it’s okay. We believe in this collaboration as a way to strengthen our Maritime Transportation System. We’ve started this compilation to augment our courses and build a “Good, Bad, and Ugly” session for our 2018 Facility Security Symposium.

That’ll do for this month’s blog topic. No blog next week as we turn to our families and loved ones to celebrate the holiday season. We at Seebald & Associates wish you the very best for safe, secure, and happy holidays – see you next year!