Vol. 138, No. 14 — April 3, 2004

Marine Transportation Security Regulations

Statutory Authority

Marine Transportation Security Act

Sponsoring Department

Department of Transport

REGULATORY IMPACT
ANALYSIS STATEMENT

Description

Background

In December 2002, in response to the events of September 11, 2001, the International Maritime Organization adopted the International Ship and Port Facility Security Code (ISPS Code) and amendments to the International Convention for the Safety of Life at Sea, 1974 (SOLAS Convention). These documents significantly enhance the international framework for the deterrence, prevention and detection of acts that threaten security in the marine transportation sector. All International Maritime Organization Contracting Governments, including Canada, are required to have adopted the ISPS Code by July 1, 2004, and have the necessary national regulations in place.

The proposed Marine Transportation Security Regulations would introduce new security requirements for the marine transportation industry. They would be made under section 5 of the Marine Transportation Security Act (MTSA), and would implement all Part A (mandatory) and most of Part B (guidance) provisions of the ISPS Code. This is consistent with the approach of Canada's major trading partners. They would also implement other provisions determined to be necessary based on risk assessments and the need to ensure the unimpeded flow of Canadian maritime trade.

Contents of the proposed Regulations

The proposed Regulations would affect vessels in Canada and Canadian ships outside Canada that engage on voyages between a port in one country and a port in another country and that

— are more than 100 tons gross tonnage;

— carry more than 12 passengers;

— are 8 metres or more in length and are engaged in towing a barge astern or alongside or in pushing a barge, if the barge is carrying dangerous goods, other than products, substances or organisms identified in Class 4 of the schedule to the Transportation of Dangerous Goods Act, 1992, in bulk; or

— are barges being towed astern or alongside or being pushed and are carrying dangerous goods, other than products, substances or organisms identified in Class 4 of the schedule to the Transportation of Dangerous Goods Act, 1992, in bulk.

Although SOLAS Convention standards require only vessels of 500 tons gross tonnage or more, or carrying more than 12 passengers, and engaged on international voyages that are not operating solely on the Great Lakes and St. Lawrence Seaway to be regulated, Canada has made an assessment of threat and risk and has determined that 100 tons gross tonnage is a more appropriate threshold for the purpose of marine security. This is necessary for security reasons, but will also support the competitiveness of Canada's marine transportation system. For similar reasons, the proposed Regulations would apply to vessels operating solely on the Great Lakes and St. Lawrence Seaway and where barges carrying certain dangerous goods are involved.

The proposed Regulations would not apply to pleasure crafts, fishing vessels, vessels in dry-dock, dismantled or laid up, or government vessels.

Marine facilities that interface with vessels to which the proposed Regulations apply would also be regulated under the proposed Regulations. The term "interface" is defined under the proposed Regulations and includes services provided to vessels.

The proposed Regulations begin with definitions which apply to the whole Regulations and include four Parts: Part 1 — General, Part 2 — Vessels, Part 3 — Marine Facilities and Part 4 — Repeal and Coming Into Force. Part 1 deals with MARSEC levels. MARSEC levels are based on the ISPS Code security levels and describe the levels of threat that would necessitate that the master of a vessel or the operator of a marine or port facility take steps to reduce the likelihood of a marine transportation security incident. Three MARSEC levels are proposed. MARSEC level 1, the lowest level of threat, is the level at which normal protective security procedures are maintained (i.e. normal procedures when no threats have been identified). MARSEC level 2 is the level required when there is a heightened risk of a security incident (e.g. when the Minister has information indicating that there is a threat to marine transportation). MARSEC level 3, the highest level, is the level at which the strictest security procedures must be implemented (e.g. when information is received about a specific and imminent attack on the marine transportation system).

Parts 2 and 3 set out an accountability structure that allocates the legal responsibility for implementing the proposed Regulations to operators of vessels and marine facilities and port administrations (as defined in the proposed Regulations). The Parts also set out

— the general requirements, qualifications and responsibilities of security officers and other personnel with duties related to security;

— security drill and exercise requirements;

— requirements for record keeping and equipment;

— provisions respecting declarations of security;

— Vessel/Marine Facility/Port Security Assessment requirements;

— Vessel/Marine Facility/Port Security Plan requirements; and

— provisions respecting the coordination of security plans for ports.

Declarations of security are agreements signed before the beginning of an interface between a vessel and a marine facility or another vessel and are used to ensure that appropriate security requirements are met. For example, a vessel operating at MARSEC level 3 because of a specific threat will require a declaration of security to be agreed upon and implemented before interfacing with a marine facility operating at a MARSEC level 1. A vessel that is subject to the proposed Regulations interfacing with a marine facility that is not subject to the proposed Regulations might also seek to complete a declaration of security to ensure that security procedures are in place for the duration of the interface. These agreements could address the posting of security personnel, temporary barriers, X-ray equipment for baggage, or any other procedures or equipment deemed necessary and consistent with relevant security plans.

Security assessments are an evaluation of vulnerability and threat based on such factors as the location and nature of the vessel, marine facility or port. The assessment, when completed, allows a risk-based approach to be used in the security plan. The plan lays out procedures, equipment and personnel needed to maintain access control, restricted areas, security monitoring and the security of cargo, ship's stores, bunkers and other goods. Operators must implement plans approved by the Minister.

The proposed Regulations also include special requirements for the cruise ship industry, passenger vessels and ferries. Passenger vessels and ferries have the requirement to provide screening after a period the vessel is left unattended, and the alternative of carrying out selective searches and sweeps in place of the screening requirements set out for other vessels. Passenger vessel and ferry facilities have additional security procedures in a marine facility with no designated public access area, establishing separate areas to segregate persons and goods, including vehicles, that have not been screened from those that have. In a marine facility with a designated public access area, sufficient security personnel to monitor all persons in the area and to carry out screening of persons and goods must be provided. Passenger vessel and ferry operators will carry out screening in coordination with the marine facilities with which they interface.

Cruise ships have special provisions which restrict the possession of firearms to members of a law enforcement agency on duty and persons handling cash or other valuable goods when the vessel is docked. In addition, cruise ships must comply with a security inspector's request to remove a screening officer not carrying out proper searches. The vessel security plan of a cruise ship shall establish security procedures for security patrols at all MARSEC levels, and the vessel security officer of a cruise ship shall ensure that security briefs are provided to passengers about threats resulting in an increase to MARSEC level 3.

Cruise ship terminals are required to coordinate the establishment of specific areas to separate passengers and baggage that have been screened from those that have not, as well as the procedures to verify the identity of passengers before boarding.

The proposed Regulations would also require port administrations to develop a port security plan in cooperation with marine facility security officers and in consultation with labour representatives within their port. In this way they would coordinate security activities within their port.

Part 4 — Repeal and Coming into Force, repeals the Marine Transportation Security Regulations (Cruise Ships and Cruise Ship Facilities), and brings the proposed Regulations into force on July 1, 2004. The Marine Transportation Security Regulations (Cruise Ships and Cruise Ship Facilities) would be repealed because the proposed Regulations would include equivalent or more robust requirements.

Regulatory harmonization

On October 22, 2003, the U.S. Coast Guard published its final Maritime Security Rules. Transport Canada has been working closely with the U.S. Coast Guard to harmonize Canadian and U.S. regulatory regimes. Discussions are currently under way to establish a bilateral agreement on the mutual recognition of marine transportation regulations.

The U.S. Coast Guard has provided provisional recognition of the proposed Regulations as providing the same effect as its own Maritime Security Rules. As a result, vessels entitled to fly the flag of Canada operating to and from U.S. ports are not required to submit security assessments and plans to the U.S. Coast Guard. Formalization of this recognition will be achieved by conclusion of this bilateral agreement on marine transportation regulations.

Canada will also be recognizing vessel security plans from other signatory nations that have implemented the ISPS Code.

Alternatives

Status quo

Maintaining the status quo is not an acceptable alternative, as it would leave Canada outside the international legal framework for marine security and have significant adverse effects on trade. The SOLAS Convention and ISPS code require that signatory nations implement the ISPS Code Part A mandatory provisions by July 1, 2004. Failure to do so through a regulatory or other legally enforceable framework would be interpreted by other signatory nations as a default on an international commitment to increase security in the marine sector.

As a result of such a default, there would be a significant risk that vessels entitled to fly the flag of Canada would experience delays or restrictions when entering the waters of nations that have implemented the ISPS Code. This could include the requirement to implement a declaration of security at each port of call. The U.S. Coast Guard in particular has signalled that "if vessels do not meet U.S. security requirements, the Coast Guard has, and will not hesitate to use, the power to prevent those vessels from entering the U.S. in appropriate cases." (see footnote 1)

Furthermore, if Canada did not implement the ISPS Code through the proposed Regulations, there would be no mechanism to identify marine facilities that are compliant with ISPS Code requirements. Non-compliant marine facilities are expected to experience a loss of business, as many ships may avoid calling at them. As ships are required under the ISPS Code to keep a record of the last ten ports of call, a call at a non-compliant marine facility will most likely result in more intensive scrutiny at their future ports of call, which could result in either delay or refusal of entry.

In addition, failing to implement a regulatory framework could lead to the perception of Canada as a "weak link" in worldwide marine transportation security. Such a perception could adversely affect Canada's relations with major trading as well as attract threats to the North American continent and increase the possibility of a transportation security incident such as terrorism. The consequences of such an incident would vary according to the nature and scope of the incident, but would almost certainly result in a partial or complete shutdown of Canada's international marine transportation. Based on 2002 figures, losses to the economy could exceed $280 million per day. This does not include ripple effects to other sectors of the economy, or the likely adverse effects for air and surface (road and rail) transportation.

Consequences will be more apparent after July 1, 2004, when International Maritime Organization Contracting Governments begin enforcing the ISPS Code.

Voluntary, industry-developed standards

Some marine stakeholders have put forward voluntary standards as an alternative to regulation. This is not a viable option as such standards would not have the force of law nor be approved by the Government of Canada, and would accordingly not be accepted by other nations as equivalent to ISPS Code requirements.

Implementation by reference to ISPS Code

Some nations contracted to the ISPS Code have opted to implement the ISPS Code by incorporating it by reference into their laws or regulations. This option would fail to take into consideration the Canadian and North American context. The mechanism for making changes to the ISPS Code would leave Canada with little control over future changes.

Development and implementation of Canadian regulations

The implementation of the proposed Regulations would provide a comprehensive marine transportation security regime and facilitate the unimpeded movement of goods to and from Canada's major trading partners. It would provide a firm assurance to other governments that Canada was putting into effect the internationally agreed-upon framework for marine security. It would also create a mechanism for the issuing of International Ship Security Certificates to SOLAS ships that are entitled to fly the flag of Canada, a Canadian Vessel Security Certificate to non-SOLAS ships that are entitled to fly the flag of Canada and Statements of Compliance to Canadian marine facilities.

This would, in turn, allow Canadian marine facilities to be registered on the International Maritime Organization's list of ports and marine facilities considered to be implementing security procedures to the Organization's satisfaction. Vessel operators and national governments contracted to the ISPS Code would use this "White List," described in International Maritime Organization Circular 2514, to determine which ports and marine facilities worldwide are least likely to involve security risk. As vessel operators are also required to maintain records of the last ten marine facilities visited for each vessel they operate that is subject to the ISPS Code, the number of visits to non-White List marine facilities and ports would also affect how other International Maritime Organization Contracting Governments would treat the vessels in future. Thus, whether a marine facility is on the White List may strongly influence decisions on whether vessels will choose to visit any particular marine facility or port.

There is no viable alternative to regulation. As a government contracted to the ISPS Code, Canada must implement the ISPS Code by July 1, 2004. Failure to do so would put Canada outside the international framework for maritime security and greatly damage Canadian transportation and trade, the marine industry and thus the economy as a whole.

Benefits and costs

Benefits

The importance of the marine sector to the Canadian economy has been growing significantly in recent years. Canadian trade in the marine sector, valued at $84.4 billion in 1997, grew to $103 billion by 2002 (11 percent of GDP). Of this, Vancouver cleared $12.9 billion in imports, Montréal cleared $11.4 billion and Halifax cleared $4.6 billion. The marine transportation sector accounts for 32 500 direct full-time jobs, 27 000 of which are at marine facilities, on vessels, or at marine-related infrastructure. Marine stakeholders indicated that a further 110 000 workers regularly enter ports. In addition, 1.5 million cruise ship passengers arrive in Canada annually, contributing over $1 billion to the economy. That industry provides an estimated 9 000 jobs. Complete data for international ferries is not available, but it is known that 240 000 U.S. ferry passengers to Nova Scotia contribute $144 to $168 million in tourist spending per year.

There are significant benefits to implementing the proposed Regulations. The proposed Regulations would maintain Canada's marine trade, as it would ensure compliance with the ISPS Code. Failure to do so may be viewed as a default on an international commitment to increase security in the marine sector. One plausible result is that overseas vessel operators would ship directly to U.S. ports, especially with respect to U.S. containerized cargo, which currently often enters or leaves North America via Canadian ports. Another is that vessels entitled to fly the flag of Canada would be delayed or denied entry to ports in others nations contracted to the ISPS Code.

Although no data is available for the economic impact of a terrorist attack originating at a Canadian marine facility or through a Canadian port, the cost of a national shutdown of marine transportation can be estimated at $280 million per day (based on 2002 figures). This does not include ripple effects into other sectors of the economy.

Costs

There are costs associated with the implementation of the proposed Regulations. Most significantly, the costs of arranging for and carrying out vessel, marine facility and port security assessments and developing, implementing and maintaining security plans will be at the expense of vessel and marine facility operators and port administrations.

Vessels

Transport Canada has identified 300 vessels entitled to fly the flag of Canada to which the proposed Regulations will apply, of which 180 are over 500 tons gross tonnage. Costs to these vessels are estimated at approximately $48,500 per vessel in the first year, and $14,300 each year thereafter. Costs to vessels under 500 tons gross tonnage are estimated at approximately $25,900 per vessel in the first year, and $13,173 each year thereafter.

Capital costs may include items such as anti-intrusion alarms, ship security systems, portable detection equipment, automatic identification system transponders, obtaining a ship identification number and various small pieces of equipment such as lights, radios and hand-held metal detectors. Labour costs may include the hiring of new personnel to fill new positions and compensate for new responsibilities and functions, and the training of personnel in security responsibilities and security awareness.

Capital costs for all regulated vessels are anticipated to total $9.2 million in year 1 and $0.4 million per year thereafter. Operational costs for all regulated vessels are anticipated to total $2.6 million in year 1 and $3.8 million per year thereafter. Total capital and labour costs for the Canadian fleet are estimated at $11.8 million in the first year, and $4.2 million in following years.

Vessels operators are also expected to incur costs, primarily for company security officer salaries and training. Estimated annual cost for companies with 10 vessels or more is estimated at $208,000; estimated cost for companies with less than 10 vessels is estimated at $56,000. Fifty-three companies have been identified as having vessels to be regulated under the proposed Regulations. Total cost for all companies is estimated at approximately $4.5 million annually.

Marine facilities

With respect to marine facilities, the costs related to the proposed Regulations are expected to vary significantly. This is because the 450 Canadian marine facilities identified range from mega-port complexes that house numerous berths, terminals and facilities to small, single-berth ports that receive international traffic only infrequently. Furthermore, the ports range from highly automated modern container facilities to oil terminals, dry bulk facilities and multiple-use berths. For this reason, the proposed Regulations employ a risk-based approach that enables regulatory compliance to be achieved while ensuring that physical security measures are commensurate to the level of threat at specific facilities.

The British Columbia Maritime Employers Association has estimated that the proposed Regulations will require security improvements costing between $205,000 and $1.4 million per marine facility, for a total of approximately $100.4 million in the first year and $31.1 million per year thereafter. Figures based on estimates from other nations suggest that the cost will average approximately $265,000 per marine facility in the first year and $112,000 in following years, for a national total of $119.2 million in the first year and $50.5 million in the following years. For cost purposes, port administrations are treated as facilities and are included in this total. Locks on the St. Lawrence Seaway are treated as marine facilities.

Capital costs for all regulated marine facilities are anticipated to total $61.0 million in year 1 and $4.6 million thereafter. Operational costs for all regulated marine facilities are anticipated to total $58.1 million in year 1 and $45.9 million thereafter.

Depending on the size and nature of the marine facility, capital costs might include the construction of new buildings, the designation and securing of restricted areas, locking and pass systems, fencing, security monitoring equipment, lighting and other small pieces of equipment. Labour costs would be similar in nature to vessels.

Stakeholders in the marine transportation industry accept that costs need to be incurred. However, they have made strong representations for sharing with government the costs of covering appropriate security requirements and in respect of the impact of the costs on their competitiveness.

Cost to the Government of Canada

The proposed Regulations are part of the Government of Canada's interdepartmental initiative to address vulnerabilities in Canada's marine security. The five-year initiative was approved in May 2003. Transport Canada received $16 million for fiscal years 2003-2004 to 2007-2008 and $2 million each year from fiscal year 2008-2009 onward. These resources were for regulatory development ($3.2 million), the Marine Security Oversight and Enforcement Program ($1 million in fiscal year 2003-2004) and the Marine Facilities Restricted Area Access Clearance Program ($11.8 million, with $2 million ongoing).

In October 2003, $13 million was approved for fiscal years 2004-2005 to 2007-2008 and $3 million ongoing. These resources were for marine security oversight and enforcement. This component includes sustaining the long-term national program to monitor and enforce compliance with security-related requirements in the amendments to the Safety (SOLAS) Convention, including the incorporation of the ISPS Code, and improvements to security on board vessels and marine facilities.

Cost-benefit ratio

A single day of lost trade due to a complete national shutdown in the marine sector can be estimated to cost the Canadian economy approximately $280 million. This exceeds the first year implementation costs of the proposed Regulations by a factor of more than 2.5:1. The predicted costs for year 1 equal about 0.1 percent of the value of marine trade in 2002. This does not take into account the value of preventing a potential attack in terms of major human, environmental or economic costs.

Environmental impact

Transport Canada completed a Preliminary Environmental Scan (PES) to determine whether important environmental effects (positive and adverse) are likely at a strategic or conceptual level as a result of the proposed Regulations. Results of the PES indicate that many of the proposed provisions pertain to administrative or procedural matters that are not likely to result in adverse environmental effects. There are some indirect potential adverse effects associated with activities that may be necessary to comply with the regulatory requirements, including new buildings and infrastructure, fencing, lighting, inspections, vessel movement, slow rotation of vessel propellers and alarms. The PES concluded, however, that significant adverse environmental effects are unlikely.

Based on the results of the PES, none of the regulatory provisions would require a substantial environmental assessment under the Canadian Environmental Assessment Act. Similar conclusions were reached by the United States Coast Guard in their screening of a similar set of Maritime Security Rules enacted in the United States.

There are several key indirect and positive outcomes for the environment. First, a major security breach or event (e.g. terrorist attack) with catastrophic environmental and human consequences could be avoided. Second, improved vigilance on the part of vessel crews, marine facility personnel and dedicated security personnel could lower the potential for accidents, collisions or spills. Third, improved equipment and inspection and enforcement of security procedures have the potential to enable the identification of unrelated safety and environmental problems on vessels and at marine facilities and ports that would probably lead to corrections and improvements.

Overall, any hardships experienced by persons or vessels are considered minimal compared to the national interest in protecting passengers on vessels, vessel crews and employees and members of the public at marine facilities and in ports from the potential devastating consequences of the acts of terrorism, and from potential sabotage or other acts, accidents, or other incidents of a similar nature.

Privacy impact

Requirements to collect personal information are not included in the proposed Regulations. A comprehensive Privacy Impact Analysis will be submitted with amendments to the proposed Regulations anticipated after July 1, 2004.

The vessel information required under the proposed Regulations is intended to provide the Minister with knowledge about vessels coming into contact with the marine transportation infrastructure to facilitate threat assessment and security responses. Notice of the requirements of the proposed Regulations, and any subsequent amendments to the requirements, will be brought to the attention of vessels by way of Notices to Mariners.

Regulatory burden

The proposed Regulations are consistent with the principles of Smart Regulations in minimizing the regulatory burden on Canadians as much as possible, while reducing the risk of threats to the marine transportation system (including terrorist acts). They will also meet the requirements of the ISPS Code and Canada's major trading partners.

At present, the only marine transportation security regulations in place are the Marine Transportation Security Regulations (Cruise Ships and Cruise Ship Facilities). These would be repealed when the proposed Regulations come into force.

Transport Canada has consulted with other federal and provincial government departments and agencies during the development of the proposed Regulations. Where areas of concern have arisen, such as in the offshore sector, Transport Canada has chosen to hold regulatory proposals in reserve and pursue a multilateral approach to avoid regulatory duplication.

Consultation

Preliminary consultations

Extensive consultations have been held with all sectors of the marine transportation industry. As part of the Government of Canada's commitment to consult with stakeholders, Transport Canada held a series of stakeholder consultations across Canada from May to June 2003. These one-day information sessions provided marine industry stakeholders with an explanation of the new ISPS Code. Stakeholders also had an opportunity to ask questions and provide feedback on Transport Canada's plans for implementation.

Working groups

Four working groups were subsequently formed to produce recommendations and advice on the development of regulations — one each for vessels, marine facilities, offshore facilities and the Marine Facility Restricted Area Access Clearance Program. These working groups each met twice in the period of August to October 2003. Participants included representatives of industry groups and associations for vessels, marine facilities and the offshore oil and gas sector, operators of marine facilities and shipping lines, marine employer associations, marine insurance companies, marine training institutes, labour organizations, divested ports and public port authorities, the St. Lawrence Seaway Management Corporation, other federal and provincial government departments and agencies, and Transport Canada staff.

Public consultations and written submissions

Draft proposed Regulations were released on November 26, 2003. Public consultations were held on the draft proposed Regulations in December 2003 and January 2004. These meetings were held in St. John's, Halifax, Montréal, Ottawa, Toronto and Vancouver and were attended by a broader representation of the stakeholder groups than attended the working groups. In all, 622 stakeholders attended the meetings.

Written submissions were accepted until January 23, 2004. Thirty-two replies were received from stakeholders.

General/Common concerns

Although there was broad approval of the proposed Regulations and a consensus that they were necessary, concerns were expressed in general and on each Part.

Exemptions, alternative security programs, rights and definitions

Some stakeholders queried the absence of exemption provisions in the proposed Regulations. These exemptions were sought for entities that could be captured by the proposed Regulations, but which, due to special circumstances (e.g. extreme isolation and distance from large populations), may not need the same level of security procedures and associated personnel and equipment set out in the proposed Regulations. Alternative security programs were requested by stakeholders of sectors of the marine transportation industry with special characteristics (e.g. passenger vessels, ferries and barges only engaging on domestic voyages, and facilities serving those vessels). These alternative security programs would provide security procedures equivalent to the proposed Regulations.

Stakeholders were satisfied when they learned that section 12 of the Marine Transportation Security Act (MTSA) already provides a mechanism for exemptions, under which the Minister may exempt an entity from the proposed Regulations in whole or in part. Section 10 of the MTSA provides for alternative security programs by way of security rules approved by the Minister under section 10 of the Act if they are made to replace security measures made under section 7 of the Act.

Several terms found in the proposed Regulations were questioned, such as "operator" and "authorized screening." As the MTSA contains definitions for such terms, they cannot be expanded or changed substantially within the proposed Regulations.

Similarly, there were concerns that rights were not protected because the Privacy Act and the Canadian Charter of Rights and Freedoms were not cross-referenced in the proposed Regulations. These concerns were satisfied by explaining that it was not necessary to cross-reference these laws in the proposed Regulations — the Charter and the Privacy Act have precedence to the extent that they apply.

Stakeholders were advised that the proposed Regulations must be read in the context of the provisions of the MTSA and other relevant statutes.

Costs associated with implementing the proposed Regulations

Many stakeholders made strong representations about the costs associated with implementing the proposed Regulations and their effect on competitiveness. Stakeholders requested that the federal government contribute to marine security funding, as the proposed Regulations are part of the national security program. It was noted that the U.S. government has subsidized costs in its marine transportation industry by over US$570 million.

Transport Canada notes that at present no Canadian grant or contribution program is in place. Legislative amendments currently proposed in Bill C-7 would provide legislative authority for such a program.

With respect to U.S. grants, to date the U.S. has awarded $516.3 million in port security grants and an additional $58 million to three key ports for Operation Safe Commerce. Grants were distributed to various port facilities, and state and local governments. Selection was made based on the application submitted. A selection board composed of representatives from the U.S. Transportation Security Agency, U.S. Coast Guard and Maritime Administration processed and evaluated the grant applications. The grants to date ($516.3M) represent 10 percent of the total estimated cost.

Transport Canada is not aware of any other foreign nation, other than the United States, that has a specific marine security capital grants program. However, in many nations, ports are owned and operated or administered as an extension of government and many of the ports, as such, could receive their capital and operating funds from government sources, including those for security improvements.

Training certification

Some stakeholders were concerned about the absence of a formal certification mechanism for security training courses. Transport Canada acknowledges this concern. While Transport Canada does not at present provide full certification for such courses, certain training institutes are recognized by Transport Canada for marine security training purposes. The matter of certification is under review.

Processing of assessments and plans

Vessel and marine facility operators were concerned that Transport Canada would not be able to process all vessel, marine facility and port security assessments and plans in time for the July 1, 2004 implementation date.

Approximately 300 vessels and 450 marine facilities have self-identified and are voluntarily submitting security assessments and plans for approval by Transport Canada. As the proposed Regulations have not yet been implemented, Transport Canada is using the mandatory requirements of Part A and guidance of Part B of the ISPS Code for evaluating the assessments and plans. It is anticipated that all vessels and marine facilities assessments and plans will be processed and either approved or returned for changes to be made.

Setting of MARSEC levels

Stakeholders requested that there be clarification on who can set MARSEC levels. There was some confusion as some interpreted the ISPS Code as stating that only the International Maritime Organization Contracting Government can set the MARSEC level. However, this was viewed by some as contrary to the principle of the responsibility of a master for the safety and security of his or her vessel.

The Minister of Transport will be setting MARSEC levels. Transport Canada will inform marine facilities and vessels of changes in MARSEC levels using Canadian Coast Guard Notices to Mariners. The Notices would include information on action required and, where appropriate, the nature of the threat. In special, local circumstances, masters will have the authority to temporarily increase the security procedures to the level they deem necessary, and can then inform Transport Canada of this action and the rationale. The Minister may then issue a security measure raising the MARSEC level.

Definition of certain dangerous cargoes

Some stakeholders voiced concern about the difference in the Canadian draft proposed Regulations definition of "certain dangerous cargo" and the definition in U.S. Maritime Security Rules. As a result, the definition has been revised and now refers to certain classes of the Transportation of Dangerous Goods Act, 1992, and so is closer to the U.S. definition.

Vessel concerns

Application to SOLAS and non-SOLAS ships

Stakeholders noted that the application section for Part 2, Vessels, needed to be clarified. Categories were suggested for SOLAS and non-SOLAS ships that would address the issue of certification, as an International Ship Security Certificate will not be issued to a non-SOLAS ship. Non-SOLAS vessels entitled to fly the flag of Canada would receive a Canadian Vessel Security Certificate. It would also clarify that some provisions such as the vessel security alert system do not apply to non-SOLAS ships. Appropriate changes were made to the proposed Regulations to address this issue.

Separate sections for cruise ships and ferries

The cruise ship and ferry industries requested that there be separate sections in the proposed Regulations for cruise ship and ferry operations. This was in order for them to better identify their responsibilities, which differ from the requirements of other vessels. Transport Canada has incorporated this suggestion into the proposed Regulations.

Weapons on cruise ships

The issue of weapons on board vessels was raised. It was suggested that a more balanced approach would permit firearms on board as long as they are stored in a manner consistent with the Firearms Act and are only available to master and crew. Transport Canada has made provisions for members of a law enforcement agency on duty to carry weapons on board cruise ships. In addition, personnel transporting or handling cash or other valuables may carry a firearm when the vessel is docked. No other person may carry a weapon.

Screening on domestic ferries

Questions were raised as to how ferries would be handled under the proposed Regulations. Some stakeholders recommended that ferries traveling only on domestic routes be covered in the proposed Regulations due to risks allegedly identified by U.S. and Canadian intelligence agencies. Transport Canada has adopted the position that such ferries may voluntarily comply with the proposed Regulations by submitting a security plan.

Coordination of procedures with other government departments and agencies

Vessel stakeholders were concerned about the coordination of operational procedures with other federal, provincial and municipal departments and agencies. These procedures are operational in nature, not regulatory, and are currently being established in consultation with the relevant authorities.

Exemption of government vessels

Stakeholders from other government departments and agencies noted that the MTSA currently exempts military vessels from the application of the Act, but not other government vessels. The ISPS Code does not apply to government vessels. The proposed Regulations would not apply to government vessels and will therefore not apply to Canadian Coast Guard vessels.

Vessel security alert system

It was noted by stakeholders that vessels operating solely in the Great Lakes should be exempted from this requirement due to the availability of other means of communication. Transport Canada agrees and the proposed Regulations accommodate the stakeholders' request.

Marine facility concerns

Role of port administrations, as defined in the proposed Regulations

Canadian Port Authorities made several representations regarding their role in marine transportation security and the broader general concept of port administrations. One of the major issues was the creation of obligations, responsibilities and liabilities for port administrations with neither enforcement powers nor funding made available to them to implement the provisions. Some concerns were also expressed on the definitions and the application to public ports (which are not corporate bodies and are still under the Minister's management) and regarding the apparent overlapping of the marine facilities provisions with those geared towards port administrations.

Transport Canada's position is that port administrations shall be responsible for two security plans: by virtue of being an operator of a marine facility; and another for the port as a whole. The port security plan will address the port administration's role in oversight and coordination. Transport Canada will retain enforcement powers as this is a requirement of the ISPS Code and is an appropriate federal responsibility.

Labour involvement in the security process

Labour stakeholders requested greater involvement in the security planning process, including that of the marine facility security plans, and participation in port security committees. The proposed Regulations have been revised to make consultation with labour representatives mandatory in the security planning process. The participation on the port security committee of labour and others concerned or affected by security of the port is a matter of discretion for the committee chair.

Waterside security

Many stakeholders expressed concern on this issue, as the responsibility for waterside security was considered not sufficiently clear. There was a general consensus that waterside security must be the responsibility of Government and should not be delegated to vessel and facility operators. Transport Canada's position is that operators and port administrations will have to evaluate the need for waterside security and coordinate with Transport Canada and local law enforcement authorities. This matter remains under review.

Delivery of ships stores and bunkers

Marine facility stakeholders indicated that the obligation to screen ships' stores prior to being loaded onboard vessels once delivered is inappropriate, as is the requirement to escort stores' delivery vehicles to vessels. Some stakeholders were concerned about the lack of well-trained individuals to do this type of work as it involves the control, observation, inspection and search of persons or goods to prevent the unauthorized possession or carriage of weapons, explosives and incendiaries on board vessels and at marine facilities.

Transport Canada's position is that screening can include the inspection of ships' stores for package integrity and the prevention of tampering. Not all stores must be physically inspected. Screening can also include advance notification of delivery, coordination with vessels, inspecting a percentage of delivery vehicles, and controlling delivery vehicles in the marine facility.

Restricted areas — Access and definition

Marine facility stakeholders were concerned about the establishment of restricted access zones and the impacts such zones would have on seafarers' access to or through marine facilities. Transport Canada notes that the impact of this provision of the proposed Regulations will be mitigated during the development and implementation of security plans. For example, security plans will be required to identify the means by which seafarers would be authorized to pass through the facility.

Cruise ship facilities

A number of stakeholders noted that a number of responsibilities have been assigned to the marine facility that are actually carried out by the cruise ship operator. There were also concerns that the proposed Regulations do not provide enough flexibility. Transport Canada has consulted with cruise ship stakeholders and amended the proposed Regulations to address these concerns.

Screening

Stakeholders expressed concern on the definition of "authorized screening" and when such a screening is required. Screening for weapons, explosives or incendiaries was supported but not seen as viable without new personnel, training and equipment. Provisions were modified to indicate authorized screening would be carried out as appropriate to the level of risk (e.g. a dry bulk goods facility would have less screening than a cruise ship facility). Any authorized screening would be carried out in accordance with the MTSA.

Labour stakeholders also indicated that they would not submit to a search carried out by private security guards or other personnel, noting that such searches would have to be carried out by police officers. Transport Canada indicated that only personnel authorized under section 19 of the MTSA would carry out such searches.

Power to detain

A number of stakeholders expressed concern as to the enforcement of the proposed Regulations. They requested that the proposed Regulations include detention powers. This is not possible as the MTSA provides the regime for enforcing the Act and the proposed Regulations.

Application to marine facilities serving vessels under 500 tons gross tonnage

Stakeholders noted that the draft proposed Regulations applied to all vessels of more than 100 tons gross tonnage that engaged on international voyages. The ISPS Code requires regulation only of marine facilities serving SOLAS ships. Transport Canada noted that the higher standard was reached after a risk assessment, and to harmonize the proposed Regulations with the U.S. Maritime Security Rules. To accommodate facilities with only occasional traffic, provisions are included to apply the proposed Regulations in a manner consistent with the level of risk at such occasional use facilities.

Offshore facilities

The draft proposed Regulations included provisions for the security regulation of offshore facilities that interface with vessels subject to Part 2 — Vessels. Offshore facility operators, Natural Resources Canada, the National Energy Board, the Canada-Newfoundland Offshore Petroleum Board and the Canada-Nova Scotia Offshore Petroleum Board were concerned about potential regulatory duplication and conflict with other Acts and Accords. It was submitted that regulation of offshore facilities is not urgently required, as they are not included in the ISPS Code and there is little international traffic to and from offshore facilities on the continental shelf of Canada. The operators of shuttle tankers and supply vessels to offshore facilities, on the other hand, were concerned about the possibility of delays and restrictions on those vessels that do infrequently proceed directly to U.S. ports. In addition, direct traffic is expected to increase significantly in the next two to three years.

In response to these concerns, Transport Canada removed the offshore facility provisions from the proposed Regulations. Further discussions with all affected parties will be undertaken by Transport Canada in order to develop the appropriate regulatory regime.

Marine Facility Restricted Area Access Control Program

The draft proposed Regulations included a regulatory framework for a national program of background security checks of persons who require access to restricted areas of marine facilities. Stakeholders were concerned about the implementation process of the Program, implementation and operation costs, and the timeline for implementation.

In response to these concerns, Transport Canada removed the Program from the proposed Regulations. This will permit more time to build consensus with stakeholders on a range of issues surrounding this initiative.

Compliance and enforcement

Transport Canada realizes that the new marine transportation security regime involves cultural change, additional responsibilities and potential economic impacts, all within a very short time frame. The enforcement approach that Transport Canada will adopt will be based on prevention, detection and deterrence. However, the MTSA provides a number of enforcement measures that may be used in the event of non-compliance.

Under subsection 23(1) of the MTSA, a security inspector may board and inspect a vessel or enter and inspect a marine facility to ensure compliance with the Act and the proposed Regulations. Subsection 23(2) of the Act gives a security inspector the power to require persons to answer questions or produce or copy documents, to seize anything that might afford evidence of an offence under the Act and to detain vessels.

Subsection 25(4) provides that a person who contravenes the Act may be proceeded against by indictment, in which case the maximum penalty for an individual is $10,000, one-year imprisonment or both, and for a corporation, $200,000, or by summary conviction, in which case the maximum penalty for an individual is $5,000, six-month imprisonment or both, and for a corporation, $100,000. Transport Canada is also pursuing the establishment of an administrative monetary penalty scheme under amendments to the MTSA. Such a scheme would provide for more efficient enforcement action and recourse to the Transportation Appeal Tribunal of Canada.

Enforcement activities will be coordinated with other government departments and agencies. To this end, memoranda of understanding will be developed with the Canadian Coast Guard, the Marine Safety Branch of Transport Canada and the Canadian Border Services Agency. Trained security inspectors in the Security and Emergency Preparedness Branch of Transport Canada will review all security plans and address in detail concerns identified by other government departments and agencies.

Inspection and enforcement will be coordinated with other port state control activities. Port state control refers to activities by nations to ensure the compliance of vessels in their waters with relevant conventions, acts and regulations on environmental protection and safety.

During implementation, Transport Canada will use an incremental approach of staged levels of awareness, education and enforcement. The goal is to create a fair and equitable compliance and enforcement environment that allows industry to take corrective actions first. Resorting to alternative enforcement actions in the absence of any such actions is not the preferred solution, but will be used, if necessary.

Contact

Ms. Joanne St-Onge, Chief, Marine Security Regulations (ABAE), Security and Emergency Preparedness, Transport Canada, Place de Ville, Tower C, 13th Floor, 330 Sparks Street, Ottawa, Ontario K1A 0N5, (613) 949-0655 (telephone), (613) 990-5046 (facsimile), mtsr-stm@tc.gc.ca (electronic mail).

PROPOSED REGULATORY TEXT

Notice is hereby given that the Governor in Council, pursuant to section 5 of the Marine Transportation Security Act (see footnote a), proposes to make the annexed Marine Transportation Security Regulations.

Interested persons may make representations with respect to the proposed Regulations to the Minister of Transport within 30 days after the date of publication of this notice. All such representations must cite the Canada Gazette, Part I, and the date of publication of this notice. Each representation must be in writing and be sent to Joanne St-Onge, Chief, Marine Security Regulations, Department of Transport, Place de Ville, Tower C, 13th Floor, 330 Sparks Street, Ottawa, Ontario K1A 0N8. (Tel.: (613) 949-0655; fax: (613) 990-5046; e-mail: stongej@tc.gc.ca)

Persons making representations should identify any of those representations the disclosure of which should be refused under the Access to Information Act, in particular under sections 19 and 20 of that Act, and should indicate the reasons why and the period during which the representations should not be disclosed. They should also identify any representations for which there is consent to disclosure for the purposes of that Act.

Ottawa, March 30, 2004

EILEEN BOYD
Assistant Clerk of the Privy Council

MARINE TRANSPORTATION SECURITY REGULATIONS

INTERPRETATION

1. The following definitions apply in these Regulations.

"Act" means the Marine Transportation Security Act. (Loi)

"CDC facility" means a marine facility that interfaces with vessels to which Part 2 applies and that carry certain dangerous cargoes. (installation CCD)

"certain dangerous cargoes" means dangerous goods, other than products, substances or organisms identified in Class 3, 4, 8 or 9 of the schedule to the Transportation of Dangerous Goods Act, 1992, that are carried in bulk. (certaines cargaisons dangereuses)

"contracting government" means the government of a state that is a signatory to SOLAS. (gouvernement contractant)

"cruise ship" means a vessel to which Part 2 applies and that has sleeping facilities for over 100 persons who are not crew members, but does not include a ferry. (navire de croisière)

"cruise ship terminal" means a marine facility that interfaces with cruise ships. (terminal de navire de croisière)

"dangerous goods" means dangerous goods as defined in section 2 of the Transportation of Dangerous Goods Act, 1992. (marchandises dangereuses)

"declaration of security" means an agreement between a vessel and a marine facility or another vessel that is required by section 228 or 315. (déclaration de sûreté)

"ferry" means a vessel that is limited in its use to the carriage of deck passengers or vehicles, or both, and operates on a short run on a frequent schedule between two or more points over the most direct water route. (traversier)

"ferry facility" means a marine facility that interfaces with ferries to which Part 2 applies. (installation pour traversiers)

"government vessel" means a vessel, other than one operated for a commercial purpose,

(a) that is owned by and is in the service of Her Majesty in right of Canada or that is in the exclusive possession of Her Majesty in that right; or
(b) that is owned by and is in the service of a foreign government or that is in the exclusive possession of a foreign government. (bâtiment d'État)

"interface" means the interaction that occurs when a vessel is directly and immediately affected by actions involving the movement of persons or goods to or from the vessel or the provision of services by a marine facility to or from the vessel. (interface)

"ISPS Code" means the International Ship and Port Facility Security Code, as incorporated into SOLAS. (Code ISPS)

"key" means a device, including a card, that is designed to allow entry to a restricted area and is issued to an individual by an operator of a marine facility or vessel or port administration. (clé)

"MARSEC level 1" means the level for which minimum security procedures are maintained at all times. (niveau MARSEC 1)

"MARSEC level 2" means the level for which security procedures additional to those of MARSEC level 1 are maintained for a limited period as a result of heightened risk of a security incident. (niveau MARSEC 2)

"MARSEC level 3" means the level for which security procedures additional to those of MARSEC level 1 and MARSEC level 2 are maintained for a limited period when a security incident is probable or imminent regardless of whether the specific target is identified. (niveau MARSEC 3)

"occasional-use marine facility" means a marine facility that, in a calendar year, has 10 or fewer interfaces with vessels to which Part 2 applies where no more than 5 of those interfaces involve a vessel on a fixed schedule with the facility. (installation maritime à usage occasionnel)

"passenger facility" means a marine facility that interfaces with passenger ships to which Part 2 applies. (installation pour passagers)

"pleasure craft" has the meaning assigned by section 2 of the Canada Shipping Act. (embarcation de plaisance)

"port administration" means

(a) the operator of a marine facility that is a port authority established under section 8 of the Canada Marine Act;
(b) the operator of a marine facility that is a harbour commission established under subsection 5(1) of the Harbour Commissions Act;
(c) an employee of the Department of Transport designated by the Minister as the security officer for a port as defined under paragraph 361(c); or
(d) in the absence of a port administration described in any of paragraphs (a) to (c), the operator of a marine facility that is identified in the agreement referred to in paragraph 362(d) to act as the port administration of the port. (organisme portuaire)

"restricted area pass" means a document issued by an operator of a marine facility or vessel or port administration that entitles the holder, during a specified period, to have access to specific restricted areas in vessels, marine facilities or ports. (laissez-passer de zone réglementée)

"SOLAS" means the International Convention for the Safety of Life at Sea, 1974, as amended from time to time. (SOLAS)

"towing vessel" means a vessel that engages in towing a vessel astern or alongside or in pushing a vessel ahead. (bâtiment remorqueur)

[2 to 10 reserved]

PART 1

GENERAL

11. An operator of a marine facility or vessel, or a port administration, shall maintain MARSEC level 1 at all times unless a higher MARSEC level is required by a security measure made by the Minister under section 7 of the Act.

12. The operator of a vessel to which Part 2 applies and the operator of a marine facility to which Part 3 applies, other than the operator of a marine facility that is referred to in paragraph (a), (b) or (c) of the definition "port administration", shall ensure that, where there is a significant demand from at least 5 per cent of the travelling public for services in either official language within the meaning of the Official Languages (Communications with and Services to the Public) Regulations,

(a) authorized screening is carried out by means that effectively enable communication with members of the public in the official language of their choice; and
(b) printed or pre-recorded material is provided in both official languages if the material is used in respect of screening.

[13 to 199 reserved]

PART 2

VESSELS

Interpretation

200. (1) The following definitions apply in this Part.

"non-SOLAS ship" means a vessel that is not a SOLAS ship, is engaged on a voyage from a port in one country to a port in another country and

(a) is more than 100 tons gross tonnage;
(b) carries more than 12 passengers;
(c) is 8 m or more in length and engaged in towing a barge astern or alongside or in pushing a barge, if the barge is carrying dangerous goods, other than products, substances or organisms identified in Class 4 of the schedule to the Transportation of Dangerous Goods Act, 1992, in bulk; or
(d) is a barge that is being towed astern or alongside or being pushed and that is carrying dangerous goods, other than products, substances or organisms identified in Class 4 of the schedule to the Transportation of Dangerous Goods Act, 1992, in bulk. (navire non ressortissant à SOLAS)

"operator" means, in respect of a vessel,

(a) the actual owner, if it is not registered, or the registered owner, if it is registered;
(b) a person having a beneficial interest in the vessel, including an interest arising under contract and any other equitable interest, other than an interest by way of a mortgage;
(c) a lessee or charterer of the vessel who is responsible for its navigation; or
(d) if the vessel is a barge referred to in paragraph (c) or (d) of the definition "non-SOLAS ship", the master or other person who has command or charge of the vessel that is towing or pushing the barge. (exploitant)

"SOLAS ship" means a vessel that

(a) is 500 tons gross tonnage or more or is carrying more than 12 passengers; and
(b) is engaged on a voyage from a port in one country to a port in another country other than a voyage solely on the Great Lakes and the St. Lawrence River as far seaward as a straight line drawn from Cap des Rosiers to West Point, Anticosti Island, and from Anticosti Island to the north shore of the St. Lawrence River along the meridian of longitude sixty-three degrees west. (navire ressortissant à SOLAS)

(2) For the purpose of interpreting the ISPS Code, "company" shall be read to mean "operator".

Application

201. (1) This Part applies to vessels in Canada and Canadian ships outside Canada that are SOLAS ships or non-SOLAS ships.

(2) This Part does not apply to pleasure craft, fishing vessels, government vessels or vessels without a crew that are in dry dock, dismantled or laid-up.

Ship Security Certificates

202. (1) The Minister shall issue an International Ship Security Certificate, in English or French, in respect of a Canadian ship that is a SOLAS ship if the requirements of paragraph 204(1)(b) and sections 205, 207 to 218, 220, 222 to 225 and 260 are met.

(2) The Minister shall issue a Canadian Vessel Security Certificate, in English or French, in respect of a vessel that is entitled to fly the Canadian flag and is a non-SOLAS ship if the requirements of paragraph 204(1)(b) and sections 205, 207 to 218, 220 and 260 are met.

(3) The Minister shall issue an interim International Ship Security Certificate or Canadian Vessel Security Certificate, as the case may be, in English or French, if the vessel security plan is approved but an inspection under section 23 of the Act has not yet been carried out to ensure compliance with the requirements referred to in subsection (1) or (2), as the case may be.

(4) A certificate issued under subsection (1) or (2) is valid while the vessel security plan is valid. An interim certificate is valid until the inspection is carried out.

Compliance

203. (1) The operator of a SOLAS ship that is entitled to fly the Canadian flag shall ensure that the requirements of sections 204 to 265 are met.

(2) The operator of a non-SOLAS ship that is entitled to fly the Canadian flag shall ensure that the requirements of sections 204 to 221 and 228 to 265 are met.

(3) The operator of a SOLAS ship that is entitled to fly the flag of a foreign state shall ensure

(a) that the requirements of sections 204 to 206, 219, 221 to 228, 234 to 256 and 260 to 265 are met; and

(b) except where there is a conflict with the requirements of sections 228 and 260 to 265, that the requirements of sections 7 and 9 to 13, other than sections 7.8, 7.9 and 9.2, of Part A of the ISPS Code are met.

(4) The operator of a non-SOLAS ship that is entitled to fly the flag of a foreign state shall ensure that the requirements of sections 204 to 206, 219, 221, 228, 234 to 256 and 260 to 265 are met.

Documents to Be Carried on Board

204. (1) Every vessel shall carry on board

(a) a certificate described in subsection (2);

(b) a vessel security plan approved

(i) in the case of a vessel entitled to fly the Canadian flag, by the Minister, and
(ii) in the case of a vessel entitled to fly the flag of a foreign state, by a contracting government or by a security organization referred to in section 9.2 of Part A of the ISPS Code;

(c) a continuous synopsis record issued by a contracting government, if the vessel is a SOLAS ship;

(d) a record of the last 10 calls at marine facilities; and

(e) a copy of the last 10 declarations of security.

(2) The certificate referred to in paragraph (1)(a) is

(a) in the case of a SOLAS ship that is entitled to fly the Canadian flag, a certificate issued under subsection 202(1) or (3);

(b) in the case of a non-SOLAS ship that is entitled to fly the Canadian flag, a certificate issued under subsection 202(2) or (3);

(c) in the case of a SOLAS ship that is entitled to fly the flag of a foreign state, an international ship security certificate, or an interim international ship security certificate, issued by the contracting government of that state; and

(d) in the case of a non-SOLAS ship that is entitled to fly the flag of a foreign state, a ship security document, or an interim ship security document, issued or approved by the contracting government of that state.

Operator of a Vessel

205. The operator of a vessel shall

(a) establish an administrative and organizational structure for the security of the vessel;

(b) provide every person who has responsibilities under this Part with the support needed to fulfil their responsibilities;

(c) designate in writing a company security officer and a vessel security officer, by name or by position, other than the position for which the designation is being made;

(d) operate the vessel in compliance with the vessel security plan and any temporary measures referred to in paragraph 209(h), a marine facility security plan or a port security plan;

(e) provide the master with the following information:

(i) the names of the parties responsible for appointing shipboard personnel, such as vessel management companies, crewing agents, contractors and concessionaires,
(ii) the names of the parties responsible for deciding the employment of the vessel, including the charterers if the vessel is under a charter-party, and
(iii) if the vessel is under a charter-party, the terms of the charter-party;

(f) ensure that vessel personnel have the ability to maintain their effectiveness while performing their duties in accordance with the requirements set out in the safe manning document; and

(g) in the case of a vessel that is entitled to fly the Canadian flag, ensure that the vessel security plan is developed in consultation with representatives of labour.

Master

206. (1) Nothing in this Part permits any person to constrain the master of a vessel from making or executing any decision that, in the professional judgment of the master, is necessary to maintain the safety and security of the vessel, including decisions

(a) to deny access to persons, other than operators and persons identified as authorized by a contracting government, or their goods;

(b) to refuse to load cargo, including containers or other closed cargo transport units; or

(c) to coordinate, with marine facility operators or port security officers, shore leave for vessel personnel or crew change, as well as access through marine facilities of visitors to the vessel, including representatives of seafarers' welfare and labour organizations.

(2) If a conflict between any safety and security requirements applicable to the vessel arises during its operations, the master shall give precedence to requirements intended to maintain the safety of the vessel and, in such a case, shall use any temporary procedures that the master determines appropriate under the circumstances and, to the highest possible degree, satisfy the security requirements of the prevailing MARSEC level.

(3) If the master uses temporary procedures, the master shall, as soon as practicable, inform

(a) if the vessel is in Canadian waters, a Marine Communications and Traffic Services Centre of the Canadian Coast Guard;

(b) if the vessel is a Canadian ship in the waters of a contracting government, the relevant maritime authority of that government and a Marine Communications and Traffic Services Centre of the Canadian Coast Guard; and

(c) if the vessel is a Canadian ship in other waters, a Marine Communications and Traffic Services Centre of the Canadian Coast Guard.

(4) The master shall provide the vessel security officer with the support necessary to carry out their duties on board the vessel.

Company Security Officer

General

207. (1) A company security officer may

(a) act in that capacity for more than one vessel if

(i) they are able to fulfil their responsibilities for each vessel, and
(ii) each vessel's security plan lists the other vessels for which they are responsible;

(b) have other responsibilities within the vessel operator's organization if they are able to fulfil the responsibilities of company security officer; and

(c) delegate tasks required by this Part.

(2) A company security officer remains responsible for the performance of the tasks they delegate.

Qualifications

208. A company security officer shall have, by training or job experience, knowledge and competence that is relevant to the industry in which the vessel operates and is in the following areas:

(a) the administrative and organizational structure for the security of the vessel;

(b) the operations and operating conditions of vessels, ports and marine facilities;

(c) the security procedures of vessels, ports, port administrations and marine facilities, including the meanings and the requirements of the different MARSEC levels;

(d) emergency preparedness and response and contingency planning;

(e) security equipment and systems and their operational limitations;

(f) methods of conducting audits and inspections;

(g) access control and monitoring techniques;

(h) methods of conducting on site surveys and vessel security assessments;

(i) methods of conducting physical searches and non-intrusive inspections;

(j) conducting and assessing security drills and exercises, including exercises with marine facilities;

(k) techniques for security training and education;

(l) relevant international conventions, codes, standards and recommendations;

(m) relevant legislation, regulations and security measures, rules and procedures;

(n) the responsibilities and functions of municipal, provincial and federal law enforcement agencies;

(o) methods for handling security-sensitive information and security-related communications;

(p) current security threats and patterns;

(q) the recognition and detection of weapons, explosives and incendiaries and other dangerous substances and devices;

(r) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security; and

(s) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems.

Responsibilities

209. A company security officer shall

(a) provide the vessel security officer with information regarding security threats and other information relevant to the vessel's security;

(b) ensure that the vessel security assessment and any amendments are submitted to the Minister for approval;

(c) ensure that the vessel security plan and any amendments are submitted to the Minister for approval;

(d) ensure that the vessel security plan, as amended from time to time, is implemented;

(e) ensure that security drills and exercises are conducted;

(f) ensure that the vessel's security activities are audited;

(g) as soon as practicable after a deficiency in the vessel security plan is identified, amend the plan to rectify the deficiency;

(h) ensure that temporary measures are implemented as soon as practicable to rectify any deficiency referred to in paragraph (g) until the vessel security plan is amended;

(i) ensure security awareness and vigilance on board the vessel;

(j) ensure that vessel personnel receive security training as required by this Part;

(k) ensure that the security orientation referred to in section 214 is provided;

(l) ensure that there is effective communication and cooperation between the vessel and marine facilities or other vessels with which the vessel interfaces;

(m) ensure that there is consistency between the security requirements and the safety requirements;

(n) if a vessel security plan is prepared for more than one vessel, ensure that the plan takes into account the characteristics specific to each vessel; and

(o) ensure that the safe manning document is applied in the development of security procedures.

Vessel Security Officer

General

210. (1) A vessel security officer

(a) shall, subject to paragraph (b), be a member of the crew;

(b) may, if they are the vessel security officer for a vessel of whose crew they are a member, act as the vessel security officer for a vessel without a crew if

(i) they are able to fulfil their responsibilities for each vessel, and
(ii) each vessel's security plan lists the other vessels for which they are responsible;

(c) may have other responsibilities within the vessel operator's organization if they are able to fulfil the responsibilities of vessel security officer;

(d) may delegate tasks required by this Part; and

(e) in the case of a towing vessel, shall coordinate its security procedures with those of any vessels that it is towing or pushing.

(2) A vessel security officer remains responsible for the performance of the tasks they delegate.

Qualifications

211. A vessel security officer shall have, by training or job experience, knowledge and competence that is relevant to the industry in which the vessel operates and is in the following areas:

(a) those set out for a company security officer in section 208;

(b) the layout of the vessel;

(c) the vessel security plan and its requirements;

(d) crowd management and control techniques; and

(e) the operation, testing, calibration and maintenance of security equipment and systems.

Responsibilities

212. A vessel security officer shall

(a) while the vessel is in operation, conduct inspections of the vessel at the frequency specified in the vessel security plan to ensure compliance with the requirements of this Part;

(b) implement the vessel security plan, as amended from time to time;

(c) conduct audits of the vessel security plan as required by this Part;

(d) coordinate the implementation of the vessel security plan with the company security officer and, if applicable, with the port security officer and the marine facility security officer;

(e) as soon as practicable after a deficiency in the vessel security plan is identified, report it to the company security officer and implement the action necessary to rectify the deficiency;

(f) propose amendments to the vessel security plan to the company security officer to rectify any deficiencies;

(g) ensure security awareness and vigilance on board the vessel, including awareness of changes in the MARSEC level and other circumstances that might affect work conditions on board;

(h) ensure that security training is provided to the vessel's personnel in accordance with this Part;

(i) report security threats and security incidents to the master, the company security officer, the appropriate law enforcement agencies and the Minister as soon as possible after they occur and conduct an investigation into them;

(j) report security breaches to the Minister as soon as possible after they occur; and

(k) ensure that security equipment is operated, tested, calibrated and maintained in compliance with the vessel security plan.

Vessel Personnel with Security Responsibilities

213. Vessel personnel who have responsibilities respecting the security of a vessel, other than the company security officer or vessel security officer, shall have, by training or job experience, knowledge and competence that is relevant to the industry in which the vessel operates in any of the following areas that relate to their responsibilities:

(a) current security threats and patterns;

(b) the recognition and detection of weapons, explosives and incendiaries and other dangerous substances and devices;

(c) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security;

(d) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems;

(e) crowd management and control techniques;

(f) security-related communications;

(g) emergency preparedness and response and contingency planning;

(h) the operation, testing, calibration and maintenance of security equipment and systems;

(i) inspection and monitoring techniques;

(j) methods of performing physical searches of persons and goods, including personal effects, baggage, ships' stores and cargo;

(k) the relevant provisions of the vessel security plan; and

(l) the meanings and the requirements of the different MARSEC levels.

Vessel Personnel without Security Responsibilities

214. All vessel personnel, including contractors, whether temporary or permanent, shall receive security orientation with respect to the following:

(a) the meanings of the different MARSEC levels, the procedures at each level and the emergency procedures and contingency plans;

(b) the recognition and detection of weapons, explosives and incendiaries and other dangerous substances and devices;

(c) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security; and

(d) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems.

Security Drills and Exercises

General

215. Security drills and exercises shall test the proficiency of vessel personnel in carrying out their assigned security responsibilities at all MARSEC levels and the effective implementation of the vessel security plan and shall enable the vessel security officer to identify any related security deficiencies that need to be rectified.

Security Drills

216. (1) A vessel security officer shall ensure that a security drill is conducted at least once every three months, except when the vessel is out of service, in which case the officer shall ensure that a drill is conducted within one week after the vessel is back in service. Security drills may be conducted with other drills, if appropriate.

(2) Security drills shall test individual elements of the vessel security plan, including responses to security threats, breaches of security and security incidents, and shall take into account, in respect of the vessel, the types of operations, personnel changes and other relevant circumstances.

(3) If the vessel is moored at a marine facility on the date on which the facility has planned to conduct a security drill, the vessel may participate in the drill at the request of the facility.

(4) If, at any given time, more than 25 per cent of the vessel's permanent crew have not participated in a security drill on board the vessel within the previous three months, a security drill shall be conducted within one week.

(5) If a vessel is involved in the implementation of security procedures at MARSEC level 2 or MARSEC level 3 following a security incident, the implementation of the procedures is equivalent to a security drill.

Security Exercises

217. (1) Security exercises

(a) shall fully test the vessel security plan and include the substantial and active participation of personnel on board who have security responsibilities;

(b) may include the participation of governmental authorities or personnel from marine facilities, port administrations or other vessels who have security responsibilities, depending on the scope and the nature of the exercises;

(c) may be performed with respect to only the vessel or as part of a cooperative program to test the vessel security plan of another vessel or a marine facility or port security plan; and

(d) shall test the communication and notification procedures, elements of coordination, resource availability and response.

(2) Security exercises shall be conducted at least once every calendar year with no more than 18 months between them.

(3) Security exercises may be

(a) full-scale;

(b) a tabletop simulation or seminar;

(c) combined with other appropriate exercises; or

(d) a combination of two or more of the elements set out in paragraphs (a) to (c).

Record Keeping

218. (1) A vessel security officer shall keep the following records:

(a) details of security training, including the date, duration and description and the names of the participants;

(b) details of security drills and exercises, including the date and description, the names of the participants and any best practices or lessons learned that might improve the vessel security plan;

(c) details of security threats, breaches of security and security incidents, including the date, time, location and description, the response to them and the person to whom they were reported;

(d) records of changes in the MARSEC level, including the date, the time that notification was received and the time of compliance with the requirements of the new level;

(e) records of maintenance, calibration and testing of equipment used for security, including the date and time of the activity and the equipment involved;

(f) the last 10 declarations of security and of each continuing declaration of security for at least 90 days after the end of its effective period;

(g) a continuous synopsis record issued by the Minister;

(h) a record of the last 10 calls at marine facilities;

(i) a record of each annual audit of the vessel security plan that includes, for each annual audit, a letter from the company security officer or the vessel security officer that certifies the day on which the audit was completed;

(j) a copy of the vessel security assessment and details of each periodic review of the vessel security assessment, including the date on which it was conducted and the findings of the review;

(k) the approved vessel security plan and details of each periodic review of the vessel security plan, including the date on which it was conducted, the findings of the review and any amendments to the plan that are recommended;

(l) details of each amendment to the vessel security plan, including the date of its approval and of its implementation;

(m) a list, by name or position, of the vessel personnel who have security responsibilities; and

(n) records of inspections, including the date on which they are conducted.

(2) Records respecting equipment that is not used exclusively for security may be kept separately from records respecting equipment that is used exclusively for security if

(a) the vessel security officer documents, in written or electronic form, the existence of the records respecting equipment that is not used exclusively for security, their location and the name or position of the person responsible for keeping them; and

(b) the records respecting equipment that is not used exclusively for security are accessible by the vessel security officer.

(3) The vessel security officer shall ensure that the records set out in subsection (1) are kept for at least two years after they are made and shall make them available to the Minister on request, but shall ensure that the copy of the vessel security assessment and the approved vessel security plan are kept for at least two years after the expiry of the plan.

(4) The records shall be protected from unauthorized access or disclosure.

(5) The records may be kept in electronic format if they are protected from deletion, destruction and revision.

(6) No person shall disclose security information contained in the records, unless the disclosure is for the purpose of complying with these Regulations.

MARSEC Level Coordination and Implementation of Procedures

219. (1)The operator of a vessel shall, before the vessel interfaces with a marine facility, ensure that all procedures that are established in the vessel security plan for compliance with the MARSEC level in effect for that marine facility are implemented.

(2) When notified of an increase in the MARSEC level, the master of a vessel shall

(a) acknowledge receipt of the notification;

(b) if the MARSEC level for a marine facility with which the vessel is about to interface is raised to a higher level, ensure that the vessel complies, without undue delay, before interfacing with the facility and no later than 12 hours after being notified of the higher level, with all the procedures established in the vessel security plan for compliance with that higher MARSEC level;

(c) if the vessel is in Canadian waters, notify a Marine Communications and Traffic Services Centre of the Canadian Coast Guard when all the procedures established in the vessel security plan for compliance with that higher MARSEC level have been implemented;

(d) if the vessel is a Canadian ship in the waters of a contracting government, notify the relevant maritime authority of that government;

(e) if the vessel is a Canadian ship in other waters, notify a Marine Communications and Traffic Services Centre of the Canadian Coast Guard; and

(f) brief all vessel personnel on identified security threats, emphasize reporting procedures and stress the need for increased vigilance.

(3) If there has been a change in the MARSEC level from that reported in the pre-arrival information required by section 221, the master shall immediately notify a Marine Communications and Traffic Services Centre of the Canadian Coast Guard.

Communications

220. (1) The vessel security officer shall have the means to notify all vessel personnel of changes in security conditions on board the vessel.

(2) The vessel shall have communication systems and procedures that allow for effective communications

(a) between personnel with security responsibilities with respect to the vessel and marine facilities, ports and other vessels interfacing with the vessel; and

(b) with the Minister and local law enforcement agencies.

(3) The communication systems shall have a backup to ensure internal and external communications.

Pre-arrival Information

221. (1) The master of a vessel shall ensure that the vessel does not enter Canadian waters unless the master reports pre-arrival information at the following time to the Department of Transport in accordance with the instructions set out in the most recent edition of the Canadian Coast Guard Radio Aids to Marine Navigation:

(a) if the duration of the segment of the voyage before entering Canadian waters is less than 24 hours, as soon as practicable before entering Canadian waters but no later than the time of departure from the last port of call;

(b) if the duration of the segment of the voyage before entering Canadian waters is less than 96 hours but more than 24 hours, at least 24 hours before entering Canadian waters; or

(c) at least 96 hours before entering Canadian waters.

(2) The pre-arrival information in respect of a vessel shall consist of the following:

(a) its name;

(b) its country of registry;

(c) the name of its registered owner;

(d) the name of its operator;

(e) the name of its classification society;

(f) its international radio call sign;

(g) its International Ship Security Certificate, Canadian Vessel Security Certificate or ship security document number;

(h) its International Maritime Organization number, if it is a SOLAS ship;

(i) the date of issuance, date of expiry and name of the issuing body of its International Ship Security Certificate, Canadian Vessel Security Certificate or ship security document;

(j) confirmation that the vessel has an approved vessel security plan;

(k) the current MARSEC level;

(l) a statement of when its last 10 declarations of security were completed;

(m) details of any security threats to the vessel during the last ten calls at marine facilities;

(n) a statement as to whether the vessel consents to tracking by the Canadian Coast Guard;

(o) details of any deficiencies in its security equipment and systems, including the communication systems, and the way in which the master of the vessel intends to rectify them;

(p) the name of its Canadian or American agent;

(q) the name of its charterer, if applicable;

(r) its position and the time at which it reached that position;

(s) its course and speed;

(t) its destination and estimated time of arrival at its destination;

(u) the name of a contact person and their 24-hour telephone and facsimile numbers;

(v) the following information in respect of its last 10 marine facilities visited:

(i) the receiving facility,
(ii) the marine facility visited,
(iii) the city and country,
(iv) the date and time of arrival, and
(v) the date and time of departure;

(w) a general description of the cargo, including the cargo amount; and

(x) if applicable, the presence and description of any dangerous substances or devices on board.

(3) If the master reported pre-arrival information more than 24 hours before entering Canadian waters, the master of a vessel shall ensure that the vessel does not enter Canadian waters unless the master reports any change in that information 24 hours before entering Canadian waters to the Department of Transport in accordance with the instructions set out in the most recent edition of the Canadian Coast Guard Radio Aids to Marine Navigation.

Vessel Security Alert System

222. (1) For the purposes of this section, a vessel is constructed on the earliest of

(a) the day on which its keel is laid,

(b) the day on which construction identifiable with a specific vessel begins, and

(c) the day on which the assembly of the vessel reaches the lesser of 50 tonnes and 1 per cent of the estimated mass of all structural material of the vessel.

(2) The operator of a vessel shall ensure that the vessel is equipped with a vessel security alert system

(a) not later than the day of the first survey of its radio installation after July 1, 2004 if the vessel was constructed before July 1, 2004 and is

(i) a passenger vessel, including a passenger high-speed craft, or
(ii) an oil tanker, a chemical tanker, a gas carrier, a bulk carrier or a cargo high-speed craft that is 500 tons gross tonnage or more;

(b) not later than the day of the first survey of its radio installation after July 1, 2006 if the vessel was constructed before July 1, 2004 and is

(i) a cargo vessel, other than one referred to in subparagraph (a)(ii), that is 500 tons gross tonnage or more, or
(ii) a mobile offshore drilling unit; or

(c) before it is operated if the vessel was constructed on or after July 1, 2004.

(3) A vessel's radio installation may be used as the vessel security alert system if it meets the requirements of Chapter IV of SOLAS and those of sections 223 to 225.

223. (1) The vessel security alert system shall

(a) be capable of being activated from the navigation bridge and at least one other location;

(b) comply with

(i) International Maritime Organization Resolution MSC.136(76), annex 7, Performance Standards for a Ship Security Alert System, as amended from time to time, if the system was installed before July 1, 2004, or
(ii) International Maritime Organization Resolution MSC.147(77), annex 5, Performance Standards for a Ship Security Alert System, as amended from time to time, if the system is installed on or after July 1, 2004; and

(c) be equipped with activation points designed to prevent its inadvertent initiation.

(2) For the purpose of interpreting the annexes referred to in paragraph (1)(b), "should" shall be read to mean "shall".

224. The vessel security alert system, when activated,

(a) shall, if the security of the vessel is under threat or has been compromised, initiate and transmit a vessel-to-shore security alert to the nearest marine rescue coordination centre identifying the vessel and its position and indicating that the security of the vessel is under threat or has been compromised;

(b) shall not send a security alert to another vessel;

(c) shall not raise an alarm on board the vessel; and

(d) shall continue the security alert until it is deactivated or reset.

225. (1) The radio system used for a vessel security alert system shall comply with relevant international standards.

(2) If the vessel security alert system is powered from the vessel's main source of electrical power, it shall also be possible to operate the system from another source of power.

226. If a Canadian marine rescue coordination centre notifies the Minister that it has received a vessel security alert, the Minister shall immediately notify the contracting governments in the vicinity of which the vessel is operating and, in the case of a Canadian ship, its operator.

227. If a Canadian marine rescue coordination centre notifies the Minister that it has received a vessel security alert from a vessel that is entitled to fly the flag of a foreign state, the Minister shall immediately notify the contracting government of that vessel and, if appropriate, of the countries in the vicinity of which the vessel is operating.

Declaration of Security

228. (1) A declaration of security shall be completed before an interface starts between a vessel and a marine facility or another vessel if

(a) they are operating at different MARSEC levels;

(b) one of them does not have a security plan approved by a contracting government or by a security organization referred to in section 9.2 of Part A of the ISPS Code;

(c) one of them has experienced a security threat or security incident within two years before the day on which the declaration is completed;

(d) the interface involves a cruise ship, a vessel carrying certain dangerous cargoes or the loading or transfer of certain dangerous cargoes; or

(e) the security officer of either of them identifies security concerns about the interface.

(2) A new declaration of security is required if there is a change in the MARSEC level.

(3) The declaration shall provide a means for ensuring that all shared security concerns are fully addressed throughout the interface and shall contain the information set out in the form in Appendix 1 of Part B of the ISPS Code, with the terms "ship", "port facility" and "security measures" replaced by "vessel", "marine facility" and "security procedures", respectively.

(4) The declaration shall be in English or French and be signed by the vessel security officer and the marine facility security officer or the vessel security officers, as the case may be.

(5) A vessel security officer or a marine facility security officer may authorize in writing a person who has security responsibilities on the vessel or marine facility and appropriate training to complete and sign the declaration on their behalf.

(6) At MARSEC level 1 and MARSEC level 2, a continuing declaration of security may be used for multiple interfaces between a vessel and a marine facility or another vessel if the effective period of the declaration does not exceed

(a) 90 days at MARSEC level 1; or

(b) 30 days at MARSEC level 2.

(7) In the case of a vessel entering the St. Lawrence Seaway, a declaration of security that is completed on its entry into the first lock remains in effect until it exits the St. Lawrence Seaway at the St. Lambert Lock or the Welland Canal at Port Colborne.

Vessel Security Assessment

General

229. The persons who conduct a vessel security assessment shall have, collectively, the competence to evaluate the security of the vessel, including knowledge that is relevant to the industry in which the vessel operates, in the following areas:

(a) current security threats and patterns;

(b) the detection and recognition of weapons, explosives and incendiaries and other dangerous substances and devices;

(c) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security;

(d) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems;

(e) methods used to cause a security incident;

(f) the effects of dangerous substances and devices on vessels and their equipment;

(g) vessel security requirements;

(h) vessel-to-vessel and vessel-to-marine facility interface business practices;

(i) emergency preparedness and response and contingency planning;

(j) physical security requirements;

(k) radio and telecommunications systems, including computer systems and networks;

(l) marine engineering; and

(m) vessel and marine facility operations.

Security Assessment Information

230. The company security officer shall ensure that the following security assessment information is provided to persons who conduct the on-site survey and vessel security assessment:

(a) the general layout of the vessel, including the location of

(i) actual and potential points of access to the vessel and their function,
(ii) areas that should have restricted access,
(iii) essential maintenance equipment,
(iv) stowage and cargo spaces, including storage areas for essential maintenance equipment, ships' stores, cargo and unaccompanied baggage, and
(v) ships' stores;

(b) security threat assessments, including the purpose and methodology of the assessment, for the area in which the vessel operates or at which passengers embark or disembark and the types of cargo being carried by the vessel;

(c) a copy of any previous security assessment prepared for the vessel;

(d) a list of the emergency and stand-by equipment available to maintain essential services;

(e) changes in the tide that might have an impact on the vulnerability or security of the vessel;

(f) the number of vessel personnel, the security duties of persons with security responsibilities and existing security training requirements;

(g) a list of existing security and safety equipment for the protection of personnel, visitors and passengers;

(h) details of escape and evacuation routes and assembly stations that have to be maintained to ensure the orderly and safe emergency evacuation of the vessel;

(i) copies of existing agreements with persons or organizations that provide security services; and

(j) details of security procedures in effect, including inspection and access control procedures, identification systems, surveillance and monitoring equipment, personnel identification documents, communication, alarm, lighting, access control and other security systems.

On-site Survey

231. The company security officer shall ensure that an on-site survey of the vessel is conducted that examines and evaluates protective measures, procedures and operations in effect on board the vessel to

(a) ensure the performance of all vessel security duties;

(b) control access to the vessel through the use of identification systems or otherwise;

(c) control the embarkation of vessel personnel and other persons and their goods, including personal effects and baggage, whether accompanied or unaccompanied;

(d) supervise the handling of cargo and the delivery of ships' stores;

(e) monitor restricted areas and other areas that have restricted access to ensure that only authorized persons have access;

(f) monitor the deck areas and areas adjacent to the vessel; and

(g) ensure the ready availability of security communication systems, information and equipment.

Analysis and Recommendations

232. The persons who conduct a vessel security assessment shall take into account the security assessment information, the on-site survey and the requirements of this Part and provide recommendations for security procedures that shall be established in the vessel security plan, including recommendations respecting

(a) restricted areas;

(b) response procedures for fire or other emergency conditions;

(c) security supervision of all persons on board;

(d) the frequency and effectiveness of security patrols;

(e) access control systems, including identification systems;

(f) security communication systems and procedures;

(g) security doors, barriers and lighting;

(h) security and surveillance equipment and systems;

(i) potential security threats and the following types of security incidents:

(i) damage to, or destruction of, the vessel or an interfacing marine facility or vessel by explosive devices, arson, sabotage or vandalism,
(ii) tampering with the essential equipment or systems, stores or cargo of the vessel,
(iii) the unauthorized access to or use of the vessel, including the presence of stowaways,
(iv) the smuggling on board of weapons, explosives, incendiaries or other dangerous substances or devices, including weapons of mass destruction,
(v) the use of the vessel or its equipment as a weapon or as a means to cause damage or destruction,
(vi) the hijacking or seizure of the vessel or persons on board, and
(vii) attacks on the vessel while at berth, at anchor or at sea; and

(j) the evaluation of the potential of each identified point of access, including open decks, that could be used by individuals who might try to breach security, whether or not those individuals legitimately have access to the vessel.

Content

233. (1) The vessel security assessment shall be written in English or French and shall contain

(a) a summary of how the on-site survey was conducted;

(b) details of existing security procedures and operations;

(c) a description of each vulnerability found during the assessment;

(d) a description of security procedures that should be used to address each vulnerability;

(e) a list of the key vessel operations that are important to protect;

(f) conclusions as to the likelihood of possible security threats to key vessel operations; and

(g) a list of identified weaknesses, including human factors, in the infrastructure, policies and procedures relating to the vessel.

(2) A vessel security assessment shall address the following elements in respect of the vessel:

(a) its physical security;

(b) its structural integrity;

(c) personnel protection systems;

(d) security procedures;

(e) its radio and telecommunication systems, including computer systems and networks; and

(f) any other element on board the vessel that might, if damaged or used illicitly, pose a risk to people, property or operations on board the vessel or at a marine facility.

(3) The vessel security assessment shall consider the security of all persons and the activities, services, operations, capacities and goods that are important to protect, including

(a) the capacity to maintain safe navigation and emergency response;

(b) cargo, particularly dangerous goods or substances;

(c) ships' stores;

(d) the vessel's security communication and surveillance systems, if any; and

(e) any other security systems on the vessel.

(4) The vessel security assessment shall take into account all possible vulnerabilities, including those resulting from

(a) any conflict between safety and security requirements;

(b) any conflict between duties on board and security assignments;

(c) the impact of watchkeeping duties and fatigue on vessel personnel alertness and performance;

(d) security training deficiencies; and

(e) deficiencies in security equipment and systems, including communication systems.

Vessel Security Plan

General

234. (1) A vessel security plan shall

(a) state the name of the vessel's operator;

(b) identify the company security officer by name or, if they hold another position, by position, and provide 24-hour contact information;

(c) in the case of vessel entitled to fly the Canadian flag, be written in English or French;

(d) be based on the vessel security assessment;

(e) address each vulnerability identified in the vessel security assessment;

(f) establish that the vessel's master has the overriding authority and responsibility to make decisions with respect to the security of the vessel and to request the assistance of the operator or contracting government when necessary; and

(g) identify the locations of the vessel security alert system activation points.

(2) The vessel security plan shall address the following:

(a) procedures designed to prevent weapons, explosives, incendiaries, dangerous substances and devices that are intended for use against persons, vessels or marine facilities and whose carriage is not authorized from being taken on board the vessel;

(b) procedures for the prevention of unauthorized access to the vessel that include the security procedures set out in sections 236 to 239 and, if applicable, sections 260 and 264;

(c) procedures for the establishment of restricted areas as provided for in section 240;

(d) procedures for preventing unauthorized access to restricted areas that include the security procedures set out in sections 241 to 243;

(e) procedures for cargo handling and for ships' stores and bunkers that include the security procedures set out in sections 244 to 251;

(f) procedures for monitoring the vessel, the restricted areas on board the vessel and the area surrounding the vessel that include the security procedures set out in sections 252 to 255;

(g) procedures for responding to security threats, breaches of security and security incidents, including provisions for maintaining critical operations of the vessel or for vessel and marine facility interfacing, that include the security procedures set out in section 256;

(h) procedures for responding to any security instructions a contracting government may give at MARSEC level 3 in respect of a specific security threat;

(i) other security procedures for each MARSEC level;

(j) procedures for evacuation in case of security threats, breaches of security or security incidents;

(k) duties of shipboard personnel assigned security responsibilities and of other shipboard personnel on security related matters;

(l) procedures for auditing the security activities;

(m) procedures for training, drills and exercises associated with the plan;

(n) procedures for interfacing with marine facilities and other vessels at all MARSEC levels;

(o) procedures for declarations of security;

(p) procedures for the periodic review of the plan and for updating it;

(q) procedures for reporting security incidents;

(r) procedures to ensure the inspection, testing, calibration and maintenance of any security equipment on board;

(s) the frequency for testing or calibration of any security equipment on board;

(t) the frequency of inspections of the vessel; and

(u) procedures, instructions and guidance on the use of the vessel security alert system, including its testing, activation, deactivation and resetting and how to limit false alerts.

Format

235. The vessel security plan shall include the following individual sections and, if the plan does not list the sections in the following order, it shall contain an index that identifies the location of the sections:

(a) organizational structure for the security of the vessel;

(b) personnel training;

(c) drills and exercises;

(d) records and documentation;

(e) response to a change in the MARSEC level;

(f) procedures for interfacing with marine facilities and other vessels;

(g) declarations of security;

(h) communications;

(i) security systems and equipment maintenance;

(j) security procedures for access control;

(k) security procedures for restricted areas;

(l) security procedures for handling cargo;

(m) security procedures for delivery of ships' stores and bunkers;

(n) security procedures for monitoring;

(o) procedures for security threats, breaches of security and security incidents;

(p) audits and vessel security plan amendments; and

(q) vessel security assessment summary.

Security Procedures for Access Control

General

236. (1) At all MARSEC levels, security procedures shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, to control access to the vessel (in particular, access to ladders, access gangways, access ramps, access doors, side scuttles, windows and ports, hatches, mooring lines, anchor chains, cranes and hoisting gear) and to

(a) deter the unauthorized introduction of weapons, explosives and incendiaries and other dangerous substances and devices;

(b) carry out authorized screening; and

(c) secure weapons, explosives and incendiaries and other dangerous substances and devices that are authorized to be on board.

(2) The vessel security plan shall ensure that the following are established at each MARSEC level:

(a) the type of restriction or prohibition to be applied and the means of enforcing it; and

(b) the means of identification required to allow persons to board the vessel and remain on the vessel without having their identity questioned.

(3) The vessel security plan shall ensure that an identification system for verifying the identification of vessel personnel or other persons seeking to board the vessel is established that

(a) allows the identification of authorized persons, temporarily or permanently, at each MARSEC level;

(b) is coordinated, when practicable, with identification systems at marine facilities used by the vessel; and

(c) is updated regularly.

(4) The vessel security plan shall indicate the frequency of application of any security procedure for access control, particularly if the security procedure is applied on a random or occasional basis.

MARSEC Level 1

237. At MARSEC level 1, security procedures for access control shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, including

(a) the authorized screening of persons and goods at a frequency specified in the plan;

(b) verifications of the identification of any person seeking to board the vessel and examining at least one of the following:

(i) joining instructions,
(ii) a passenger ticket,
(iii) a boarding pass,
(iv) work orders or surveyor orders,
(v) governmental identification,
(vi) a restricted area pass, or
(vii) visitor badges issued in accordance with an identification system;

(c) the denial or revocation of a person's authorization to be on board if the person is unable or unwilling, at the request of vessel personnel, to establish their identity or to account for their presence on board;

(d) reporting of any incident referred to in paragraph (c) to the company security officer, vessel security officer, marine facility security officer, port security officer, if applicable, and the appropriate law enforcement agencies;

(e) means to deter unauthorized access to the vessel;

(f) the identification of access points that must have secured means of entry or be attended to deter unauthorized access;

(g) the locking of, or the prevention in some other way of access to, unattended spaces that adjoin areas to which passengers and visitors have access;

(h) the provision of a designated secure area on board or, in liaison with a marine facility, at a marine facility, for conducting the authorized screening of persons and goods;

(i) the authorized screening of vessel personnel or their goods by other vessel personnel, if it is clearly required for security reasons;

(j) the segregation of persons who and their goods that have been through authorized screening from other persons and their goods;

(k) the segregation of embarking passengers from disembarking passengers;

(l) the authorized screening before loading, at the frequency specified in the vessel security plan and in liaison with a marine facility, of a defined percentage of vehicles to be loaded aboard a passenger vessel;

(m) the authorized screening before loading, in liaison with a marine facility, of all unaccompanied vehicles to be loaded on a passenger vessel; and

(n) a response to the presence of unauthorized persons on board, including the expulsion of unauthorized boarders.

MARSEC Level 2

238. At MARSEC level 2, additional security procedures for access control shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, including

(a) an increase in the frequency and detail of the authorized screening of persons and goods;

(b) the authorized screening of all unaccompanied baggage by means of X-ray equipment;

(c) the assignment of additional personnel to patrol deck areas during periods of reduced vessel operations to deter unauthorized access;

(d) a reduction in the number of access points to the vessel;

(e) the denial of access to visitors who do not have a verified destination;

(f) the deterrence of waterside access to the vessel, which may include, in liaison with a marine facility or a port administration, providing boat patrols; and

(g) if the vessel is at a marine facility, the establishment of a restricted area on the shoreside of the vessel, in close cooperation with the facility.

MARSEC Level 3

239. At MARSEC level 3, additional security procedures for access control shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, including

(a) the authorized screening of all persons and goods;

(b) the performance of one or more of the following procedures on unaccompanied baggage:

(i) more extensive authorized screening, such as X-raying it from two or more angles,
(ii) preparing to restrict or suspend handling it, and
(iii) refusing to accept it on board;

(c) preparation for cooperating with response organizations and marine facilities;

(d) the limitation of access to the vessel to a single, controlled access point;

(e) the granting of access to only those responding to the security incident or security threat;

(f) the suspension of embarkation or disembarkation activities;

(g) the suspension of operations related to cargo;

(h) the evacuation of the vessel;

(i) the movement of the vessel; and

(j) the preparation for a full or partial search of the vessel.

Security Procedures for Restricted Areas

Establishment of Restricted Areas

240. (1) At all MARSEC levels, security procedures for restricted areas shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, in order to

(a) prevent or deter unauthorized access;

(b) protect the vessel, security areas within the vessel, security and surveillance equipment and systems and persons authorized to be on board; and

(c) protect cargo and ships' stores from tampering.

(2) Restricted areas shall be established for areas containing

(a) the navigation bridge, machinery spaces and other control stations;

(b) spaces containing security and surveillance equipment and systems and their controls and lighting system controls;

(c) ventilation and air-conditioning systems and other similar spaces;

(d) spaces with access to potable water tanks, pumps or manifolds;

(e) spaces containing dangerous goods or hazardous substances;

(f) spaces containing cargo pumps and their controls;

(g) cargo spaces and spaces containing ships' stores;

(h) crew accommodations; and

(i) any other spaces or areas vital to the security of the vessel.

(3) The vessel security plan shall contain procedures to

(a) identify vessel personnel who are authorized to have access;

(b) determine the persons other than vessel personnel who are authorized to have access;

(c) determine the conditions under which vessel personnel or other persons are authorized to have access;

(d) define the extent of any restricted area;

(e) establish the times when access restrictions apply; and

(f) the posting of notices in accordance with section 21 of the Act.

MARSEC Level 1

241. At MARSEC level 1, the following security procedures for restricted areas shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) the locking or securing of access points;

(b) the monitoring and use of surveillance equipment;

(c) the use of guards or patrols; and

(d) the use of automatic intrusion detection devices to alert vessel personnel to unauthorized access by the activation of an audible or visual alarm at a location that is continuously attended or monitored.

MARSEC Level 2

242. At MARSEC level 2, the following additional security procedures for restricted areas shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) an increase in the frequency and intensity of monitoring and access controls on existing restricted areas;

(b) the establishment of restricted areas adjacent to access points;

(c) the continuous monitoring of each area, using surveillance equipment; and

(d) the assignment of additional personnel to guard or patrol each area.

MARSEC Level 3

243. At MARSEC level 3, the following additional security procedures for restricted areas shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) the establishment of additional restricted areas on the vessel in proximity to the location of a security incident or the presumed location of a security threat; and

(b) searches of restricted areas as part of a security sweep of the vessel.

Security Procedures for Handling Cargo

General

244. (1) At all MARSEC levels, security procedures in relation to cargo handling shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, in order to

(a) deter and detect tampering;

(b) prevent cargo that is not meant for carriage from being accepted and stored on board the vessel;

(c) identify cargo that is approved for loading onto the vessel;

(d) include inventory control procedures at access points to the vessel; and

(e) be able to inspect cargo for dangerous substances and devices at a frequency specified in the plan by one or more of the following means:

(i) visual examination,
(ii) physical examination,
(iii) detection devices such as scanners, or
(iv) canines.

(2) The company security officer or vessel security officer may, with the agreement of the marine facility security officer and, if applicable, the port security officer, make arrangements with shippers or others responsible for the cargo with respect to off-site inspection, sealing, scheduling, supporting documentation and similar matters. The company security officer or vessel security officer, as the case may be, shall inform the marine facility security officer and, if applicable, the port security officer of any arrangement.

MARSEC Level 1

245. At MARSEC level 1, the following security procedures in relation to cargo handling shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) the routine inspection, including for evidence of tampering, of cargo and cargo spaces before and during cargo handling, except where it is unsafe to do so;

(b) verification that cargo to be loaded matches the cargo documentation or that cargo markings or container numbers match the information provided with shipping documents;

(c) inspection before loading, in accordance with the frequency specified in the plan and in liaison with marine facilities, of vehicles to be loaded on board ro-ro vessels, car-carriers and passenger vessels; and

(d) verification, in liaison with marine facilities, of seals or other means used to prevent tampering.

MARSEC Level 2

246. At MARSEC level 2, the following additional security procedures in relation to cargo handling shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) an increase in the frequency and detail of inspecting cargo and cargo spaces;

(b) intensified inspections to ensure that only the intended cargo, container or other cargo transport units are loaded;

(c) intensified inspections of vehicles to be loaded on board ro-ro vessels, car-carriers and passenger vessels;

(d) increases, in liaison with the marine facility, in the frequency and detail of inspections of seals or other means used to prevent tampering;

(e) increases in the frequency of the use of detection devices, such as scanners, or canines; and

(f) the coordination of enhanced security procedures with the shipper or other responsible party in accordance with an established agreement and procedures.

MARSEC Level 3

247. At MARSEC level 3, the following additional security procedures in relation to cargo handling shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) the suspension of loading or unloading of cargo;

(b) preparation for cooperation with response organizations and marine facilities; and

(c) a verification of the inventory and location of any hazardous substances carried on board.

Security Procedures for Delivery of Ships' Stores and Bunkers

General

248. (1) At all MARSEC levels, security procedures for the delivery of ships' stores and bunkers shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, in order to

(a) inspect ships' stores for package integrity;

(b) prevent ships' stores from being accepted without inspection;

(c) prevent tampering; and

(d) prevent ships' stores and bunkers from being accepted without being ordered.

(2) If a vessel routinely uses a marine facility, the vessel security plan may establish standing procedures involving the vessel, its suppliers and the marine facility regarding notification and the timing of deliveries and their documentation.

MARSEC Level 1

249. At MARSEC level 1, the following security procedures with respect to the delivery of ships' stores and bunkers shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) the inspection of ships' stores before they are accepted;

(b) verification that ships' stores and bunkers match the order before being brought on board or being bunkered; and

(c) the immediate securing of ships' stores following delivery.

MARSEC Level 2

250. At MARSEC level 2, the following additional security procedures with respect to the delivery of ships' stores shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) intensified inspections of ships' stores during delivery; and

(b) the inspection of ships' stores before they are received on board.

MARSEC Level 3

251. At MARSEC level 3, the following additional security procedures with respect to the delivery of ships' stores and bunkers shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) more extensive inspections of ships' stores; and

(b) the restriction or suspension of handling of ships' stores and bunkers or refusal to accept them on board.

Security Procedures for Monitoring

General

252. (1) At all MARSEC levels, security procedures shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations, to continuously monitor the vessel, the restricted areas on board the vessel and the area surrounding the vessel through a combination of lighting, watchkeepers, security guards, deck watches, automatic intrusion-detection devices, surveillance equipment and waterborne patrols.

(2) The following shall be considered when establishing the appropriate level and location of lighting:

(a) vessel personnel shall be able to detect activities on and around the vessel, on both the shoreside and the waterside;

(b) the lighting shall facilitate personnel identification at access points;

(c) the lighting may be provided through coordination with a marine facility or port administration; and

(d) when lighting is necessary and the vessel is underway, the lighting shall be the maximum available that is consistent with safe navigation, taking into account the International Regulations for Preventing Collisions at Sea, 1972.

MARSEC Level 1

253. (1) At MARSEC level 1, the following security procedures for monitoring the vessel shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) preparing to conduct emergency searches of the ship;

(b) identifying and fixing any system failures or malfunctions of monitoring equipment;

(c) continual monitoring of any automatic intrusion detection device that sets off an audible or visual alarm, or both; and

(d) lighting the deck and vessel access points during the period between sunset and sunrise and periods of limited visibility sufficiently to allow the visual identification of persons seeking to board the vessel.

(2) These security procedures may be coordinated with a marine facility or a port administration.

MARSEC Level 2

254. At MARSEC level 2, the following additional security procedures for monitoring the vessel shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) an increase in the frequency and detail of security patrols;

(b) an increase in the coverage and intensity of lighting;

(c) the use of or the increased use of security and surveillance equipment;

(d) the assignment of additional personnel as security lookouts; and

(e) the coordination of monitoring with boat patrols, and with foot or vehicle patrols, if provided by a marine facility or a port administration.

MARSEC Level 3

255. At MARSEC level 3, the following additional security procedures for monitoring the vessel shall be established in the vessel security plan, to the extent that they are appropriate to the vessel's operations:

(a) cooperation with response organizations, marine facilities and port administrations;

(b) switching on all lights on the vessel;

(c) the illumination of the vicinity of the vessel;

(d) the use of all surveillance equipment capable of recording activities on, or in the vicinity of, the vessel;

(e) the maximization of the length of time the surveillance equipment can continue to record;

(f) preparations to conduct an underwater inspection of the hull; and

(g) measures to deter underwater access to the hull, including slow revolutions of the vessel's propellers, if practicable.

Security Procedures for Security Threats, Breaches of Security and Security Incidents

256. At all MARSEC levels, security procedures shall be established in the vessel security plan for the vessel security officer and persons who have security responsibilities with respect to the vessel to

(a) respond to security threats, breaches of security and security incidents and maintain critical vessel and vessel-to-facility interface operations, including by

(i) prohibiting entry into the affected area,
(ii) denying access to the vessel, except to persons responding to the threat, breach or incident,
(iii) implementing MARSEC level 3 security procedures throughout the vessel,
(iv) stopping cargo-handling operations, and
(v) notifying shoreside authorities or other vessels of the threat, breach or incident;

(b) evacuate the vessel in case of security threats, breaches of security or security incidents, if the life of persons on board is threatened;

(c) report to the Minister any security threats or security incidents involving the vessel;

(d) brief vessel personnel on potential security threats and the need for vigilance and their assistance in reporting suspicious persons, objects or activities; and

(e) suspend non-critical operations in order to focus response on critical operations.

Submission and Approval

257. (1) The company security officer shall submit a vessel security plan to the Minister

(a) in the case of a voyage that started before July 1, 2004, no later than July 1, 2004;

(b) in the case of a voyage that starts after June 30, 2004 and before September 1, 2004, before the voyage starts; and

(c) in the case of a voyage that starts on or after September 1, 2004, at least 60 days before the voyage starts.

(2) The Minister shall approve a vessel security plan that meets the requirements of sections 234 and 235.

(3) Subject to subsection 259(5), a plan is valid for the period fixed by the Minister, not exceeding five years after the date on which it is approved by the Minister. In fixing the period, the Minister shall consider the following:

(a) the vessel's operations and the industry in which it operates;

(b) the vessel's ports of call and usual routes;

(c) the operator's security record;

(d) the vessel's security record; and

(e) the complexity of the vessel security plan and the details of its procedures.

Audits and Amendments

258. (1) The company security officer shall ensure that an audit of the vessel security plan is performed annually.

(2) If the plan meets the requirements of sections 234 and 235, the company security officer shall attach a letter to it certifying that it meets those requirements.

(3) The company security officer shall ensure that an audit of the vessel security plan is performed if there is a new operator or if there have been modifications to the vessel, including to its physical structure, emergency response procedures or security procedures or operations. An audit of the plan as a result of modifications to the vessel may be limited to the provisions of the plan affected by the modifications.

(4) Persons that perform audits of the security procedures established in the vessel security plan

(a) shall have knowledge of the methods of conducting audits and inspections and control access and monitoring techniques;

(b) shall not have regularly assigned security duties; and

(c) shall be independent of the security procedures being audited unless that is impracticable because of the size and nature of the vessel.

259. (1) If an audit finds that the vessel security plan no longer meets the requirements of sections 234 and 235, the vessel security officer shall ensure that amendments are submitted to the company security officer within 30 days after the day on which the audit is completed.

(2) The operator of a vessel may make amendments to a vessel security plan approved under section 257. The operator shall submit the amendments to the Minister 30 days, or any shorter period that the Minister allows, before the day on which they are to take effect.

(3) The operator of a vessel shall submit amendments to the Minister within 60 days after the day on which the Minister informs the operator in writing that a vessel security plan approved under section 257 no longer meets the requirements of sections 234 and 235.

(4) The Minister shall approve the amended plan if it meets the requirements of sections 234 and 235, unless approving the plan is not in the public interest and is likely to adversely affect marine transportation security.

(5) If amendments are submitted under subsection (1) or (3) and the amended plan is not approved, the plan is no longer valid.

Additional or Alternative Requirements in respect of Passenger Vessels and Ferries

260. (1) At all MARSEC levels, after any period during which a passenger vessel or a ferry was unattended, its vessel security officer shall ensure that security sweeps are performed in order to confirm the absence of security threats, dangerous substances or devices before the vessel gets underway.

(2) At MARSEC level 1, instead of the identification verifications and authorized screening requirements referred to in paragraphs 237(a), (b) and (h), the vessel security plan of a passenger vessel or a ferry may establish

(a) security procedures to search selected areas before passengers embark; and

(b) at least one of the following security procedures:

(i) conducting routine security patrols,
(ii) using additional closed-circuit video cameras to monitor passenger areas, and
(iii) securing all non-passenger areas.

(3) At MARSEC level 2, the vessel security plan of a passenger vessel or a ferry shall establish security procedures to search selected areas before passengers embark and, if the plan is establishing procedures under subsection (2), to increase the patrols and monitoring referred to in paragraph (2)(b) and the security sweeps referred to in subsection (1).

(4) At MARSEC level 3, if the vessel security plan of a passenger vessel or a ferry has established procedures under subsection (2), the plan shall establish random enhanced security patrols, which need not consist of vessel personnel.

Cruise Ships

Weapons, Explosives and Incendiaries

261. (1) Subject to subsections (2) and (3), no person shall possess or carry a weapon, explosives or incendiaries on board a cruise ship.

(2) Members of a law enforcement agency in the performance of their duties may possess or carry a weapon on board a cruise ship.

(3) Persons who are engaged in the handling or transportation of cash, negotiable instruments or other valuable goods and who require firearms to protect their lives in the course of that handling or transportation may possess or carry firearms on board a cruise ship that is docked when they are handling or transporting the goods on behalf of the cruise ship operator.

(4) Every cruise ship operator shall ensure that authorized screening of each person and their goods is carried out to ensure compliance with subsection (1).

262. A person who is embarking on or is on board a cruise ship shall not falsely declare

(a) that they are carrying, or have in their goods, a weapon, explosives or incendiaries;

(b) that another person who is embarking on or is on board a cruise ship is carrying, or has in their goods, a weapon, explosives or incendiaries; or

(c) that weapons, explosives or incendiaries have been placed on board a cruise ship.

Authorized Screening

263. (1) A cruise ship operator shall comply with a security inspector's request to remove from search duty a screening officer who does not conduct a search in accordance with the Cruise Ship and Cruise Ship Facility Security Measures and not allow the screening officer to conduct any searches before the screening officer is retrained to meet the standards described in the Measures.

(2) A cruise ship operator shall maintain an up-to-date list containing the names of screening officers and shall provide the list to the Minister, on request.

Security Procedures for Access Control

264. At all MARSEC levels, the following security procedures shall be established in the vessel security plan of a cruise ship to control access to the vessel:

(a) security patrols; and

(b) searches of selected areas before passengers embark and before the vessel gets underway.

Security Briefs

265. When the MARSEC level is raised to MARSEC level 3, the vessel security officer of a cruise ship shall ensure that security briefs are provided to passengers about the security threat that resulted in the MARSEC level being raised, except where passengers might be put in danger.

[266 to 299 reserved]

PART 3

MARINE FACILITIES

[300 reserved]

Application

301. This Part applies to marine facilities that interface with vessels to which Part 2 applies.

Operator of a Marine Facility

302. (1) The operator of a marine facility shall ensure that the requirements of this Part are met.

(2) The operator of an occasional-use marine facility shall ensure that the requirements of sections 315 and 355 to 358 are met.

303. (1) The operator of a marine facility shall

(a) establish an administrative and organizational structure for security at the marine facility;

(b) provide every person who has responsibilities under this Part with the support needed to fulfil their responsibilities;

(c) designate in writing a marine facility security officer by name or by a position other than the position for which the designation is being made;

(d) operate the marine facility in compliance with the marine facility security plan and, if applicable, any corrective action referred to in paragraph 306(e) or a port security plan;

(e) submit the security assessment information to the Minister;

(f) ensure that the implementation of security procedures is coordinated with the vessels with which the marine facil ity interfaces and, if the facility is in a port, with the port administration;

(g) if the marine facility is in a port, ensure the participation of the marine facility security officer in the port security committee;

(h) if the marine facility is in a port, ensure that the marine facility security officer develops a marine facility security plan with the port security officer and in consultation with representatives of labour;

(i) coordinate, with the master of a vessel and, if the marine facility is in a port, the port security officer, shore leave for vessel personnel or crew change, as well as access through the marine facility of visitors to vessels, including representatives of seafarers' welfare and labour organizations; and

(j) provide information respecting the security of the marine facility to those persons who need it to fulfil the requirements of these Regulations.

Marine Facility Security Officer

General

304. (1) A marine facility security officer may

(a) act in that capacity for more than one marine facility if

(i) they are able to fulfil the responsibilities for each marine facility, and

(ii) each marine facility's security plan lists the other marine facilities for which they are responsible;

(b) have other responsibilities within the marine facility operator's organization if they are able to fulfil the responsibilities of marine facility security officer; and

(c) delegate tasks required by this Part.

(2) A marine facility security officer remains responsible for the performance of the tasks they delegate.

Qualifications

305. (1) A marine facility security officer shall have, by training or job experience, knowledge that is relevant to the marine facility in the areas that relate to their responsibilities.

(2) The areas of knowledge include the following:

(a) the administrative and organizational structure for security at the marine facility;

(b) the operations and operating conditions of the marine facility and vessels;

(c) the security procedures of the marine facility, vessels and port, including the meaning and the requirements of the different MARSEC levels;

(d) emergency preparedness and response and contingency planning;

(e) security equipment and systems and their operational limitations;

(f) methods of conducting audits and inspections;

(g) access control and monitoring techniques;

(h) methods of conducting on-site surveys and marine facility security assessments;

(i) techniques for security training and education, including security regulations, measures, rules and procedures;

(j) methods of conducting physical searches and non-intrusive inspections;

(k) conducting and assessing security drills and exercises, including exercises with vessels;

(l) relevant international conventions, codes, standards and recommendations;

(m) relevant legislation, regulations and security measures, rules and procedures;

(n) the responsibilities and functions of municipal, provincial and federal law enforcement agencies;

(o) methods of handling security-sensitive information and security-related communications;

(p) current security threats and patterns;

(q) the recognition and detection of weapons, explosives and incendiaries and other dangerous substances and devices;

(r) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security;

(s) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems;

(t) crowd management and control techniques; and

(u) the operation, testing, calibration and maintenance of security equipment and systems.

Responsibilities

306. A marine facility security officer shall

(a) conduct inspections of the marine facility at the rate specified in the marine facility security plan to ensure compliance with the requirements of this Part;

(b) submit a marine facility security plan and any amendment to the Minister for approval;

(c) implement and maintain the approved marine facility security plan, coordinating it when necessary with the security officer of interfacing vessels and the port security officer;

(d) conduct audits of the marine facility security plan in accordance with this Part;

(e) as soon as practicable after a deficiency in the marine facility security plan is identified, implement the corrective action that is required to correct the deficiency;

(f) submit to the Minister amendments to the marine facility security plan to correct any deficiencies;

(g) implement the approved amendments in the marine facility security plan;

(h) ensure security awareness and vigilance at the marine facility, including awareness of changes in the MARSEC level and other circumstances that might affect work conditions at the marine facility;

(i) ensure that appropriate security training is provided to personnel at the marine facility in accordance with this Part;

(j) report security threats and security incidents to the appropriate law enforcement agencies and the Minister as soon as possible after they occur so that an investigation can be conducted;

(k) report breaches of security to the Minister;

(l) ensure that security equipment is operated, tested, calibrated and maintained in compliance with the marine facility security plan;

(m) record and report the implementation of security procedures, after a change in the MARSEC level, to the Minister, to the operator of any vessel with which it is interfacing or about to interface and to the operator of any marine facility or port administration affected by the change; and

(n) keep a copy of the marine facility security assessment and plan readily accessible.

Marine Facility Personnel with Security Responsibilities

307. (1) Persons who have responsibilities respecting the security of a marine facility, other than the marine facility security officer, shall have, by training or job experience, knowledge that is relevant to the marine facility in the areas that relate to their responsibilities.

(2) The areas of knowledge include the following:

(a) current security threats and patterns;

(b) the recognition and detection of weapons, explosives and incendiaries and other dangerous substances and devices;

(c) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security;

(d) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems;

(e) crowd management and control techniques;

(f) security-related communications;

(g) emergency preparedness and response and contingency planning;

(h) the operation, testing, calibration and maintenance of security equipment and systems;

(i) inspection and monitoring techniques;

(j) methods of performing physical searches of persons and goods, including personal effects, baggage, ships' stores and cargo;

(k) the relevant provisions of the marine facility security plan; and

(l) the meaning and the requirements of the different MARSEC levels.

Marine Facility Personnel without Security Responsibilities

308. A person who is assigned to a marine facility and who does not have security responsibilities shall receive security orientation in

(a) basic security issues and communications;

(b) the meaning and the requirements of the different MARSEC levels, the different procedures required of the person at each level and the emergency procedures and contingency plans;

(c) the recognition and detection of weapons, explosives and incendiaries and other dangerous substances and devices;

(d) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security; and

(e) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems.

Security Drills and Exercises

General

309. Security drills and exercises shall test the proficiency of marine facility personnel in carrying out their assigned security responsibilities at all MARSEC levels and the effective implementation of the marine facility security plan and shall enable the marine facility security officer to identify any related security deficiencies that need to be corrected.

Security Drills

310. (1) The marine facility security officer shall ensure that a security drill is conducted

(a) at least once every three months; or

(b) within one month after operations resume at a marine facility that has been out of service or inactive for more than three months.

(2) Security drills shall test individual elements of the marine facility security plan, including the response to security threats, breaches of security and security incidents, and shall take into account, in respect of the marine facility, the types of operations, personnel changes, the types of vessels interfacing with it and other relevant circumstances.

(3) If a marine facility is involved in the implementation of MARSEC level 2 or MARSEC level 3 following a security incident, the implementation of the MARSEC level shall be equivalent to a drill.

Security Exercises

311. (1) Security exercises

(a) shall fully test the marine facility security plan and include the substantial and active participation of personnel who have security responsibilities;

(b) may include governmental authorities or personnel from vessels, other marine facilities or port administrations who have security responsibilities depending on the scope and the nature of the exercises;

(c) may be performed with respect to the marine facility only or as part of a cooperative program to test another marine facility security plan or a vessel or port security plan; and

(d) shall test communication and notification procedures, elements of coordination, resource availability and response.

(2) The security exercises shall be conducted at least once every calendar year with no more than 18 months between them.

(3) Exercises may

(a) be full-scale or live;

(b) be a tabletop simulation or seminar;

(c) be combined with other appropriate exercises; or

(d) be a combination of two or more of the elements set out in paragraphs (a) to (c).

Security Information and Record Keeping

312. (1) A marine facility security officer shall keep

(a) records of security training, including the date, the duration and description and the names of the participants;

(b) records of security drills and exercises, including the date and description, the names of the participants and any best practices or lessons learned that might improve the marine facility security plan;

(c) records of security threats, breaches of security and security incidents, including the date, time, location and description, the response to them and the person to whom they were reported;

(d) records of changes in the MARSEC level, including the date, the time that notification was received and the time of compliance with the requirements of the new level;

(e) records of maintenance, calibration and testing of equipment used for security, including the date and time of the activity and the equipment involved;

(f) declarations of security in respect of the marine facility;

(g) internal audits and reviews of security activities;

(h) security assessment information;

(i) the marine facility security assessment and each periodic review of the assessment, including the date on which the review was conducted and its findings;

(j) the marine facility security plan and each periodic review of the plan, including the date on which the review was conducted, its findings and any recommended amendments to the plan;

(k) each amendment to the marine facility security plan, including the date of its approval and implementation;

(l) records of inspections and patrols; and

(m) a list, by name or position, of the persons who have security responsibilities.

(2) Records respecting equipment that is not used exclusively for security may be kept separately from records respecting equipment that is used exclusively for security if

(a) the marine facility security officer documents, in written or electronic form, their existence and location and the name or position of the person responsible for keeping them; and

(b) they are accessible to the marine facility security officer.

(3) The marine facility security officer shall ensure that the records or documents listed in subsection (1) are kept for at least two years after the day on which they are made and shall make them available to the Minister on request, but shall ensure that the marine facility security plan, and the assessment on which it was based, are kept for at least two years after the day on which the plan expires.

(4) Records shall be protected from unauthorized access or disclosure.

(5) Records may be kept in electronic format if they are protected from deletion, destruction and revision.

(6) No person shall disclose security information contained in the records, unless the disclosure is for the purpose of complying with these Regulations.

Communications

313. (1) The marine facility security officer shall have the means to notify all marine facility personnel of changes in security conditions at the marine facility.

(2) The marine facility shall have communication systems and procedures that allow effective communications

(a) between the marine facility security personnel and vessels interfacing with the marine facility and, if the marine facility is in a port, the port administration; and

(b) with the Minister and local law enforcement agencies.

(3) The communication systems shall have a backup to ensure internal and external communications.

Coordination of Security Procedures during Interfacing

314. The operator of a marine facility shall ensure that the implementation of the marine facility security procedures is coordinated with vessels interfacing with the marine facility and, if the marine facility is in a port, with the port administration.

Declaration of Security

315. (1) A declaration of security shall be completed before an interface starts between a marine facility and a vessel if

(a) they are operating at different MARSEC levels;

(b) one of them does not have a security plan approved by a contracting government;

(c) one of them has experienced a security threat or security incident within the two years preceding the day on which the declaration of security was completed;

(d) the interface involves a cruise ship, a vessel carrying certain dangerous cargoes or the loading or transfer of certain dangerous cargoes; or

(e) the security officer of either of them identifies security concerns about the interface.

(2) A new declaration of security is required if there is a change in the MARSEC level.

(3) The declaration shall provide a means for ensuring that all shared security concerns are fully taken into account throughout the interface and shall contain the information set out in the form in Appendix 1 of Part B of the ISPS Code, with the terms "ship", "port facility" and "security measures" replaced by "vessel", "marine facility" and "security procedures" respectively.

(4) The declaration shall be in English or French and be signed by the marine facility security officer and the vessel security officer.

(5) A marine facility security officer or vessel security officer may authorize in writing a person who has security responsibilities at the marine facility or on the vessel and appropriate training to complete and sign the declaration on their behalf.

(6) At MARSEC level 1 and MARSEC level 2, a continuing declaration of security may be used for multiple interfaces between a marine facility and a vessel if the effective period of the declaration does not exceed

(a) 90 days at MARSEC level 1; or

(b) 30 days at MARSEC level 2.

(7) In the case of a vessel entering the St. Lawrence Seaway, a declaration of security that is completed on its entry into the first lock remains in effect until it exits the St. Lawrence Seaway at the St. Lambert Lock or at the Welland Canal at Port Colborne.

Marine Facility Security Assessments

Requirements for Persons Providing Security Assessment Information

316. The persons who provide security assessment information shall have, collectively, the competence to evaluate the security of the marine facility, including knowledge in the following areas:

(a) current security threats and patterns;

(b) the detection and recognition of weapons, explosives and incendiaries and other dangerous substances and devices;

(c) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security;

(d) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems;

(e) methods used to cause a security incident;

(f) the effects of dangerous substances and devices on structures and essential services;

(g) marine facility and vessel interface business practices;

(h) emergency preparedness and response and contingency planning;

(i) physical security requirements;

(j) radio and telecommunications systems, including computer systems and networks;

(k) marine or civil engineering; and

(l) marine facility and vessel operations.

Security Assessment Information

317. (1) Security assessment information in respect of a marine facility

(a) shall be in English or French;

(b) shall be based on background information, the completion of an on-site survey and an analysis of that information and survey;

(c) shall identify and evaluate

(i) the physical aspects of the marine facility that are the most important to protect and the means for protecting the personnel,
(ii) possible threats to the marine facility and the likelihood of their occurrence, in order to establish and prioritize security procedures and countermeasures, and
(iii) the vulnerabilities, including human factors, in the security of the marine facility; and

(d) may cover more than one marine facility.

(2) Security assessment information shall consist of the following:

(a) the general layout of the marine facility, including the location of

(i) active and inactive access points to the marine facility,
(ii) security doors, barriers, and lighting,
(iii) restricted areas,
(iv) emergency and stand-by equipment available to maintain essential services,
(v) storage areas for maintenance equipment, ships' stores, cargo and unaccompanied baggage,
(vi) escape and evacuation routes and assembly stations, and
(vii) existing security and safety equipment for the protection of personnel and visitors;

(b) changes in the tide that might have an impact on the vulnerability or security of the marine facility;

(c) a list of the emergency and stand-by equipment available to maintain essential services;

(d) the number of marine facility personnel, the security tasks of persons with security responsibilities and the training requirements and procedures of the marine facility;

(e) a list of existing security and safety equipment for the protection of marine facility personnel and visitors;

(f) escape and evacuation routes and assembly stations that have to be maintained to ensure the orderly and safe emergency evacuation of the marine facility;

(g) the results of security audits; and

(h) security procedures in effect, including inspection and control procedures, identification systems, surveillance and monitoring equipment, personnel identification documents and communication, alarm, lighting, access control and other appropriate systems.

Elements of Security Assessments

318. The Minister shall conduct the marine facility security assessment, which addresses the following elements in respect of the marine facility, as applicable:

(a) the physical security;

(b) the structural integrity;

(c) personnel protection systems;

(d) operational procedures that might impact on security;

(e) its radio and telecommunications systems, including computer systems and networks;

(f) relevant transportation support infrastructure;

(g) utilities; and

(h) other elements that might, if damaged or used illicitly, pose a risk to people, property or operations at the marine facility.

Matters to be Taken into Account in Security Assessments

319. A marine facility security assessment shall take into account potential threats and the following types of security incidents:

(a) damage to, or destruction of, the marine facility or a vessel by explosive devices, arson, sabotage or vandalism;

(b) tampering with essential equipment or systems, ships' stores or cargo of the marine facility;

(c) unauthorized access to the marine facility;

(d) the smuggling onto the marine facility of weapons or equipment, including weapons of mass destruction;

(e) use of the marine facility itself as a weapon or as a means to cause damage or destruction;

(f) nuclear, biological, radiological, explosive or chemical attacks on the shoreside support system of the marine facility or on a vessel interfacing with the marine facility;

(g) the seizure of the marine facility or the seizure or hijacking of an interfacing vessel or persons on board; and

(h) use of the marine facility or its equipment by persons intending to cause a security incident.

On-site Survey and Vulnerability Assessments

320. The operator of a marine facility shall ensure that an on-site survey of the marine facility is conducted. The survey shall examine and evaluate current protective procedures and operations to verify or collect security assessment information.

321. (1) A marine facility security assessment shall include a vulnerability assessment undertaken in consultation with the operator of the marine facility to determine the following so as to produce an overall assessment of the level of risk for which security procedures have to be developed:

(a) any particular aspect of the marine facility, including vessel traffic in the vicinity, that might make it a target of an attack;

(b) the potential consequences of an attack on or at the marine facility in terms of loss of life, damage to property and economic disruption, including the disruption of marine transport systems;

(c) the capability and intent of those likely to mount an attack; and

(d) the potential types of attack.

(2) The vulnerability assessment shall include a consideration of the following:

(a) current security procedures, including identification systems;

(b) methods and points of access to the marine facility;

(c) the procedures to protect radio and telecommunications equipment, including computer systems and networks;

(d) any conflicting policies between safety and security procedures;

(e) any enforcement or personnel constraints;

(f) methods of monitoring restricted areas and other areas that have restricted access to ensure that only authorized persons have access;

(g) areas adjacent to the marine facility that might be exploited during or for an attack;

(h) current security procedures relating to utilities and other services;

(i) any deficiencies identified during training or drills;

(j) any deficiencies identified during daily operations or following incidents or alerts, reports of security concerns, the application of control measures or audits; and

(k) the structural integrity of the marine facility.

Marine Facility Security Plan

General

322. A marine facility security plan

(a) shall be based on the findings of the marine facility security assessment;

(b) shall be in English or French;

(c) shall be submitted to the Minister for approval;

(d) is valid for a period determined by the Minister, which shall not exceed five years after the date of the Minister's approval; and

(e) may cover more than one marine facility if they share similarities in physical characteristics, location and operations.

Content

323. A marine facility security plan shall address each vulnerability identified in the marine facility security assessment and include

(a) the organization of the marine facility in terms of security, including the tasks of personnel who have security responsibilities;

(b) the name of the operator and the name and position of the marine facility security officer, including information on how they may be contacted at any time;

(c) the identification of restricted areas and any security procedures, equipment and systems for those areas;

(d) a description of the procedures for and the frequency of drills and exercises;

(e) a description of procedures for the following:

(i) ensuring the security of information in the marine facility security plan and keeping the records referred to in section 313,
(ii) maintaining security and communication systems and equipment,
(iii) identifying and correcting security equipment or systems failures or malfunctions,
(iv) communications,
(v) responding to changes in the MARSEC level,
(vi) interfacing with vessels at each MARSEC level,
(vii) declarations of security,
(viii) preventing unauthorized weapons, explosives, incendiaries or other dangerous substances or devices from entering the marine facility,
(ix) reporting security threats, breaches of security and security incidents to the competent authorities,
(x) securing non-critical operations in order to focus response on critical operations, and
(xi) periodically reviewing, updating and auditing the marine facility security plan;

(f) a description of

(i) security procedures, equipment and systems for access control,
(ii) security procedures for the delivery of ships' stores and bunkers,
(iii) security procedures, equipment and systems for monitoring the marine facility and surrounding area, and
(iv) procedures for security threats, breaches of security and security incidents, including procedures for the evacuation of the marine facility; and

(g) the rate at which inspections of the marine facility are conducted.

MARSEC Level Coordination and Implementation of Security Procedures

324. (1) The marine facility security plan shall contain security procedures for ensuring that, when the operator of the marine facility is notified of an increase in the MARSEC level,

(a) the marine facility complies with the required additional security procedures within 12 hours after the notification;

(b) a report indicating compliance or noncompliance with the MARSEC level is made to the Minister; and

(c) the vessels interfacing with the marine facility and the vessels scheduled to arrive at the marine facility within 96 hours after the MARSEC level is increased are notified of the new MARSEC level and the declaration of security is revised accordingly.

(2) The marine facility security plan shall contain security procedures to ensure that, when notified of an increase in the MARSEC level, the marine facility security officer informs all marine facility personnel of identified security threats, emphasizes reporting procedures and stresses the need for increased vigilance.

(3) For MARSEC level 3, the marine facility security plan shall contain procedures for ensuring that the operator of the marine facility evaluates the need for additional security procedures, including

(a) the use of waterborne security patrols;

(b) the use of local law enforcement agencies to control access to the marine facility and to deter, to the extent practicable, a security incident; and

(c) the examination of piers, wharves and similar structures at the marine facility for the presence of underwater weapons, explosives and incendiaries and other dangerous substances or devices or other threats.

Security Procedures for Access Control

General

325. (1) A marine facility security plan shall contain security procedures, as appropriate to the facility's operations, to control access to the marine facility at each MARSEC level and to

(a) deter the unauthorized entry of weapons, explosives and incendiaries, including any device that could be used to damage or destroy marine facilities or vessels or harm individuals;

(b) secure any weapons, explosives, incendiaries or other dangerous substances and devices that are authorized by the operator to be at the marine facility;

(c) identify the locations at which restrictions or prohibitions preventing unauthorized access are to be applied for each MARSEC level and that each location allowing access to the marine facility is addressed;

(d) identify the types of restrictions or prohibitions to be applied and the means of enforcing them;

(e) establish the means of identification required to allow persons and vehicles to have access to or to remain in the marine facility without challenge; and

(f) identify the locations at which the authorized screening of persons and goods, including vehicles, is to be conducted, and to ensure that these locations are covered to enable continuous screenings regardless of weather conditions.

(2) The plan shall contain security procedures for verification of the identity of marine facility personnel and other persons seeking access to the marine facility that

(a) allow identification of authorized persons at each MARSEC level;

(b) are coordinated, to the extent practicable, with the identification systems of vessels that interface with the marine facility;

(c) are updated regularly; and

(d) allow temporary or continuing access to the marine facility by marine facility personnel, vessel personnel and other authorized persons, through the use of a badge or other means of verifying their identity.

(3) The plan shall set out the frequency of application of access controls, particularly if they are to be applied on a random or occasional basis.

MARSEC Level 1

326. For MARSEC level 1, the security procedures for access control shall include, as appropriate to the facility's operations,

(a) verifying the identity of every person seeking to enter a controlled access area and the reasons for which they seek entry by confirming at least one of the following:

(i) joining instructions,
(ii) passenger tickets,
(iii) boarding passes,
(iv) work orders or marine surveyor orders,
(v) government identification,
(vi) restricted area passes, or
(vii) visitor badges issued in accordance with an identification system;

(b) authorized screening, at the rate specified in the marine facility security plan, of persons and goods, including vehicles, for weapons, explosives or incendiaries;

(c) denying or revoking access to a marine facility by persons who are unable or unwilling, at the request of marine facility personnel, to establish their identity or account for their presence at the marine facility and recording details of the denials and revocations;

(d) designating restricted areas and determining the appropriate access controls for these areas;

(e) identifying access points that must be secured or attended to deter unauthorized access; and

(f) deterring unauthorized access to the marine facility and to restricted areas.

MARSEC Level 2

327. For MARSEC level 2, the additional security procedures for access control shall include, as appropriate to the facility's operations,

(a) increasing the frequency and detail of the authorized screening of persons and goods, including vehicles, entering the marine facility, for weapons, explosives and incendiaries;

(b) X-ray screening of all unaccompanied baggage for weapons, explosives and incendiaries;

(c) assigning additional personnel to guard access points and to patrol the perimeter of the marine facility to deter unauthorized access;

(d) limiting the number of access points to the marine facility by closing and securing some access points and providing physical barriers to impede movement through the remaining access points;

(e) denying or revoking access by persons who are unable to provide a verifiable justification for seeking access to the marine facility; and

(f) coordinating with the Minister, the appropriate law enforcement agencies and, if the marine facility is in a port, the port administration for the deterrence of waterside access to the marine facility, including using waterborne patrols to enhance security around the marine facility and any vessels located there.

MARSEC Level 3

328. For MARSEC level 3, the additional security procedures for access control shall include, as appropriate to the facility's operations,

(a) conducting the authorized screening of all persons and goods, including vehicles, for weapons, explosives and incendiaries;

(b) in respect of unaccompanied baggage,

(i) conducting authorized screening more extensively for weapons, explosives and incendiaries, for example, by X-raying from two or more angles,
(ii) restricting or suspending the handling of it, or
(iii) refusing to accept it;

(c) cooperating with emergency response personnel and other marine facilities;

(d) granting access only to those responding to a security incident or security threat;

(e) suspending access to the marine facility;

(f) suspending cargo operations;

(g) evacuating the marine facility;

(h) restricting pedestrian or vehicular movement on the grounds of the marine facility; and

(i) increasing monitoring at the marine facility.

Security Procedures for Restricted Areas

General

329. (1) A marine facility security plan shall designate restricted areas, as appropriate to the facility's operations, in order to

(a) prevent or deter unauthorized access;

(b) protect the marine facility, including security and surveillance equipment and systems, and persons authorized to be at the facility;

(c) protect vessels interfacing with the marine facility; and

(d) protect ships' stores from tampering.

(2) The plan shall contain security procedures to ensure that notices are posted in compliance with section 21 of the Act.

(3) Restricted areas shall be established for

(a) land areas adjacent to vessels interfacing with the marine facility;

(b) areas in which security-sensitive information is kept, including cargo documentation;

(c) areas containing security and surveillance equipment and systems and their controls and lighting system controls;

(d) areas containing the critical infrastructure of the marine facility, such as

(i) water supplies,
(ii) telecommunications,
(iii) electrical systems, and
(iv) access points for ventilation and air-conditioning systems;

(e) manufacturing or processing areas and control rooms;

(f) locations in the marine facility where it is reasonable to restrict access by vehicles and persons;

(g) areas designated for loading, unloading or storage of cargo and ships' stores; and

(h) areas containing certain dangerous cargoes.

330. A marine facility security plan shall contain security procedures, as appropriate to the facility's operations, for restricted areas at each MARSEC level for

(a) identifying the marine facility personnel and other persons who are authorized to have access;

(b) determining the conditions under which access may take place including procedures for escorting persons who do not have restricted area passes;

(c) establishing the times during which access restrictions apply; and

(d) ensuring that notices are posted in compliance with section 21 of the Act.

MARSEC Level 1

331. (1) For MARSEC level 1, a marine facility security plan shall contain security procedures, as appropriate to the facility's operations, to prevent unauthorized access or activities in restricted areas that include

(a) restricting access to authorized personnel;

(b) securing all access points not actively used and providing physical barriers to impede movement through the remaining access points;

(c) controlling access to restricted areas;

(d) examining the identification and authorization of persons and vehicles seeking entry;

(e) patrolling or monitoring the perimeter of restricted areas;

(f) using security personnel, automatic intrusion detection devices, surveillance equipment or surveillance systems to detect unauthorized entry into or movement in restricted areas;

(g) directing the parking, loading and unloading of vehicles in restricted areas;

(h) controlling the movement and storage of cargo and ships' stores;

(i) designating restricted areas for performing inspections of cargo and ships' stores that are awaiting loading; and

(j) designating temporary restricted areas to accommodate marine facility operations, including restricted areas for segregating unaccompanied baggage that has undergone authorized screening by a vessel operator.

(2) The marine facility security plan shall include a requirement that, if a temporary restricted area is designated, a security sweep of it shall be conducted both before and after it is designated.

MARSEC Level 2

332. For MARSEC level 2, additional security procedures for restricted areas shall include, as appropriate to the facility's operations,

(a) increasing the intensity and frequency of monitoring and access control of restricted areas;

(b) enhancing the effectiveness of the physical barriers surrounding restricted areas, by the use of patrols or automatic intrusion detection devices;

(c) reducing the number of access points to restricted areas and enhancing the controls applied at the remaining access points;

(d) restricting the parking of vehicles adjacent to vessels;

(e) reducing access to the restricted areas and movements and storage in them;

(f) using surveillance equipment that records and monitors continuously;

(g) increasing the number and frequency of patrols, including the use of waterborne patrols; and

(h) establishing and restricting access to areas adjacent to restricted areas.

MARSEC Level 3

333. For MARSEC level 3, the additional security procedures for restricted areas shall include, as appropriate to the facility's operations,

(a) designating additional restricted areas;

(b) prohibiting access to restricted areas; and

(c) searching restricted areas as part of a security sweep of all or part of the marine facility.

Security Procedures for Handling Cargo

General

334. A marine facility security plan shall contain security procedures, as appropriate to the facility's operations, for cargo handling for each MARSEC level for

(a) deterring tampering and detecting evidence of it;

(b) preventing cargo that is not meant for carriage from being accepted or stored at the marine facility without the consent of the operator of the marine facility;

(c) identifying cargo that is accepted for loading onto vessels interfacing with the marine facility;

(d) controlling inventory at access points to the marine facility;

(e) identifying cargo that is accepted for temporary storage in a restricted area while awaiting loading or pick up;

(f) releasing cargo only to the carrier specified in the cargo documentation;

(g) coordinating with shippers and other persons responsible for cargo;

(h) creating, updating, and maintaining a continuous inventory of certain dangerous cargoes, from receipt to delivery in the marine facility, that sets out the location in which they are stored; and

(i) the examination of the documentation of cargo entering the marine facility.

MARSEC Level 1

335. For MARSEC level 1, the security procedures for cargo handling shall include, as appropriate to the facility's operations,

(a) verifying that cargo, containers and cargo transport units entering the marine facility match the invoice or other cargo documentation;

(b) routinely inspecting cargo, containers, cargo transport units and cargo storage areas in the marine facility before and during cargo handling operations to detect evidence of tampering, unless it is unsafe to do so;

(c) examining documents for vehicles entering the marine facility; and

(d) examining seals and other methods used to detect evidence of tampering when cargo, containers or cargo transport units enter the marine facility or are stored there.

MARSEC Level 2

336. For MARSEC level 2, the additional security procedures for cargo handling shall include, as appropriate to the facility's operations,

(a) authorized screening of cargo, containers, and cargo transport units in or about to enter the marine facility and cargo storage areas for weapons, explosives and incendiaries;

(b) intensifying inspections to ensure that only documented cargo enters the marine facility, is temporarily stored there and is then loaded on board a vessel;

(c) authorized screening of vehicles for weapons, explosives and incendiaries;

(d) increasing the frequency and detail of examinations of seals and other methods used to prevent tampering;

(e) segregating inbound cargo, outbound cargo and ships' stores;

(f) increasing the frequency and intensity of visual and physical inspections; and

(g) limiting the number of locations where certain dangerous cargoes are stored.

MARSEC Level 3

337. For MARSEC level 3, the additional security procedures for cargo handling shall include, as appropriate to the facility's operations,

(a) restricting or suspending cargo movements or operations in all or part of the marine facility;

(b) cooperating with responders and vessels; and

(c) confirming the inventory and location of certain dangerous cargoes in the marine facility.

Security Procedures for Delivery of Ships' Stores and Bunkers

General

338. A marine facility security plan shall contain security procedures, as appropriate to the facility's operations, for the delivery of ships' stores and bunkers for each MARSEC level for

(a) inspecting ships' stores for package integrity;

(b) preventing them from being accepted without inspection; and

(c) preventing tampering.

MARSEC Level 1

339. For MARSEC level 1, the security procedures for ships' stores and bunkers shall include, as appropriate to the facility's operations,

(a) coordinating with vessel operators that are inspecting ships' stores;

(b) requiring advance notification of the delivery of ships' stores or bunkers, including a list of stores or bunkers, and driver and vehicle registration information in respect of the delivery vehicle;

(c) inspecting delivery vehicles at the rate specified in the marine facility security plan; and

(d) controlling the delivery vehicles in the marine facility.

MARSEC Level 2

340. For MARSEC level 2, the additional security procedures for ships' stores and bunkers shall include, as appropriate to the facility's operations,

(a) coordinating with vessel operators that are inspecting ships' stores more intensively;

(b) authorized screening of delivery vehicles for weapons, explosives and incendiaries at the rate specified in the marine facility security plan;

(c) verifying that ships' stores and bunkers, before they enter the marine facility, match the invoice or other documentation;

(d) escorting delivery vehicles in the marine facility; or

(e) restricting or prohibiting the entry of ships' stores and bunkers that will not leave the marine facility within the period of time set out in the invoice or other documentation.

MARSEC Level 3

341. For MARSEC level 3, the additional security procedures for the delivery of ships' stores and bunkers shall include, as appropriate to the facility's operations,

(a) authorized screening of all delivery vehicles for weapons, explosives and incendiaries;

(b) restricting or suspending the delivery of ships' stores and bunkers; and

(c) refusing to accept ships' stores and bunkers in the marine facility.

Security Procedures for Monitoring

General

342. (1) A marine facility security plan shall contain, as appropriate to the facility's operations, security procedures for each MARSEC level for the continuous monitoring of

(a) the marine facility and its approaches on land and water;

(b) restricted areas in the marine facility; and

(c) vessels interfacing with the marine facility.

(2) The plan may provide that the monitoring may be effected by any combination of the following:

(a) lighting;

(b) security guards, on foot or in vehicles, and waterborne patrols; and

(c) automatic intrusion-detection devices and surveillance equipment.

(3) The following shall be ensured when establishing the appropriate level and location of lighting:

(a) marine facility personnel are able to detect activities at the marine facility;

(b) the lighting facilitates the identification of persons at access points; and

(c) the lighting can be provided through coordination with the port administration and vessels.

(4) The plan shall provide that monitoring equipment

(a) if it is an automatic intrusion-detection device, activates an audible or visual alarm, or both, at a location that is continuously attended or monitored;

(b) is able to function continuously, including during periods of adverse weather or power disruption;

(c) monitors access and movements adjacent to vessels interfacing with the marine facility; and

(d) limits lighting effects, such as glare, and their impact on safety, navigation and other security activities.

MARSEC Level 1

343. For MARSEC level 1, the security procedures shall provide, as appropriate to the facility's operations, for monitoring at all times.

MARSEC Level 2

344. For MARSEC level 2, the additional security procedures for monitoring shall include, as appropriate to the facility's operations,

(a) increasing the coverage and intensity of lighting and surveillance equipment, including the provision of additional lighting and surveillance;

(b) increasing the frequency of foot, vehicle or waterborne patrols; and

(c) assigning additional security personnel to monitor and patrol.

MARSEC Level 3

345. For MARSEC level 3, the additional security procedures for monitoring shall include, as appropriate to the facility's operations,

(a) switching on all lighting in, or illuminating the vicinity of, the marine facility;

(b) switching on all surveillance equipment capable of recording activities in or adjacent to the marine facility; and

(c) maximizing the length of time that surveillance equipment can continue to record.

Security Threats, Breaches of Security and Security Incidents

346. At each MARSEC level, the marine security plan shall contain procedures for the marine facility security officer and persons who have security responsibilities with respect to the facility to

(a) respond to security threats, breaches of security and security incidents and maintain critical marine facility and interface operations, including by

(i) prohibiting entry into the affected area,
(ii) denying access to the marine facility, except to persons responding to the threat, breach or incident,
(iii) implementing MARSEC level 3 security procedures throughout the marine facility,
(iv) stopping cargo-handling operations, and
(v) notifying shoreside authorities or vessels of the threat or incident;

(b) evacuate the marine facility in case of security threats and security incidents;

(c) report security threats, breaches of security and security incidents to the Minister;

(d) brief marine facility personnel on potential threats to security and the need for vigilance and their assistance in reporting suspicious persons, objects or activities; and

(e) secure non-critical operations in order to focus response on critical operations.

Additional Passenger Facility and Ferry Facility Requirements

347. (1) For MARSEC level 1, the marine facility security plan in respect of a passenger facility or a ferry facility shall contain security procedures additional to those required in sections 324 to 345 for

(a) in a marine facility with no designated public access area, establishing separate areas to segregate persons and goods, including vehicles, that have not been screened from those that have;

(b) in a marine facility with a designated public access area, providing sufficient security personnel to monitor all persons in the area and to conduct screening of persons and goods;

(c) screening vehicles to be loaded on board a vessel for weapons, explosives and incendiaries before loading;

(d) screening all unaccompanied vehicles to be loaded on board a vessel for weapons, explosives and incendiaries before loading; and

(e) denying passenger access to restricted areas unless the restricted areas are monitored by marine facility security personnel.

(2) For MARSEC level 2, the marine facility security plan in respect of a passenger facility or ferry facility that has no designated public access area shall contain additional security procedures for the screening of passengers and goods, including vehicles, before they board or are loaded on board a vessel.

(3) For MARSEC level 3, the marine facility security plan of a passenger facility or ferry facility with no designated public access area shall contain additional security procedures for

(a) verifying the identity of all persons and conducting authorized screening of them for weapons, explosives and incendiaries;

(b) conducting authorized screening of all goods, including vehicles, for weapons, explosives and incendiaries; and

(c) assigning additional security personnel and patrols.

Additional Requirements for Cruise Ship Terminals

348. For each MARSEC level, the marine facility security plan in respect of a cruise ship terminal shall contain security procedures additional to those required in sections 324 to 345 for

(a) verifying the identity of all persons seeking to enter a controlled access area of the cruise ship terminal by, for example, confirming the reason for boarding or examining joining instructions, passenger tickets, boarding passes, government identification, visitor badges or work orders;

(b) assisting the operator of a vessel to coordinate the authorized screening of all persons and goods, including vehicles, for weapons, explosives and incendiaries;

(c) designating holding, waiting and embarkation areas to segregate persons and baggage that have been screened and are awaiting embarkation from those that have not been screened;

(d) providing additional security personnel to designated holding, waiting, and embarkation areas; and

(e) denying passenger access to restricted areas.

Additional Requirements for CDC Facilities

349. (1) For each MARSEC level, the marine facility security plan in respect of a CDC facility shall contain security procedures additional to those required in sections 324 to 345 for

(a) except in the case of prearranged cargo deliveries, escorting all persons who are not personnel of the CDC facility at all times while they are at the CDC facility if they do not provide access identification;

(b) controlling the parking and loading and unloading of vehicles;

(c) requiring security personnel to record or report their presence at key points during their patrols;

(d) conducting a security sweep of unmanned or unmonitored waterfront areas for dangerous substances and devices before a vessel's arrival; and

(e) providing an alternative or independent power source for security and communication systems.

(2) For MARSEC level 2, the additional security procedures shall include

(a) releasing cargo only in the presence of the marine facility security officer; and

(b) continuously guarding or patrolling restricted areas.

(3) For MARSEC level 3, the marine facility security plan shall contain additional security procedures to ensure that the CDC facility is continuously guarded and the restricted areas are patrolled.

Additional Requirements for Barge Fleeting Facilities

350. (1) For MARSEC Level 1, the marine facility security plan in respect of a barge fleeting facility shall contain security procedures additional to those required in sections 324 to 345 for

(a) designating a restricted area in the barge fleeting facility to segregate the barges transporting dangerous goods other than products, substances or organisms identified in Class 4 of the schedule to the Transportation of Dangerous Goods Act, 1992, in bulk from all other barges in the facility;

(b) maintaining a current list of vessels and cargoes that are in the designated restricted area; and

(c) ensuring that at least one towing vessel is available to service every 100 barges in the barge fleeting facility.

(2) For MARSEC level 2, the marine facility security plan of a barge fleeting facility shall contain additional security procedures to ensure that security personnel are assigned to monitor and patrol the designated restricted areas.

(3) For MARSEC level 3, the marine facility security plan of a barge fleeting facility shall contain additional security procedures to ensure that both shoreside and waterside perimeters of the designated restricted areas are continuously monitored and patrolled.

Audits and Amendments

351. (1) An audit of a marine facility security plan shall take into account the most recent marine facility security assessment and determine whether there are any deficiencies or changes in security threats, procedures, responsibilities of personnel, operations or operator that require amendments to be made to the plan.

(2) An audit is conducted

(a) annually, effective on the day on which the plan is approved; and

(b) whenever there is a new operator of the marine facility, a change in operations or location or modifications to the marine facility that could affect its security.

(3) Persons conducting an audit shall have knowledge of the methods of conducting audits and inspections and of access control and monitoring techniques and, if possible, be independent of the activities being audited.

(4) If the results of an audit require an amendment to be made to the marine facility security assessment or plan, the marine facility security officer shall submit an amendment for approval within 30 days after completion of the audit.

(5) The operator of a marine facility may submit to the Minister other amendments to the approved marine facility security plan. They shall be submitted at least 30 days before they are to take effect.

(6) The operator of a marine facility shall, within 60 days after the day on which the Minister informs the operator in writing that the marine facility security plan no longer meets the requirements to remain approved, ensure that amendments are submitted for approval.

(7) If amendments are submitted under subsection (4) or (7) and the amended plan is not approved, the plan ceases to be valid on the day on which the operator of the marine facility receives notification that the plan is not approved.

(8) The marine facility security officer shall attach to the plan an approval document issued under subsection 352(1).

Submission and Approval

352. (1) The Minister shall approve a marine facility security plan and issue a document that certifies that the plan meets the requirements of this Part unless approving the plan is not in the public interest and is likely to adversely affect marine transportation security.

(2) Subject to subsection 351(7), a plan is valid for the period fixed by the Minister, not exceeding five years after the day on which it is approved by the Minister. In fixing the period, the Minister shall consider the following:

(a) the marine facility's operations and the industry in which it operates;

(b) the operator's security record;

(c) the marine facility's security record; and

(d) the complexity of the marine facility security plan and the details of its procedures.

[353 and 354 reserved]

Occasional-Use Marine Facilities

Operator

355. The operator of an occasional-use marine facility shall

(a) establish an administrative and organizational structure for security at the marine facility;

(b) provide every person who has responsibilities under this Part with the support needed to fulfil their responsibilities;

(c) designate in writing an occasional-use marine facility security officer by name or by a position other than the position for which the designation is being made;

(d) ensure that the implementation of the marine facility security procedures is coordinated with vessels interfacing with the marine facility;

(e) coordinate, with the master of a vessel and, if applicable, the port security officer, shore leave for vessel personnel or crew change, as well as access through the marine facility of visitors to vessels, including representatives of seafarers' welfare and labour organizations; and

(f) provide information respecting the security of the facility to those persons who need it to fulfil the requirements of these Regulations.

Occasional-Use Marine Facility Security Officer

General

356. (1) An occasional-use marine facility security officer may

(a) act in that capacity for more than one occasional-use marine facility if they are able to fulfil the responsibilities for each occasional-use marine facility;

(b) have other responsibilities within the operator's organization if they are able to fulfil their responsibilities; and

(c) delegate tasks required by section 359.

(2) An occasional-use marine facility security officer remains responsible for the performance of the tasks they delegate.

Qualifications

357. (1) An occasional-use marine facility security officer shall have, by training or job experience, knowledge that is relevant to the marine facility in the areas that relate to their responsibilities.

(2) The areas of knowledge include the following:

(a) the administrative and organizational structure for security at the occasional-use marine facility;

(b) the operations and operating conditions of the occasional-use marine facility and vessels;

(c) the security procedures of the occasional-use marine facility, vessels and port, including the meaning and the requirements of the different MARSEC levels;

(d) emergency preparedness and response and contingency planning;

(e) security equipment and systems and their operational limitations;

(f) relevant international conventions, codes, standards and recommendations;

(g) relevant legislation, regulations and security measures, rules and procedures; and

(h) the responsibilities and functions of municipal, provincial and federal law enforcement agencies.

Responsibilities

358. An occasional-use marine facility security officer shall

(a) ensure security awareness and vigilance at the occasional-use marine facility, including awareness of changes in the MARSEC level and other circumstances that might affect work conditions there;

(b) ensure that appropriate security training is provided to personnel at the occasional-use marine facility in accordance with this Part;

(c) report security incidents to the appropriate law enforcement agencies and the Minister as soon as possible after they occur so that an investigation can be conducted;

(d) coordinate the signing and implementation of the declaration of security between the occasional-use marine facility and interfacing vessel;

(e) shall, in the case of an interface with a vessel to which Part 2 applies, ensure that

(i) security sweeps are performed before and after the interface in order to confirm the absence of security threats, dangerous substances or devices, and
(ii) implement any temporary security procedures that are required during the interface; and

(f) keep records of security sweeps and declarations of security in respect of the occasional-use marine facility.

[359 and 360 reserved]

Ports

Definitions

361. In sections 362 to 375, "port" means

(a) a port as defined under section 5 of Canada Marine Act;

(b) a harbour for which a harbour commission is established under subsection 5(1) of the Harbour Commissions Act;

(c) a public port designated under section 65 of the Canada Marine Act in which a marine facility that interfaces with a vessel to which Part 2 applies is situated; or

(d) a group of marine facilities, in close proximity to each other, the operators of which agree with each other to subject themselves to sections 362 to 375.

Responsibilities of the Port Administration

362. A port administration shall

(a) establish, convene, and direct a port security committee;

(b) designate in writing, by name, a port security officer who will chair the port security committee;

(c) conduct an on-site survey and submit to the Minister the security assessment information respecting the port;

(d) provide the Minister with the information that is necessary to conduct a vulnerability assessment;

(e) submit a port security plan, and any amendment, to the Minister for approval;

(f) ensure the coordination of marine transportation security in consultation with the port security committee; and

(g) ensure that the requirements of sections 363 to 375 are fulfilled.

Responsibilities of the Port Security Officer

363. The port security officer shall develop and maintain a port security plan with the marine facility security officers and in consultation with representatives of labour, from the marine facilities at the port.

Responsibilities of the Port Security Committee

364. The port security committee shall coordinate marine transportation security, which may include

(a) the identification of critical infrastructure and operations;

(b) the identification of risks, threats, vulnerabilities and consequences;

(c) the determination of mitigation strategies and implementation methods; and

(d) the establishment of a process to continually evaluate marine transportation security.

Composition of the Port Security Committee

365. The chair of the port security committee may appoint other committee members from organizations concerned or affected by the security of the port including representatives of marine facilities, labour and municipal and provincial governments.

Port Security Assessments

366. Security assessment information in respect of a port shall

(a) be in English or French;

(b) be based on background information, the completion of an on-site survey and an analysis of that information and survey;

(c) identify and evaluate

(i) the physical aspects of the port that are the most important to protect and the means for protecting the personnel,
(ii) possible threats to the port, and the likelihood of their occurrence, in order to establish security procedures and countermeasures and their order of priority, and
(iii) the vulnerabilities, including human factors, in the security of the port;

(d) be protected from unauthorized access or disclosure; and

(e) if stored in electronic format, have procedures to prevent its unauthorized deletion, destruction or amendment.

Requirements for Persons Providing Port Security Assessment Information

367. The persons who provide port security assessment information shall have, collectively, the competence to evaluate the security of the port, including knowledge in the following areas:

(a) current security threats and patterns;

(b) the detection and recognition of weapons, explosives and incendiaries and other dangerous substances and devices;

(c) the recognition of the characteristics and behavioural patterns of persons who are likely to threaten security;

(d) techniques that might be used to violate security procedures or to circumvent security procedures, equipment or systems;

(e) methods used to cause a security incident;

(f) the effects of dangerous substances and devices on structures and essential services;

(g) port security, marine facility and vessel security requirements;

(h) marine facility and vessel interface business practices;

(i) emergency preparedness and response and contingency planning;

(j) physical security requirements;

(k) radio and telecommunications systems, including computer systems and networks;

(l) marine or civil engineering; and

(m) marine facility and vessel operations.

Port Security Assessment Information

368. Port security assessment information shall consist of the following:

(a) the general layout of the port, including the location of

(i) active and inactive access points to the port,
(ii) security doors, barriers, and lighting,
(iii) restricted areas,
(iv) emergency and stand-by equipment available to maintain essential services,
(v) storage areas for maintenance equipment, unaccompanied baggage, ships' stores and cargo,
(vi) escape and evacuation routes and assembly stations, and
(vii) existing security and safety equipment for the protection of personnel and visitors;

(b) changes in the tide that might have an impact on the vulnerability or security of the port;

(c) a list of the emergency and stand-by equipment available to maintain essential services;

(d) for each marine facility in the port, the number of personnel and the security tasks of persons with security responsibilities;

(e) existing security and safety equipment for the protection of personnel and visitors at the port;

(f) escape and evacuation routes and assembly stations that have to be maintained to ensure the orderly and safe emergency evacuation of the port;

(g) the results of security audits; and

(h) security procedures in effect, including inspection and access control procedures, identification systems, surveillance and monitoring equipment, personnel identification documents and communication, alarm, lighting and other appropriate systems.

Elements of Port Security Assessments

369. The Minister shall conduct a port security assessment that addresses the following elements in respect of the port, as applicable:

(a) the physical security;

(b) the structural integrity;

(c) personnel protection systems;

(d) operational procedures that might impact on security;

(e) the radio and telecommunications systems, including computer systems and networks;

(f) the relevant transportation support infrastructure;

(g) utilities;

(h) response organizations; and

(i) other elements that might, if damaged or used illicitly, pose a risk to persons, property or operations at the port.

On-site Survey and Vulnerability Assessments

370. The on-site survey shall examine and evaluate current protective procedures and operations to verify or collect port security assessment information.

371. (1) A port security assessment shall include a vulnerability assessment undertaken in consultation with the operators of marine facilities in the port and representatives of labour to determine the following so as to produce an overall assessment of the level of risk against which security procedures have to be developed:

(a) any particular aspect of the port, including vessel traffic in the vicinity, that could make it a target of an attack;

(b) the possible consequences of an attack against the port in terms of loss of life, damage to property and economic disruption, including disruption to marine transport systems;

(c) the capability and intent of persons likely to mount an attack; and

(d) the possible types of attack.

(2) The vulnerability assessment shall include a consideration of the following:

(a) current security procedures, including identification systems;

(b) methods and points of access to the port;

(c) the procedures to protect radio and telecommunications equipment, including computer systems and networks;

(d) any conflicting policies between safety and security procedures;

(e) any enforcement or personnel constraints;

(f) methods for monitoring restricted areas and other areas that have restricted access to ensure that only authorized persons have access;

(g) areas adjacent to the port that might be exploited during or for an attack;

(h) current security procedures relating to utilities and other services;

(i) any deficiencies identified during training or drills;

(j) any deficiencies identified during daily operations or following incidents or alerts, reports of security concerns, the application of control measures or audits; and

(k) the structural integrity of the port.

Port Security Plan

General

372. (1) A port security plan

(a) shall be based on the findings of the port security assessment;

(b) shall be in English or French;

(c) shall be protected from unauthorized access or disclosure;

(d) shall, if stored in electronic format, have procedures to prevent its unauthorized deletion, destruction or amendment; and

(e) shall be submitted to the Minister for approval.

(2) A plan is valid for the period fixed by the Minister, not exceeding five years after the day on which it is approved by the Minister. In fixing the period, the Minister shall consider the following:

(a) the port's operations and the industry in which it operates;

(b) the port administration's security record; and

(c) the complexity of the port security plan and the details of its procedures.

Content

373. The port security plan shall address each vulnerability identified in the port security assessment and include

(a) the organization of the port administration in terms of security, including the tasks of personnel who have security responsibilities;

(b) the name of the port administration and the name and position of the port security officer, including information on how they may be contacted at any time;

(c) the identification of restricted areas and any security procedures, equipment or systems for those areas;

(d) a description of procedures for and frequency of exercises;

(e) a description of procedures for the following:

(i) ensuring the security of information in the port security plan and keeping the records referred to in section 375,
(ii) maintaining security and communication systems and equipment,
(iii) identifying and correcting security equipment or systems failures or malfunctions,
(iv) communications,
(v) responding to changes in the MARSEC level,
(vi) preventing unauthorized weapons, explosives, incendiaries or other dangerous substances or devices from entering the marine facilities in the port,
(vii) reporting security threats and security incidents to the appropriate law enforcement agencies and the Minister as soon as possible after they occur so that an investigation can be conducted,
(viii) reporting breaches of security to the Minister,
(ix) securing non-critical operations in order to focus response on critical operations, and
(x) periodically reviewing, updating and auditing the port security plan; and

(f) a description of

(i) security procedures, equipment and systems for access control,
(ii) security procedures for the delivery of ships' stores and bunkers,
(iii) security procedures, equipment and systems for monitoring the port and surrounding area, and
(iv) procedures for security threats, breaches of security and security incidents, including procedures for the evacuation of the port.

Port Security Exercises

374. (1) Port security exercises

(a) shall fully test the port security plan and include the substantial and active participation of personnel who have security responsibilities in the port;

(b) may include security personnel from vessels, other marine facilities or competent authorities depending on the scope and the nature of the exercises; and

(c) shall test communication and notification procedures and elements of coordination, resource availability and response.

(2) The port security exercises shall be conducted at least once every calendar year with no more than 18 months between them.

(3) Exercises may

(a) be full-scale or live;

(b) be a tabletop simulation or seminar;

(c) be combined with other appropriate exercises; or

(d) be a combination of two or more of the elements set out in paragraphs (a) to (c).

Port Record Keeping

375. (1) The port security officer shall, in respect of the port, keep records of

(a) security training, including the date, the duration and description and the names of the participants;

(b) security drills and exercises, including the date and description, the names of the participating marine facilities and any best practices or lessons learned that might improve the port security plan;

(c) security threats, breaches of security and security incidents, including the date, time, location and description, the response to them and the person to whom they were reported;

(d) changes in the MARSEC level, including the date, the time that notification was received and the time of compliance with the security requirements of the new level;

(e) maintenance, calibration and testing of equipment used in security, including the date and time of the activity and the equipment involved;

(f) internal audits and reviews of security activities;

(g) security assessment information;

(h) the port security assessment and each periodic review of the port security assessment, including the date on which it was conducted and the findings of the review;

(i) the port security plan and each periodic review of the port security plan, including the date on which it was conducted, the findings of the review and any amendments to the plan that are recommended;

(j) each amendment to the port security plan, including the date of its approval and implementation; and

(k) a list of the persons in the port administration who have security responsibilities.

(2) Records respecting equipment that is not used exclusively for security may be kept separately from the records respecting equipment that is used exclusively for security if

(a) the port security officer documents, in written or electronic form, their existence and location and the name of the person responsible for their maintenance; and

(b) they are accessible to the port security officer.

(3) The port security officer shall ensure that the records are kept for at least two years after the day on which they are made and make them available to the Minister on request.

(4) The records shall be protected from unauthorized access or disclosure.

(5) The records may be kept in electronic format if they are protected from deletion, destruction and revision.

(6) No person shall disclose security information contained in the records, unless the disclosure is for the purpose of complying with these Regulations.

[376 to 379 reserved]

Restricted Areas

Access

380. No person shall enter or remain in a restricted area unless they are

(a) the holder of a restricted area pass;

(b) a person being escorted by a holder of a restricted area pass;

(c) a member of one of the following groups who is on duty at a marine facility or on a vessel at a marine facility:

(i) any police force in Canada,
(ii) the Canadian Security Intelligence Service,
(iii) the Canadian armed forces as defined in subsection 2(1) of the National Defence Act, or
(iv) a visiting force as defined in section 2 of the Visiting Forces Act; or

(d) a provider of emergency services who requires access to the area for the protection and preservation of life or property.

381. (1) A person who is being escorted in a restricted area shall remain with the escort while in the restricted area.

(2) An escort shall remain with the person being escorted or ensure that another holder of a restricted area pass acts as the escort while the person is in the restricted area.

382. No person shall provide access to or assist another person to enter a restricted area unless the person accessing the restricted area is authorized under section 380.

383. The holder of a restricted area pass shall, when they enter or remain in a restricted area, display the pass on their outer clothing and above their waist, with their photograph or other facial image visible at all times.

Restricted Area Passes or Keys

General

384. An operator of a marine facility may issue a restricted area pass or a key only to a person

(a) who is employed at a marine facility and requires access to a restricted area in the performance of their duties; and

(b) whose identity has been confirmed by

(i) valid photo-bearing identification issued by the Government of Canada or of any province, territory or municipality in Canada,
(ii) valid photo-bearing identification issued by an employer known to the operator, or
(iii) by an individual known to the operator.

385. (1) A holder of a restricted area pass or key that has been lost or stolen shall immediately report its loss or theft to the operator of the marine facility.

(2) The operator shall immediately cancel a restricted area pass and any associated key upon being notified of its loss or theft.

386. (1) A port administration or an operator of a marine facility shall keep a record of

(a) the number of restricted area passes or keys issued and, for each pass, the name of the holder, the number of the pass or key, the date of issue, the period of validity, and, if applicable, the date of suspension or revocation; and

(b) lost or stolen passes or keys.

(2) The records shall be kept for at least two years after they are made and shall make them available to the Minister on request.

387. A person shall not provide false information for the purpose of obtaining a restricted area pass or a key.

388. A person shall not use a restricted area pass or a key except while in the performance of their duties.

389. (1) The holder of a restricted area pass or a key shall return it to the marine facility operator or the person who issued it when

(a) the holder ceases to work at a marine facility; or

(b) the holder otherwise ceases to require access to the restricted areas for which the pass or key was issued.

(2) When a restricted area pass or a key is returned to an employer, the employer shall immediately give it to the marine facility operator or the person who issued it.

390. A person shall surrender on demand a restricted area pass or a key in their possession to the marine facility operator, the person who issued it, a peace officer or the Minister.

391. No person shall

(a) loan or give a restricted area pass or a key that was issued to one person to another person;

(b) alter or otherwise modify a restricted area pass or a key;

(c) have or use a restricted area pass or a key that was issued to another person;

(d) use a counterfeit restricted area pass or key; or

(e) make or reproduce a copy of a restricted area pass or key.

Content

392. A restricted area pass shall

(a) show the name, height and eye colour of the person to whom the pass has been issued, a clear photograph of the person's head and shoulders, and an expiry date that does not exceed five years after the date of issue; or

(b) be supported by documentation that contains an expiry date or other information to indicate the period during which access is required and sufficient information to enable identification of the pass holder.

Administration

393. (1) A port administration may issue restricted area passes and keys on behalf of marine facility operators in the port.

(2) If a port administration administers restricted areas passes on behalf of marine facility operators in the port, a marine facility operator shall cooperate with the port administration and shall provide it with the information required.

[394 to 399 reserved]

PART 4

REPEAL AND COMING INTO FORCE

Repeal

400. The Marine Transportation Security Regulations (Cruise Ships and Cruise Ship Facilities) (see footnote 2) are repealed.

Coming Into Force

401. These Regulations come into force on July 1, 2004.

[14-1-o]

Footnote 1

United States Coast Guard (2003). Navigation and Vessel Inspection Circular No. 04 03. Washington, D.C.: United States Coast Guard. [Available online: <http://www.uscg.mil/hq/g-m/nvic/NVIC_04-03.pdf>]

Footnote a

S.C. 1994, c. 40

Footnote 2

SOR/97-270

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