Department of Homeland Security Small Vessel Security Strategy

DEPARTMENT OF HOMELAND SECURITY

SMALL VESSEL
SECURITY STRATEGY
APRIL 2008

i
Department of Homeland Security Small Vessel Security Strategy

FOREWORD

Since the terrorist attacks of September 11, 2001,

maritime security efforts have focused primarily
on large commercial vessels, cargoes, and crew.
Efforts to address the small vessel 1 environment
have largely been limited to traditional safety and
basic law enforcement concerns. Small vessels
are, however, readily vulnerable to potential
exploitation by terrorists, smugglers of weapons of
mass destruction (WMDs), narcotics, aliens, and
other contraband, and other criminals. Small
vessels have also been successfully employed
overseas by terrorists to deliver Waterborne
Improvised Explosive Devices (WBIEDs).
Additionally, a significant number of these craft
Law enforcement agencies face the challenge of operate internationally, especially in regions such
distinguishing between the vast number of as the Great Lakes, the Gulf of Mexico, and the
legitimate vessel operators and the relatively few Caribbean Sea. During Fiscal Year 2006, only
individuals engaged in illicit activities. The 70,000 boater foreign arrivals were recorded in the
challenge is immense, as it involves nearly 13 U.S. Customs and Border Protection (CBP)
million registered U.S. recreational vessels, 2 Pleasure Boat Reporting System (PBRS), based on
82,000 fishing vessels, and 100,000 other boater self-reporting. Conservative estimates
commercial small vessels. On any given day, a suggest that these reporting figures represent only
considerable number of these boats share a fraction of the actual international boater traffic,
waterways with commercial and military traffic, especially given the ease with which boaters
operating at hundreds of U.S. ports and in the operate in these waters.
immediate vicinity of critical maritime
infrastructure, including bridges and waterfront Currently, the U.S. Government has an incomplete
facilities such as petrochemical plants. More knowledge of the international recreational
information concerning small vessels is needed to boating public, their travel patterns, and the
improve the proper assessment of the risk posed facilities they use. Couple this with the limited
by these vessels. The challenge is to balance the information available regarding fishing fleets and
collection of requisite information necessary for the multitude of small commercial vessels
proper assessment of risk posed by these vessels, operating in or near U.S. waters and the
with the freedom of the seas expected by the small complexity of the issue becomes obvious.
boating community.
Hence, there is a clear need to close security gaps
and enhance the small vessel security
environment. The Small Vessel Security Strategy
1
Small vessels are characterized as any watercraft regardless of method of
(SVSS) addresses these concerns and provides a
propulsion, less than 300 gross tons. Small vessels can include commercial coherent framework to improve maritime security
fishing vessels, recreational boats and yachts, towing vessels, uninspected and safety. It envisions a coordinated effort of
passenger vessels, or any other commercial vessels involved in foreign or
U.S. voyages. Federal, state, local, and Tribal authorities,
2
CG 2006 boater statistics compiled from state boater registration reports together with international partners, private
(does not include unregistered watercraft, which, when combined with industry, and recreational users of the waterways.
registered boats, is estimated at 17 million total U.S. watercraft).

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Department of Homeland Security Small Vessel Security Strategy

TABLE OF CONTENTS

FOREWORD................................................................................................................................................................................. i

TABLE OF CONTENTS............................................................................................................................................................iii

EXECUTIVE SUMMARY......................................................................................................................................................... iv

INTRODUCTION........................................................................................................................................................................ 1

PURPOSE OF THE STRATEGY ................................................................................................................................ 1

SCOPE ............................................................................................................................................................................ 1

RELATIONSHIP TO OTHER STRATEGIES AND PLANS................................................................................... 1

METHODOLOGY ........................................................................................................................................................ 2

KEY DEFINITIONS ..................................................................................................................................................... 2

STRATEGIC ENVIRONMENT................................................................................................................................................. 4

IMPORTANCE OF THE MARITIME DOMAIN ..................................................................................................... 4

MARITIME GOVERNANCE ...................................................................................................................................... 5

SMALL VESSEL COMMUNITY................................................................................................................................ 5

SMALL VESSEL RISK ................................................................................................................................................ 6

STRATEGIC VISION ............................................................................................................................................................... 15

GUIDING PRINCIPLES ............................................................................................................................................ 15

OVERARCHING VISION AND MAJOR GOALS ................................................................................................. 16

RISK MANAGEMENT............................................................................................................................................................. 22

ORGANIZATIONAL ROLES, RESPONSIBILITIES, AND COORDINATION............................................................... 24

THE WAY AHEAD ................................................................................................................................................................... 29

CONCLUSION........................................................................................................................................................................... 31

APPENDIX A—UNITED STATES FEDERAL GOVERNMENT RESPONSIBILITIES ............................................... A-1

APPENDIX B—RELEVANT AUTHORITIES .................................................................................................................... B-1

APPENDIX C—EXISTING INTERAGENCY INSTITUTIONS ....................................................................................... C-1

APPENDIX D—ACRONYMS................................................................................................................................................ D-1

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Department of Homeland Security Small Vessel Security Strategy

EXECUTIVE SUMMARY

The Department of Homeland Security (DHS)

Small Vessel Security Strategy (SVSS) exists
within the framework of other security strategies.
It does not replace any of the current strategies or
relevant documents. Rather, this strategy
harmonizes directions from related strategies into
a multi-layered, unified approach for the
component agencies within the DHS, and to lay
the groundwork for DHS participation in
coordination across all levels of government, as
well as other public, private and international
stakeholders in the maritime domain. This
strategy’s purpose is to address the risk that
small vessels 1 might be used to smuggle
terrorists or WMD into the United States or
might be used as either a stand-off weapon been effective in controlling risk in the operation
platform or as a means of a direct attack with a of larger vessels that fall under the traditional
WBIED. The resulting risks are difficult to oversight and regulations of commercial
manage because small vessels are not centrally operations in international trade. These solutions
registered, operators have not always provide direction, but each solution needs to be
demonstrated proficiency in small vessel creatively adapted to suit the circumstances of
operations, and the ability to screen or detect small vessels, due to their difference in size,
vessel-borne hazards is extremely limited. There operation, and use compared to larger
is, moreover, a tradition and expectation among commercially operated vessels.
the large population of small vessel operators of
largely unrestricted access to U.S. waterways. This strategy identifies specific goals where
efforts can achieve the greatest risk reduction
This strategy also describes the small vessel across the breadth of the maritime domain. Its
community and the environment in which it guiding principles are that: solutions shall be
operates. It discusses and identifies the threats, risk-based; education and training are the key
vulnerabilities, and consequences resulting from tools for enhancing security and safety; and
four key risk scenarios. Understanding the economic and national security needs will not be
relationship of the threat, risk, vulnerability, and compromised.
consequence of a small vessel terrorist attack on
the United States will help to reduce the risk of The overarching goals of the Small Vessel
such an attack. The guiding principles and Security Strategy are to: enhance maritime
overall goals of this strategy complement security and safety based on a coherent
existing solutions for large vessels. These have framework with a layered, innovative approach;
develop and leverage a strong partnership with
the small vessel community and public and
private sectors in order to enhance maritime
1
Small vessels are characterized as any watercraft regardless of method domain awareness; leverage technology to
of propulsion, less than 300 gross tons. Although there is no exact
correlation between a vessel’s length and its gross tonnage, a vessel of enhance the ability to detect, infer intent, and
300 GT is approximately 100 ft in length. when necessary, interdict small vessels that pose

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Department of Homeland Security Small Vessel Security Strategy

a maritime security threat; and enhance work sites that could uncover and ultimately help
cooperation among international, Federal, state, disrupt terrorist activity.
local, and Tribal partners and the private sector
(e.g., marinas, shipyards, small vessel and The private sector is also a critical partner in
facility operators), and, in coordination with the rebuilding critical infrastructure and key
Department of State and other relevant federal resources affected by a catastrophic incident as
departments and agencies, international partners. well as in fielding scientific and technological
This strategy lays out the appropriate way advancements that can help secure the United
forward in managing and controlling risks posed States. Due to the multiple and essential roles the
by the potential threat and possibly dire private sector plays across all areas of homeland
consequences of small vessel exploitation. security, continued collaboration and
engagement with the private sector to strengthen
The private sector performs a central role in small vessel security is imperative.
Homeland Security and can assist authorities in
reducing each of the components of risk (threat, It is understood that the vast size of the small
vulnerability, and consequence). vessel community makes the efforts to manage
and reduce the overall risk in the maritime
Small vessel operators can be effective partners domain difficult. Yet, it is clear that an effective
in detecting threats in our ports and on our partnership through the layers of stakeholders
waterways. The large number of small vessel and government authorities involved in security
operators and their familiarity with the local area operations, and commercial and recreational
and patterns of waterway use make it possible pursuits, comprises one of the nation’s greatest
that small vessel operators will be the first to assets for reduction of small vessel related risks.
recognize suspicious behavior. DHS must
promote and strengthen their effectiveness
through public dialogue regarding their role in
homeland security and specialized programs
such as America’s Waterway Watch. Non­
governmental organizations are key partners in
keeping this dialogue going.

The private sector, through its efforts at securing

private facilities from unauthorized entry and
other intrusions, plays a key role in reducing our
vulnerability to terrorist exploitation of small
vessels. Small vessel operators can reduce
vulnerability by ensuring their vessels are secure
and protected against unauthorized use.

The private sector is the Nation’s primary

provider of goods and services and the owner
and operator of approximately 85 percent of our
critical infrastructure. It is an essential partner in
ensuring structural and operational resilience that
protects the American people, establishing
security around critical infrastructure and key
resources, and reporting suspicious activities at

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Department of Homeland Security Small Vessel Security Strategy

INTRODUCTION

PURPOSE OF THE STRATEGY

The intent of the Small Vessel Security Strategy
(SVSS) is to reduce potential security and safety
risks from small vessels 1 through the adoption
and implementation of a coherent system of
regimes, awareness, and security operations that
strike the proper balance between fundamental
freedoms, adequate security, and continued
economic stability. Additionally, the strategy is
intended to muster the help of the small vessel
community in reducing risks in the maritime
domain.

SCOPE consideration small vessels regardless of type.

The small vessel community includes a wide-
The SVSS is designed to guide efforts to range of vessels, from small commercial vessels,
mitigate the potential security risks arising from such as uninspected towing vessels and
small vessels operating in the maritime domain. passenger vessels, to commercial fishing vessels
While guiding DHS efforts, this strategy and recreational boats, whether personal
acknowledges that to effectively reduce risk, all watercraft or large power and sail boats.
maritime security partners—Federal, state, local,
and Tribal partners and the private sector as well RELATIONSHIP TO OTHER
as international partners—must work together to
develop, implement, and undertake cooperative STRATEGIES AND PLANS
actions to reduce both security and safety risks
from misuse of small vessels. The SVSS complements and is consistent with
all applicable portions of the following
Much of the recent U.S. maritime security efforts legislations and strategies:
have focused on regulating cargo containers and • 2002 Homeland Security Act
large vessels at official Ports of Entry (POE).
• 2002 Maritime Transportation Security
Examples of such regulations include the 96hour
Act
Advance Notice of Arrival, cargo manifest/crew
list transmittal within 24 hours of departure, and • 2004 Department of Homeland Security
the carriage requirement for the Automatic Strategic Plan
Identification System (AIS). This strategy • 2005 National Defense Strategy
broadens the focus of federal interest, taking into • 2005 National Intelligence Strategy
• 2005 National Strategy for Maritime
1
Security
Small vessels are characterized as any watercraft regardless of method
of propulsion, less than 300 gross tons. Although there is no exact • 2006 National Security Strategy
correlation between a vessel’s length and its gross tonnage, a vessel of
300 GT is approximately 100 ft in length.

Department of Homeland Security Small Vessel Security Strategy

• 2006 National Strategy for Combating Maritime Transportation System Security

Terrorism Recommendations.
• 2006 National Strategy to Combat

Terrorist Travel
METHODOLOGY
• 2007 National Strategy for Homeland
Security A DHS working group developed the SVSS and
applied risk management principles to address
Specifically, SVSS incorporates the indicated four key risk scenarios from small vessels
guidance contained in the following: (enumerated in the Strategic Environment
section). It built upon prior efforts such as the
• the use of risk-based decisions to
U.S. Coast Guard’s (USCG) Small Vessel
prioritize DHS resource investments
Information Gap Analysis, 2 the Small Vessel
embodied in the National Strategy for
Risk Task Force Report, and the U.S. Customs
Homeland Security and the DHS
and Border Protection (CBP)/USCG Joint Small
Strategic Plan
Vessel Security Risk Strategic Principles. These
• the principles of the National Security documents and other precursor studies and
Presidential Directive-41/Homeland analyses, along with the inputs from the June
Security Presidential Directive-13 2007 National Small Vessel Security Summit
(NSPD-41/HSPD-13), which underscore held in Arlington, Virginia, were critical in
the importance of securing the maritime developing the SVSS.
domain
• identifying threats as early and as distant
from U.S. shores as possible per the
KEY DEFINITIONS
National Plan to Achieve Maritime
The following definitions do not constitute, and
Domain Awareness
are not intended to be, an exhaustive list of
• using existing capabilities to analyze and terms, nor is it to be understood to express a
disseminate all available intelligence comprehensive, legally-binding view. These
regarding potential threats to U.S. characterizations are provided to assist in
interests in the maritime domain understanding the application of risk assessment
according to the Global Maritime methodology to the small vessel security
Intelligence Integration Plan environment for the purpose of this strategy.
• coordinating the Federal Government’s
response to threats and delineating roles Small vessels are characterized for the purposes
and responsibilities consistent with the of this strategy as any watercraft—regardless of
Maritime Operational Threat Response method of propulsion—less than 300 gross tons,
Plan and used for recreational or commercial
purposes. Small vessels can include commercial
• providing the framework coordinating all
fishing vessels, recreational boats and yachts,
maritime security initiatives undertaken
towing vessels, uninspected passenger vessels,
with foreign governments, international
and any other personal or commercial vessels
organizations, and private corporations
involved in U.S. or foreign voyages.
overseas in keeping with the
International Outreach and Coordination
Strategy, and
• improving the security of the marine 2
Conducted as part of the USCG’s Combating Maritime
transportation system consistent with the Terrorism Campaign Plan.

Department of Homeland Security Small Vessel Security Strategy

Maritime Domain is all areas and things of, on, succeed against a particular target or class of
under, relating to, adjacent to, or bordering on a targets. 4
sea, ocean, or other navigable waterway,
including all maritime related activities, Consequence of an attack is the magnitude of
infrastructure, people, cargo, vessels, and other the adverse impact of a successful attack. The
conveyances. outcome of an attack may include many forms,
such as the loss of life, economic costs, and any
Risk is typically defined as a function of adverse impacts on U.S. national security.
frequency and consequence of an undesirable
event. When assessing the risk of terrorism, the State government, for the purposes of this
frequency factor of risk is often broken down strategy, means any state of the United States,
into the elements of threat and vulnerability. the District of Columbia, the U.S. territories of
When assessing operational risk, frequency often Puerto Rico, the Virgin Islands, Guam,
includes the elements of probability (likelihood American Samoa, the Commonwealth of the
that an event will occur) and exposure (amount Northern Mariana Islands, or the Trust Territory
of time, people, or equipment involved). of the Pacific Islands.

Risk Management is a continuous process of Local government means any county, city,
assessing risks and implementing mitigating village, town, district, or other political
actions, with its primary goal being to reduce the subdivision of any state, and includes any rural
potential that an adverse event will occur. Risk community or unincorporated town or village or
management addresses initial risk of an any other public entity for which an application
identified threat, and manages the residual risk for assistance is made by a state or political
after countermeasures are implemented. It has subdivision thereof. 5
been used in the private sector (insurance,
engineering, and banking and finance) and public
sector (Food and Drug Administration,
Environmental Protection Agency, and
Department of Defense) for decades, but its
application for Homeland Security and
combating terrorism is relatively new without a
precedent framework.

Threat is an indication of the likelihood that a

specific type of attack will be initiated against a
specific target or class of targets. 3 It is based on
an understanding of an adversary’s intentions,
motivation, history of attacks, and capability to
carry out an attack.

Vulnerability of an asset is an indication of the

likelihood that a particular attempted attack will
4
Risk Management, GAO-06-91, December 2005, at p.
112.
5
Definitions of state and local governments from the
3
Risk Management, GAO-06-91, December 2005, at p. National Strategy for Homeland Security (October 2007)
111. p. 4.

Department of Homeland Security Small Vessel Security Strategy

STRATEGIC ENVIRONMENT

IMPORTANCE OF THE MARITIME

DOMAIN
The United States is the world’s leading
maritime trading nation, accounting for nearly
20% of the annual world ocean-borne overseas
trade. The global Maritime Transportation
System (MTS)—a complex and interconnected
system of waterways, ports, terminals, inter-
modal connections, vessels, people, support
service industries, and users spanning the
domestic and international public and private
sectors—is the economic lifeblood of the global
economy and is critical to U.S. national security industry and its passengers account for $35.7
and interests. billion in direct and indirect economic output. 9
All told, the U.S. MTS supports a global chain of
The maritime domain serves as a critical
economic activity that contributes more than
highway for the global economy, but also
$700 billion to America’s economy each year.
presents unique security challenges,
encompassing vast stretches of oceans, In addition to the global maritime trade
waterways and countless potential points of contributions, the economic role of ocean
entry. The United States has over 95,000 miles industries provides tremendous value to the
of coastline, 361 ports (including eight of the domestic economy. The MTS supports the
world’s 50 highest-volume ports), and 10,000 commercial fishing industry and its 110,000
miles of navigable waterways. It enjoys the fishing vessels. In 2006, it contributed
world’s largest Exclusive Economic Zone (EEZ), approximately $35.1 billion 10 to the U.S.
spanning 3.4 million square miles of waters and economy, while the recreational saltwater fishing
containing some of the most valuable and industry was valued at $30.5 billion. 11
productive natural resources on Earth. In 2005,
offshore activities contributed over $120 billion The millions of recreational boaters, who use the
and two million jobs to American economic MTS every year, also contribute considerably to
prosperity. Approximately 30% of U.S. oil the economy. Nationwide, retail expenditures on
supplies and 25% of its natural gas supplies are
produced in offshore areas.
9
Nearly 700 ships arrive in U.S. ports daily, and The Contribution of the North American Cruise Industry
8,000 foreign-flag ships, manned by 200,000 to the U.S. Economy in 2006 (August 2007), prepared for
foreign mariners, enter U.S. ports every year. Cruise Lines International Association by Business
Research & Economic Advisors, p. 35.
Annually, the nation’s ports handle more than 10
$700 billion in merchandise, while the cruise Fisheries of the United States 2006, National Marine
Fisheries Service, p. v.
11
A Vision for Marine Recreational Fisheries, NOAA
Recreational Fisheries Strategic Plan FY2005-2010, p 2.

Department of Homeland Security Small Vessel Security Strategy

recreational boating exceeded $33 $33 billion in

2004. Moreover, hundreds of millio
millions
ns of visitors
spend billio
billions
ns of dollars annually to enjoy the
nation’s ocean, lakes, and river beaches.

MARITIME GOVERNANCE
ARITIME

Maritime security and safety initiatives are best

understood when viewed or discussed in the
context of Figure 1. Governance of security and
safety issues are accomplished using regimes,
awareness, and operations through a unified
effort involving international organizations,
government, and private stake holders across the
global maritime domain. Effective maritime
governance requires:
(1) Appropriate regimes, or rule sets, to describe
Figure 1, Mar
Mariitime Govern
Governance
the desired state of the domain;
majority of the domestic commercial fishing and
(2) Awareness to inform decision makers as to
towing vessel industries. In addition to these
the actual state of the domain; and
professional mariners, as many as 80 million
(3) Operations and operational people participate in recreational boating in a
capability/capacity to help shape the domain given year. The level of experience within the
from its current state toward the state described small vessel community varies from experts
by the regimes. down to occasional renters of a recreational boat
who have little or no training and widely varying
This strategy embodies and fosters the experience.
development of capabilities across all three areas
of regimes, awareness, and operations and Additionally, there are generally low barriers to
employs unity of effort. entry into the small vessel community. Small
vessels are affordable to a broad range of
SMALL VESSEL COMMUNITY boaters. Extensive skills and experience are often
not necessary to minimally operate small vessels,
The small vessel community is not monolithic. It and limited regulations in effect are primarily
is a large and diverse group of operators with focused on safety. Another difference from large
different backgrounds, professional and casual vessel operators is that the small vessel
training, and operating characteristics. Each stakeholders generally have little direct
geographic area has its own unique operating involvement or face-to-face interaction with the
patterns and mix of small vessels. There are international, Federal, state, local, and Tribal
thousands of professional mariners who make partners that govern the use of the waterways.
their living on the waters every day—a This can lead to unnecessary misunderstandings
considerable number of whom do so operating and confusion. Finally, governance of the small
small vessels. These professional mariners range vessel community is spread across multiple
from charter vessel operators to small ferry or entities, with 18 Federal agencies and numerous
freight vessel operations, and include the state, local, Tribal, and port authorities, having
roles ranging from vessel registration to

Department of Homeland Security Small Vessel Security Strategy

operational safety enforcement. Therefore, small public expectation of totally unregulated

vessel operators have different expectations than access and use of U.S. waterways.
more regulated large vessel operators.
Offsetting these security concerns are the small
The following are some of the security concerns vessel community’s contributions to security:
presented by small vessels:
• An abundance of geographically
• Small vessels operate (often routinely dispersed small vessels providing a large
and with ease) in close proximity to number of “eyes on the water” that would
critical infrastructure (CI) and key be impossible to replace using only
resources (KR), as well as major government assets.
transportation channels and military • An immense population of small vessel
ships, which may be potential high- operators whose presence on U.S. waters
profile targets. can serve as a deterrent by identifying
• There is a lack of a centralized access to suspicious activities, given their adequate
hull identification and vessel registration education and training.
(owner) data. • Willing volunteer partners to assist in
• The ability to identify small vessel providing the initial response capability
operators is limited because of uneven for maritime incidents.
requirements for small vessel user • A wealth of professional mariners and
certification and documentation. recreational boaters who understand the
• There are very limited Advance Notice of local waterways and are willing to assist
Arrival (ANOA) requirements for most in developing methods to reduce risk in
recreational small vessels arriving from the maritime domain.
abroad. 12
• There is limited awareness among small SMALL VESSEL RISK
vessel operators of arrival reporting
requirements and limited resources to General Risk Framework
enforce requirements, making
enforceability of the small vessel arrival Most traffic on U.S. waterways and within ports
reporting process difficult. involves legitimate boaters and commercial
operators. But all too often it also involves those
• There is limited ability to screen for engaged in illegal activities, such as drug and,
weapons of mass destruction (WMDs), migrant smuggling, and theft. It is equally open
especially chemical and biological to potential acts of terrorism. A key requirement
agents. for enhancing U.S. national security efforts is the
• Among the large population of small ability to identify those who intend to do harm
vessel operators, there is a longstanding hiding within the sizable majority of people
engaged in legitimate activities. The President
has charged the Secretary of Homeland Security
with coordinating homeland security programs
through the application of intelligent risk
12
CBP APIS requires all commercial vessels to provide
advance manifests of crew and passengers. Within the
USCG Seventh District (specifically in southeast Florida)
there is a requirement for ANOA on recreational vessels.

Department of Homeland Security Small Vessel Security Strategy

management. 13 This effort requires identifying management activities. The Government

high-risk small vessels in priority and developing Accountability Office (GAO) developed an
a layered system of regimes, awareness, and overall risk management framework using a
operational response capabilities to reduce risks. variety of industry, government, and academic
sources of information. That framework outlines
In general terms, risk is defined as the product of an iterative process that focuses on identifying
the frequency (or likelihood) of an undesirable the objective, assessing risk, identifying options
event and its consequence (or magnitude of the for mitigating actions, selecting and managing
outcome) to persons, places, or property. the best options, and implementing those actions
and monitoring the overall process. Figure 2
Risk = Frequency x Consequence
displays the framework graphically.
Frequency can further be broken down into
separate components of threat (to address the Small Vessel Risk Components
likelihood of adverse actions based on
anticipated capabilities and intent) and Threat
vulnerability (to address the potential strengths
or weaknesses of facilities or assets that are
As defined, threat is an indication of the
targeted).
likelihood that a specific type of attack will be
Risk = (Threat x Vulnerability) x Consequence initiated against a particular target or class of
targets. It may include any indication,
Relative to other fields such as insurance or circumstance, or event with the potential to cause
finance, terrorism is a relatively new application the loss of or damage to an asset. Generally, the
for risk assessment. Unlike those fields which threat component of risk is determined by
have extensive historical data that are used to capability (resource implications), and intent
assess risks, DHS lacks such data on terrorism (political or other motives). Intent is the most
against the U.S. homeland, thus limiting any difficult variable to determine, the one most
detailed analysis in assessing risks. As a result, amenable to change, and the quickest way to
the threat, vulnerability, and consequence factors increase threat and modify the risk assessment.
of a terrorist act are poorly understood and Analysis of threat-related data is a critical part of
difficult to predict, requiring greater reliance on risk assessment. Information for characterizing
judgments from intelligence analysts, terrorist threat can be gained from a variety of sources,
action modeling experts, and subject matter such as the intelligence and law enforcement
experts. communities, as well as from past activities of
various enemy groups and entities.
The Homeland Security Act of 2002 and other Understanding an underlying pattern of attacks
guidance such as Homeland Security on target types is useful in predicting future
Presidential Directive 7 (HSPD-7) advocate the adverse events and planning mitigation
use of risk management to protect the nation’s strategies. However, threats not supported by
CIKR. HSPD-7, in particular, directed DHS to historical data must also be considered.
establish uniform policies, approaches, Ultimately, one purpose of assessing threats is to
guidelines, and methodologies integrating assign relative probabilities to various types of
Federal infrastructure protection and risk attacks. 14

13
Critical Infrastructure Identification, Prioritization, and
14
Protection (Homeland Security Presidential Directive–7). Risk Management, GAO-06-91, December 2005, p. 25.

Department of Homeland Security Small Vessel Security Strategy

Overall Vulnerability

As stated, the vulnerability of an asset is an

indication of the likelihood that a particular
attempted attack will succeed against a particular
target or class of targets. It is usually measured
against some set of standards, such as
availability/predictability, accessibility, and
available countermeasures. Each of these
elements can be evaluated based on a numerical
assignment corresponding to the conditional
probability of a successful attack. The
probability that a particular vulnerability could
be successfully exploited is, in part, a function of
the effectiveness of countermeasures. 15

The vast majority of small vessel operators are

legitimate, law-abiding individuals. However,
the large numbers of small vessels and the dearth
of information regarding the user, owner, or
operating patterns of those vessels make it
extremely difficult to precisely identify the
population and distinguish legitimate users from
those with the intent to do harm. When
evaluating and addressing the risks, law
enforcement agencies are faced with sorting
through thousands of small vessels, which can be
closely intermingled with large commercial
cargo vessels, cruise vessels, military warships,
and critical infrastructure, at or near hundreds of
seaports, along thousands of miles of U.S.
coastline and navigable waterways, or
originating from foreign waters.

15
Risk Management, GAO-06-91, December 2005, p. 25.

Department of Homeland Security Small Vessel Security Strategy

Figure 2, United States Government Accountability Office (GAO) Risk Management Framework

uninspected passenger vessels operating within

Small vessels possess complex characteristics,
the maritime domain. Each of these disparate
which also present unique challenges in
types of small vessels have different operating
assessing risks related to their presence in the
patterns, economic factors, and interested
maritime domain. The most obvious is simply
stakeholder groups.
the sheer number nationwide. There are 13
million registered recreational vessels throughout Many sites of CIKR in the maritime domain are
the country and perhaps an additional four vulnerable to small vessel attacks. Additionally,
million unregistered recreational boats. Further, small vessels routinely operate within close
there are 110,000 commercial fishing vessels as proximity of high-profile targets such as
well as thousands of towing vessels and

Department of Homeland Security Small Vessel Security Strategy

passenger craft, large commercial or cargo economy for the first five days of this closure at
vessels, military warships, major bridges, critical $4.7 billion and increased exponentially after
waterfront industries, and other maritime that. The consequences of a WMD release via
infrastructure. The exact number of all small small vessel would be worse.
vessels operating in proximity of maritime
infrastructure at any given time is also a key Coastal waters and adjacent lands are some of
factor in CIKR vulnerability. the most productive and active areas of the
United States. U.S. coastal communities are
In 2007, the USCG Research and Development major population and economic centers, which
Center sponsored a study of nine U.S. ports and generate over 60 millions jobs and about half of
determined that there were approximately 3,000 U.S. GDP—approximately $4.5 trillion.
small commercial vessels, 3,000 fishing vessels, According to the 2000 U.S. Census, 53% of
and 400,000 recreational vessels that either must Americans live in coastal watershed counties.
or are likely to operate in the vicinity of Additionally, 85% of Americans live within 100
important maritime infrastructure within those miles of the nation’s coasts. In 2004, close to 75
ports. 16 million Americans were directly involved in on­
the-water activities and 90 percent of
Overall Consequence international trade by weight was carried by sea.
Much of the U.S. critical infrastructure and key
As defined earlier, consequence of a terrorist resources is located near the maritime domain.
attack is the magnitude of the adverse impact of The great diversity and redundancy of the
a successful attack. Depending on its magnitude, nation’s CIKR provide for significant physical
consequence can easily be a dominant driver in and economic resilience in the face of terrorist
the overall risk calculation for many threats. attacks, natural disasters, and other emergencies,
and contribute to the strength of the nation’s
The primary consequence of a terrorist incident economy. However, this vast and diverse
(as well as other Transportation Security Incident aggregation of highly interconnected assets,
(TSI) 17 ) arising from the use of a small vessel systems, and networks present an attractive array
with conventional weapons could be devastating of targets to terrorists.
for the U.S. economy if it damaged CIKR or
resulted in closure of the port. A 10-day labor Any large-scale incident would also create other
dispute closed West Coast seaports in 2002. One long-term, cascading, adverse effects. By way of
estimate 18 placed the cost to the national example, following Hurricanes Katrina and Rita,
large segments of the population moved away
from the Gulf Coast — particularly in New
Orleans — thereby causing a secondary
16
An Assessment of Small Vessel Populations in U.S. consequence. The loss of population further
Waters, prepared for the U.S. Coast Guard Research and harmed the Gulf Coast’s economy as a tertiary
Development Center by Potomac Management Group, consequence. The direct loss of power also
Inc., June 2007. disabled pumps in the petroleum pipelines across
17
Section 70101(6) of Maritime Transportation Security the southern United States. This negatively
Act of 2002 impacted gasoline stocks throughout the nation.
18 One can imagine the multifold consequences of a
Zeigert, Amy, et. al. “Port Security: Improving
Emergency Response Capabilities at the Ports of Los terrorist attack using a weapon of mass
Angeles and Long Beach.” California Policy Options
2005. University of California Los Angeles, School of
Public Affairs (Los Angeles, Calif. 2005).

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Department of Homeland Security Small Vessel Security Strategy

destruction (WMD), including the mass The USCG Intelligence Coordination Center
casualties, devastation to infrastructure, and provided information to this strategy regarding
environmental fallout. A 2006 study 19 examined the viability of various threats from the
the potential effects of a 15-day port closure at exploitation of small vessel characteristics.
Los Angeles-Long Beach due to a radiological Overseas terrorists have demonstrated the ability
bomb. It estimated the economic impact at $34 to combine the elements of capability,
billion. opportunity, and intent on several occasions, as
noted in the list of attacks below on maritime
assets and personnel.
Specific Risk Scenarios
Small vessel risks have been assessed at the a. Domestic Use of Waterborne Improvised
national level through various studies and have Explosive Devices (WBIEDs)
helped drive strategic decisions and planning
efforts. The USCG’s National Maritime Security There are numerous examples overseas of the
Risk Profile (2003-2004) and National Maritime use of small vessels as a waterborne improvised
Security Risk Assessment (of 2004 and 2006) are explosive device (WBIED) to attack maritime
two prominent examples. However, the security- targets. These tactics could be applied against the
sensitive or classified nature of the details of United States and its interests to attack vessels,
these studies and of the components that infrastructure, and industry (such as refineries
determined the overall risk levels precludes and chemical plants) in the maritime domain.
detailed discussion in this strategy. While not an exhaustive list, the following
represents a range of high-profile tactics and
The four scenarios of gravest concern in using targets that could be replicated in the United
small vessels in terrorist-related attacks have States.
been identified as:
• In August 2005, Turkish authorities
a. Domestic Use of Waterborne Improvised arrested Louai Sakka, a senior al-Qaeda
Explosive Devices (WBIEDs); operative when a one-ton bomb he
designed detonated prematurely. Sakka
b. Conveyance for smuggling weapons had intended to place the bomb on a
(including WMDs) into the United States; yacht and ram a cruise ship carrying
vacationing Israeli and U.S. soldiers on
c. Conveyance for smuggling terrorists into rest and recreation in Antalya, Turkey.
the United States; and • In April 2004, terrorists using two fishing
dhows packed with explosives attacked
d. Waterborne platform for conducting a an Iraqi offshore oil terminal in the North
stand-off attack (e.g. Man-Portable Air- Arabian Gulf, killing one U.S. Coast
Defense System (MANPADS) attacks). Guardsman and two U.S. Navy sailors
protecting the terminal as they prepared
to search one of the boats.
• In October 2002, Al-Qaeda directed an
attack by an explosive-laden small boat
19
“The economic impact of a terrorist attack on the twin against the French oil tanker M/V
ports of Los-Angles-Long Beach” in The Economic LIMBURG off the coast of Yemen. The
Impacts of Terrorist Attacks (2006). attack resulted in fires on board the

11

Department of Homeland Security Small Vessel Security Strategy

tanker, a large oil spill, and killed one supplies, and military units, depending on the
and injured four crew members. intensity of the strike. As shut downs of certain
West Coast ports during a labor dispute
• In October 2000, Al-Qaeda attacked the
demonstrated, the impacts of even a temporary
USS COLE and killed 17 U.S. Navy
disruption of the maritime transportation system
sailors by navigating an explosive-laden
can be substantial.
small boat alongside the destroyer as it
was refueling pier side in Aden, Yemen. b. Conveyance for smuggling weapons
• The Liberation Tigers of Tamil Eelam (including WMDs) into the United States
(LTTE) have conducted numerous
successful suicide attacks using small One of the gravest maritime risks facing the
boats against the Sri Lankan Government nation is the potential for a terrorist group to
and its assets. Their attacks have obtain a WMD and detonate it within the
destroyed or damaged several civilian confines of a major U.S. port city, military
and military vessels. installation, or industrial facility. Closely aligned
with this is the potential for the maritime domain
Significant naval assets, CI, and KR such as to be used as a transportation system for such a
offshore oil platforms, merchant vessels weapon, weapon materials, or its components,
(including oil and chemical tankers), and with an eventual target further inland.
passenger vessels (such as ferries and cruise
ships) operate in areas that are frequented by The 2007 National Intelligence Estimate (NIE),
small vessels. Small vessels may easily blend or “assesses that al-Qaeda will continue to try to
disappear into other vessel traffic in ports and the acquire . . . radiological and nuclear material and
coastal maritime environment, and are usually would not hesitate to use them if it develops
subject to less scrutiny than larger vessels in what it deems is sufficient capability.” While
these areas. They are often inconspicuous, fast, there is no evidence that they possess WMDs at
highly maneuverable, and able to quickly this time or that they intend to use small vessels
relocate via roads and surface transportation, as a means of transport to the United States, the
making them particularly dangerous and lethal if use of small vessels to smuggle drugs and other
used as WBIEDs. Additionally, operators do not contraband into the United States is instructive
require extensive training or large crews, and as to our vulnerability to the exploitation of
these vessels can be acquired relatively easily small vessel characteristics to smuggle WMDs
and inexpensively, thereby making them a very into the United States.
attractive and available mode of attack.
A nuclear weapon could be concealed on many
The use of a small vessel as a WBIED also has vessels that meet the small vessel criteria. For
potential consequences that would exceed the instance, an improvised nuclear device (IND), 20
immediate casualties or damage caused by the which might be smaller and less cumbersome
attack. For instance, the U.S. military relies than a nuclear weapon, presents an even more
heavily on the maritime transportation system plausible scenario for transport via a small
(MTS) to deliver equipment and supplies to vessel. Furthermore, a terrorist organization
forces abroad, as most of American military would not necessarily have to transport a fully
power is transported by sea through Department
of Defense (DOD) facilities at 15 key seaports. A
successful WBIED attack, particularly at one of 20
Improvised Nuclear Device (IND)—essentially a cruder
these military ports, has the potential to seriously version of a nuclear weapon fabricated by a terrorist
disrupt movement of arms, ammunition, military organization or rogue nation.

12

Department of Homeland Security Small Vessel Security Strategy

assembled weapon. The parts and technology, resident who sold it in 2002 and had not been
required for assembling an IND could be well registered since. 22
hidden on a small vessel. Additionally, the small
vessel itself could readily serve as a platform Undocumented maritime migration and
from which to detonate a nuclear weapon, IND, smuggling threatens the United States from all
or radioactive dispersal device (RDD)— sides. Illegal landings have occurred along the
commonly referred to as a “Dirty Bomb.” entire Eastern and Western seaboards, as well as
from every U.S. territory. Since 1980, the
Fissile material is the most difficult component USCG, working with other Federal, state, and
of a nuclear weapon to obtain. Because the local law enforcement authorities, has interdicted
material is better secured in U.S. facilities, it over 320,000 illegal maritime migrants from 47
more probably would be acquired by a terrorist different countries. In 2004, there were
organization overseas where some of the larger approximately 5,000 successful arrivals of illegal
and less well secured potential sources for maritime migrants. 23 These numbers are
nuclear weapons and materials exist. These primarily from small vessel arrivals as opposed
weapons or materials would be more likely to be to absconders from large commercial vessels.
transported via maritime modes. Small vessels Any one of these arrivals could potentially be a
provide a clear opportunity for terrorists to retain terrorist.
control of the WMD and activate it at the
optimum times. The number of people entering the country
illegally between ports of entry, and the
The consequences of a WMD attack anywhere in concomitant proliferation of human and drug
the United States could be catastrophic, and smuggling networks, present clear risks to U.S.
potentially include millions of people killed and national security due to the ever-present threat of
injured, billions of dollars in direct and indirect terrorism. Terrorists and terrorist organizations
economic losses, and adverse environmental could leverage these illicit networks to smuggle
effects including the contamination of the impact operatives into the United States, while the large
area with subsequent loss of its use for number of aliens attempting to enter the country
decades. 21 While an RDD would likely result in illegally could potentially provide cover for the
far less casualties than a nuclear weapon/IND, it terrorists. A particular concern has been that
could also easily cause economic disruption in terrorists may take advantage of numerous
the billions of dollars coupled with a devastating criminal networks and exploit small vessels as
psychological effect on the nation. low-profile modes of transportation to smuggle
dangerous people and materials into the United
c. Conveyance for smuggling terrorists into States, thereby circumventing more-stringent
the United States land border security measures. Additionally, the
proceeds from these smuggling networks could
In September 2007, 10 people dressed in black potentially be used to finance terrorist activities.
arrived in San Diego, California aboard a 20-foot
skipjack, which they abandoned at Wipeout
Beach. The boat was registered to a San Diego

22
Baker, Debbi Farr. The San Diego Union Tribune,
September 5, 2007.
21 http://www.signonsandiego.com/news/metro/20070905­
Abt, Clark C. “The Economic Impact of Nuclear
0841-bn05boat.html
Terrorist Attacks on Freight Systems in an Age of Seaport
23
Vulnerability,” (Cambridge, MA, 2003), pp. 3-4. GAO-05-364T Coast Guard Budget Priorities, p. 31.

13

Department of Homeland Security Small Vessel Security Strategy

d. Waterborne platform for conducting a than 64 million individuals annually. Cargo is

stand-off attack (e.g., Man-Portable Air- also continuously transported on water by
Defense Systems (MANPADS) attacks). thousands of ships, vessels, and barges via the
inland and coastal waterway systems and oceans.
The use of a small vessel as a platform for Key energy resources, such as coal for electrical
conducting a stand-off attack is viable. In power plants, petroleum products, and grain for
November 2005, a cruise ship 100 miles off the export to global trading partners, move on the
coast of Somalia was attacked by two 25-foot U.S. waterway system daily. We could see
rigid hull inflatable boats. The pirates used significant impacts on cargo and general
rocket-propelled grenades and automatic transportation insurance rates, even after a minor
weapons at a distance of no more that 25 yards but successful attack.
from the SEABOURNE SPIRIT. The pirates
were ultimately repelled by the ship’s crew using These four scenarios illustrate some terrorist
a device that generated disabling sonic blasts. groups’ prior history of using small vessels in
suicide operations overseas, a history which,
It is technically feasible to launch a ballistic combined with some groups’ stated objective to
missile from a ship as small as 200 tons against attack the United States, supports a
the United States. A substantial, cooperative determination of significant potential risks to the
effort between the ship's crew and missile launch United States. This strategy addresses those
personnel would be required to achieve a risks.
successful launch. 24

The exploitation of a small vessel to provide a

stand-off attack platform provides numerous
benefits for terrorists. The use of a small vessel
as a stand-off weapon platform provides greater
operational security, improved access to targets
(bypassing shore-side security measures), and a
ready means of escape. It also increases
difficulty for protecting assets due to the relative
quickness and maneuverability of many small
vessels in evasive situations.

The result of a successful stand-off attack could

disrupt the nation’s transportation system and
economy. In several locations across the United
States, citizens rely on ferry service for daily
commuting, as well as for travel and recreation.
The ferries that transport passengers and vehicles
across bays and channels provide critical links
within the marine transportation system, serving
as an essential means of transportation for more

24
Defense Intelligence Agency/Missile & Space
Intelligence Center response to PR R205-08-0005-S dated
31 January 2008.

14

Department of Homeland Security Small Vessel Security Strategy

STRATEGIC VISION

GUIDING PRINCIPLES
In pursuing the strategic goals, DHS is guided by
the following principles. These are underlying
concepts that will inform and frame development
and implementation across all goals, priorities,
objectives, and action plans.
• Risk based decision making will be
necessary to best channel actions and
finite resources.
• Efforts to enhance security may improve
small vessel safety and operator
education, thus the security strategy
builds on existing safety frameworks and safety due to the diversity of the
maritime domain and the heterogeneity of
• Risk mitigation efforts must be designed the small vessel community. These
so as to strike the delicate balance and complexities require the implementation
tradeoffs between personal freedom, of a national framework, within the scope
national security, and commerce. of international standards, which can be
o Small vessel risk reduction efforts properly tailored to local situations.
should not impede the lawful use of • Maritime security and safety depends
the maritime domain or the free flow upon the successful implementation of an
of legitimate commerce. interlocking system of governance
o Small vessel risk reduction efforts comprised of maritime regimes, domain
will include ongoing engagement awareness, and operational capabilities.
with the small vessel community, as
• Authorities at every level will be able to
well as other key stakeholders in
identify shore vulnerabilities and
order to ensure that potential
potential targets, and work with private
solutions reflect their interests and to
entities to establish appropriate protection
benefit from the collected wisdom of
plans to ensure shore security.
the small vessel community in
crafting solutions. • Technology will serve as an important,
complementary component to enhance
o Successful small vessel risk reduction
subsequent plans, initiatives, and actions
will require close coordination and
(such as increasing MDA), but it is not
cooperation between Federal
the sole answer to ensure small vessel
agencies, state, local, and Tribal
security. Additionally, leveraging
governments, as well as private and
technology will mitigate risks but should
international partners.
also minimize impacts to small vessel
• A one-size-fits-all approach cannot operators.
adequately ensure U.S. maritime security

15

Department of Homeland Security Small Vessel Security Strategy

OVERARCHING VISION AND MAJOR threats and reporting suspicious activities

emanating within the small vessel community.
GOALS Hence, special care must be directed at providing
opportunities and venues for a continuous
Overarching Vision dialogue the small vessel community to
encourage the free and regular flow of
The SVSS aims at ensuring the maritime domain information and ideas between the private sector
remains a secure environment, where small and Federal, state, local and Tribal authorities
vessel operators are able to safely earn a living, and non-governmental organizations.
travel, and recreate freely, without unduly
burdensome government regulations and with The small vessel community is the single largest
the freedom to sail upon the navigable waters of asset in the efforts to mitigate small vessel-
the United States. related security risks. As many as 80 million
individuals participate in recreational boating
The institution of a system of effective regimes, activities each year. By formally educating small
awareness, and operational capabilities allows vessel operators with respect to the risks faced
government agencies at the Federal, state, local, and suggesting methods to address those risks
and Tribal levels to determine which of the (reporting, security measure protocols, etc.),
millions of small vessels plying U.S. waters small vessel users become an effective agent for
present an undue risk to homeland security. reducing risk and increasing security.
Ultimately, we want to be able to easily identify Two effective means for the public to report
the few threatening vessels from among the suspected terrorist activity are to telephone
millions that legitimately use U.S. waterways. America’s Waterway Watch (AWW) or the
All government agencies, along with National Response Center (NRC).
international partners, must work in a concerted
effort to manage and reduce risks, and have A prime example of the value of AWW occurred
sufficient awareness to clearly distinguish in 2003 when a tour boat operator in Florida
between legitimate and illegitimate uses. reported suspicious activity by one of the
passengers. The call led to the investigation of
Major Goals the suspect and his apprehension in Brooklyn,
New York. 25 Between 2002 and 2006, the NRC
received 646 reports of suspected terrorist
A. Develop and leverage a strong
activity.
partnership with the small vessel
community and public and private
sectors in order to enhance maritime
domain awareness.
It is imperative that efforts focus on building
partnerships and trust with recreational boaters
and professional mariners who operate small 25
During a series of several meetings with an undercover
vessels. agent, the suspect attempted to buy five bulletproof vests,
night vision goggles, a camera for the front of his car, 50
Again, the vast majority of professional and sleeping pills, 100 Valium pills and a half-case of C-4 for
recreational operators are law-abiding and safe $10,000. N.Y. Man Arrested for Allegedly Trying to Buy
Explosives, CNN.com, May 22, 2003 accessed at
users of the maritime domain. It is imperative to http://edition.cnn.com/2003/US/Northeast/05/22/explosive
enlist their aid as close allies in identifying s.arrest/index.html on September 26, 2007.

16

Department of Homeland Security Small Vessel Security Strategy

Goal A—Specific Objectives

Develop and leverage a strong partnership with the small vessel community and public and private
sectors in order to enhance maritime domain awareness.

i. Provide opportunities and adequate venues for an ongoing dialogue with the small vessel
community to encourage the free flow of information and ideas between the private sector, the
Federal Government, and state, local, Tribal, and territorial authorities.
ii. Expand local-level constituent relationships with other maritime organizations such as paddle
sports, sport fishing associations, and port authorities.
iii. Move towards a knowledgeable small vessel community through a common, efficient,
accessible, and easy to use lessons-learned system from exercises, real life events, peer
review, and formal––but simple and inexpensive––instruction.
iv. Leverage existing education and outreach programs, such as those provided to the small
vessel community by the USCG Boating Safety Division, USCG Auxiliary and partnerships
with the U.S. Power Squadrons to provide both security and safety training.
v. Increase public awareness of how to report suspected terrorist activity via America’s
Waterway Watch (AWW).

programs. In doing so, they will develop and

B. Enhance maritime security and safety improve methods to appropriately analyze and
based on a coherent plan with a target high-risk small vessels, while developing a
layered, innovative approach. more concrete understanding of the small vessel
landscape.
Small vessels will be screened according to the
realistic risk they pose, the surrounding The Department of Commerce’s National
operating environment, and all available Oceanic and Atmospheric Administration
intelligence. To improve the overall small vessel (NOAA)’s Office of Law Enforcement maintains
security enforcement posture, it is important to a Vessel Monitoring System (VMS) that
identify which operators present a low-risk currently tracks over 5,900 small vessels with an
profile, and develop appropriate risk targeting anticipated expansion of another 2,500 vessels
systems to distinguish high-risk users. DHS this calendar year. In addition, NOAA maintains
agencies with jurisdictions that include the law enforcement information on small vessels
maritime domain should utilize data gathered through its Law Enforcement Accessible
from multiple sources, such as the Pleasure Boat Database System (LEADS) that tracks
Reporting System (PBRS), the Vessel investigations, incidents, activities, and outreach.
Identification System (VIS), the Marine
Information for Safety and Law Enforcement The analysis of a broad set of information will
(MISLE), available intelligence, and in not only allow enforcing authorities to identify
coordination with the Department of State, specific threats, but also enable the development
foreign governments, and trusted traveler

17

Department of Homeland Security Small Vessel Security Strategy

of trends and fusing of potential intelligence departure will enable consistent enforcement
related to the small vessel operator population prioritizations and responses. These simple
and related security risks. Improving information reporting requirements will also improve the
analysis and sharing––especially between the effectiveness of risk assessment efforts.
law enforcement and intelligence communities
and, in coordination with the Department of A layered innovative approach does not
State, with foreign governments––will enable necessarily mean all risk-mitigation actions will
authorities to specifically target threats related to be technologically based. Many times, the simple
WMDs or WBIEDs. Overall, this will improve expedient of installing effective barriers around
capabilities at the operational and tactical levels critical infrastructure and key resources will
and allow better allocation of resources, eliminate most vulnerability to terrorist use of
particularly in emergency situations. small vessels as a WBIED. In order to develop
and maintain effective layered security, Federal,
Additionally, improving reporting procedures is state, local, and Tribal officials must work in
essential to increasing reporting compliance and conjunction with their international counterparts
gathering data for risk-based efforts. As such, and private sector representatives to provide
obtaining advance data for international traffic, adequate security for CIKR.
such as the 96-hour Notice of Arrival rule, will
allow the USCG and CBP to conduct the
necessary risk-based analysis, gain situational
awareness of small vessels, and improve the
overall MDA. The submission of basic—but
essential—information on recreational vessel
operators in advance of U.S. arrival and

Goal B—Specific Objectives

Enhance maritime security and safety based on a coherent plan with a layered, innovative approach.

i. Improve detection and tracking capabilities to better identify small vessels operating in or
near U.S. waters.
ii. Develop a robust layered defense by expanding and enhancing maritime radiological/nuclear
detection capabilities to international, Federal, state, local, Tribal, and private stakeholders.
iii. Implement basic procedures on advanced data submission and increase reporting compliance
to improve situational and maritime domain awareness.
iv. Improve efforts to gather and share data on small vessels and their operators.
v. Improve data analysis capabilities to target high-risk small vessels.
vi. Assess, develop, and improve layered security for critical infrastructure and key resources.

18

Department of Homeland Security Small Vessel Security Strategy

Research and development play an important

C. Leverage technology to enhance the role in fulfilling this objective, since applicable
ability to detect, determine intent, and technologies must operate within critical areas of
when necessary, interdict small the maritime domain. To be useful, information
vessels. obtained must be processed efficiently and
rapidly, and incorporated into the normal
Surveillance of the entire maritime domain and
screening procedures and daily operations of
the tracking of all small vessels are not
local authorities and law enforcement agencies.
contemplated by this strategy. Consistent with
Ultimately, preventive measures, such as
applicable privacy laws, increased surveillance
providing the necessary, timely, and critical
and tracking may be appropriate, though, along
information to key decision makers, will reduce
the maritime border and in high risk, high traffic
the security risks of small vessels operating in
areas. Technology improvements will be central
the maritime domain.
to those efforts. Security technology is
continuously evolving in terms of compatibility,
standardization, and integration with information
systems. Yet, technology is not the single
solution that can realize complete security for the
small vessel environment. Instead, it is part of a
larger layered security approach that can mitigate
small vessel risks. Technology applications may
improve the ability to identify threats early—
through proper identification protocols—and
may improve the effectiveness of response
operations.

As technology matures, new tools will be

constantly evaluated in order to adapt new
systems to small vessels—taking into account
security requirements and operator preferences.
Hence, efforts should be directed to the
implementation of effective security solutions
that increase MDA, clearly identify dangerous
small vessels, and ensure an appropriate level of
privacy for law-abiding operators.

New detection capability will need to be

developed to address the vulnerabilities and risks
due to the exploitation of small vessel
characteristics, such as advanced human portable
radiation detection systems and mobile standoff
radiation detectors. The existing and new
detection capability should be deployed to
Federal, state, local, and Tribal agencies
operating on or near the water to improve the
nation’s layered defense against terrorists
exploiting small vessels.

19

Department of Homeland Security Small Vessel Security Strategy

Goal C—Specific Objectives

Leverage technology to enhance the ability to detect, determine intent, and when necessary interdict
small vessels.

i. Expand research into and invest in prototyping low-cost, non-intrusive, small vessel
identification systems, such as Radio-Frequency Identification (RFID) tags, adaptable
miniature transponders, portable Global Positioning System (GPS) devices, or cell-phone
based recognition systems.
ii. Expand research into and invest in anomaly detection instruments and other decision aids such
as automated scene understanding tools.
iii. Expand research into methods of protecting critical infrastructure and key resources, especially
at shorelines, through means such as small boat barriers, unambiguous warning devices, and
non-lethal deterrents such as sonic canons.
iv. Improve maritime domain awareness capabilities to adequately distinguish between and
respond to intentional and innocent intrusions into security and safety zones.
v. Expand research into and invest in advanced maritime radiation/nuclear detection technology
for human portable radiation detection equipment, mobile standoff radiation detectors, and
fixed detectors that could be deployed on or near the waters in the vicinity of small vessels.

(MOTR) Plan in accordance with current

D. Enhance coordination, cooperation, directives to optimize employment of all
and communications between appropriate resources in order to interdict threats
Federal, state, local, and Tribal as far from U.S. shores as practicable. The
partners and the private sector as well MOTR Plan sets forth lead and supporting
as international partners. Federal agency roles and responsibilities for
MOTR based on a number of criteria including:
The size and the scope of the maritime domain,
existing law; desired U.S. Government outcome;
and the number of small vessels actively engaged
greatest potential magnitude of the threat; the
in its use, make it virtually impossible for any
response capabilities required; asset availability;
single government entity at any level to have
and authority to act. The MOTR plan directs
sufficient information, resources, expertise, or
clear coordination relationships and operational
statutory authority to address the spectrum of
coordination requirements among the lead and
potential risks related to small vessels. Only
supporting MOTR agencies, enabling the U.S.
through concerted coordination, continuous
Government to act quickly and decisively to
cooperation, and diligent communications
counter maritime threats. The plan also sets forth
between Federal, state, local, and Tribal agencies
protocols for interagency coordination,
can the potential risks from small vessels be
consultation, and assessment throughout MOTR
adequately addressed without adversely
execution.
impacting the legitimate use of the maritime
domain. Non-governmental organizations (recreational
boating, maritime exchanges, manufacturing
Federal Agencies, where appropriate, will use
associations, pilot associations, and commercial
the M aritime Operational Threat Response

20

Department of Homeland Security Small Vessel Security Strategy

operator associations, etc.) as well as private In addition, DHS will continue to work with our
entities share many of the same concerns and foreign counterparts to coordinate enforcement
responsibility for protecting CIKR and the MTS. operations, and will continue to work with
These private actors have intimate knowledge of international maritime organizations such as the
their own facilities and sphere of influence. International Maritime Organization (IMO) and
Working with the various non-governmental World Customs Organization (WCO) to develop
organizations is more effective than trying to international standards applicable to small
work with individual small vessel community vessels.
members. The various non-governmental
organizations provide a centralized point of
contact on behalf of their members and have the
ability to efficiently communicate with them.

DHS agencies will work with Canadian,

Mexican, Caribbean, and other foreign
counterparts to develop coordinated enforcement
operations targeting high-risk small vessels. This
will ensure maritime assets and response
capabilities are properly distributed to provide
appropriate coverage of the maritime border,
consistent with current intelligence and the
maritime threat. DHS agencies should cross-
train, conduct personnel exchange programs, and
develop clear standards of performance to best
coordinate information sharing and appropriate
enforcement actions.

Goal D—Specific Objectives

Enhance coordination, cooperation, and communications between Federal, state, local, Tribal, and
territorial agencies, the private sector, and non-governmental organizations as well as international
partners.

i. Improve coordinated small vessel interdiction capabilities and operations.

ii. Leverage the capabilities of domestic partners and foreign governments through sharing of
information.
iii. Where appropriate, establish programs where law enforcement authorities from different
nations combine efforts in cooperative patrol and enforcement.
iv. Make it a priority, consistent with available funding and in accordance with agency
resourcing plans, to integrate officers and intelligence analysts from the USCG, CBP, and
Immigration and Customs Enforcement (ICE) into participating state, local, and regional
fusion centers located in jurisdictions along maritime borders of the U.S.
v. Update Area Maritime Security (AMS) processes to insure that small vessels are addressed
when conducting AMS assessments and developing AMS Plans (AMSPs).

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Department of Homeland Security Small Vessel Security Strategy

RISK MANAGEMENT
Given the size and complexity of the maritime
domain, risk-based decision making is the only
feasible approach to prevention, protection,
response and recovery related to small vessel
threats. This risk-based SVSS will be applied
across the maritime domain, the high seas, and
foreign ports. The success of this strategy will
hinge upon the informed and effective
employment of risk management, which will
also inform decisions about resources and
investments in risk-mitigation actions. o Make adjustments in DHS resources
and investments to better attain
Maritime security partners will mitigate a risk performance objectives.
posed by terrorist use of small vessels by o Consider new risk mitigation actions.
conforming to the following five phases of the
GAO risk management framework: Within this construct, maritime security partners
should continue to undertake activities and
1. Strategic Objectives and Constraints
initiatives aimed at mitigating risks associated
o Ensure all actions are firmly aligned with small vessels. Coordinating and achieving
with articulated goals and objectives, synergy among these efforts will reap benefits
keeping a clear focus on the desired and should include:
“end state.”
o Identify high-risk scenarios and/or Maritime Regimes
locations.
2. Risk Assessment • Update Area Maritime Security Plans
(AMSP), and Vessel and Facility
o Assess current and forecast threats,
Security Plans as required by the
vulnerabilities, and consequences.
Maritime Transportation Security Act of
3. Alternative Evaluation 2002 (MTSA) to reflect small vessel
o Develop various risk mitigation security issues.
actions, coordinating efforts, where • Assess the benefits and costs of
prudent. legislative and regulatory options
o Develop quantifiable performance pertaining to enhanced registration and
objectives for each risk-mitigation reporting of small vessels.
action under consideration. • Tailor domestic and international

outreach programs to small vessel

4. Management Selection
security.

o Select appropriate risk mitigation • Identify and evaluate alternative law

actions and coordinate funding. enforcement and defense
5. Implementation and Monitoring operations/legislative initiatives.
o Implement risk mitigation actions.
o Assess attainment of each
performance objective.

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Department of Homeland Security Small Vessel Security Strategy

Maritime Domain Awareness Maritime security partners and the American

public are encouraged to recommend additional
• Review MDA initiatives and programs approaches to further mitigate small vessel risks
and, when appropriate, expand to include through Area Maritime Security Committees
small vessels. (AMSC) and other public forums. Such
• Support the AWW program to provide improvements and recommendations will be
enhanced public outreach and education promptly evaluated by the appropriate entities
programs and evaluate potential and implemented where prudent.
expansion.
• Review and where possible improve the
Relative Risk Reduction from
Domestic Nuclear Detection Office Various Activity Groups
(DNDO) Maritime Program Strategy to
support initiatives that will reduce the The risk reduction analyses conducted as part of the
USCG’s Combating Maritime Terrorism (CMT)
risk of small vessels smuggling illicit Campaign Plan have identified key groups of activities
nuclear and radiological weapons and that contribute to risk reduction. The activity groups
material into the United States. that resulted in the greatest reduction in evaluated risk
areas were:
Maritime Operational Capabilities Maritime Regimes
• Control Port Access
• Coordinate operational security activities
closely through interagency operations • Vessel and Facility Security Compliance
centers. Maritime Domain Awareness
• Surveillance of high risk areas and activities
• Use DHS adaptable capabilities packages
to augment the security of the maritime • Information collection and sharing
domain. Adaptable capability packages Maritime Operations
do not replace statutory missions, • Boarding of Suspect Vessels
existing contingency plans, or other • Use of Specialized Forces
established processes, but they facilitate (Adapted from CMT Campaign Plan Table 4:
DHS-wide planning, support, prevention, Activity and Relative Risk Reduction)
detection, disruption and mitigation
activities associated with threats against
and incidents affecting security interests Figure 3, Key Activity Groups
through the integration of internal agency
operational assets.
• Employ law enforcement resources as
appropriate to augment response and
prevention activities within the maritime
domain of the United States.
• Employ Research and Development
(R&D) capabilities undertaken within
DHS Science and Technology (S&T)
Directorate to support expanded small
vessel security.

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Department of Homeland Security Small Vessel Security Strategy

ORGANIZATIONAL ROLES, RESPONSIBILITIES, AND

COORDINATION

The movement of small vessels from origin to

destination can be either a domestic or
international evolution. In many cases, domestic
jurisdictions overlap. For instance, both the
USCG and CBP have specific jurisdictions
within a port. Further complicating this maze of
jurisdictions are cases where a foreign-flagged
small vessel engages in innocent passage through
U.S. territorial waters. Furthermore, every nation
addresses its commerce, transportation, customs,
and maritime systems differently.

While coordinating Federal and international

roles and responsibilities is complicated; even
more difficult is the coordination of roles and
responsibilities between the Federal, state, and UNITED STATES FEDERAL
local governments and the private entities GOVERNMENT FUNCTIONAL
responsible for providing security from small RESPONSIBILITIES
vessel threats in our maritime domain. Given the
number of state and local jurisdictions, the The Federal agencies with regulatory, statutory
number of private entities involved, and the and management responsibilities that impact
range of authorities and capabilities these groups small vessels are as diverse as the small vessel
have makes the development of a single national community. No single agency has sole or
pre-established protocol for responding to complete authority to act in all matters related to
incidents problematic. The implementation of small vessel construction, registration, and
local plans developed under the guidance of this operation. In order to effectively mitigate risks
Strategy will likely be more effective and allow resulting from the misuse of small vessels,
consideration of local requirements. Federal agencies should coordinate in the
development of regimes, awareness, and
Strictly from a U.S. perspective, the following
operational capabilities. Unity of effort is
descriptions are the primary functional
necessary to effectively reduce risk. This unity of
responsibilities of U.S. entities with
effort must encompass state, Tribal, and local
responsibilities involving small vessel
authorities as well. DHS will take the lead in
regulation, customs, maritime security and
identifying and coordinating organizational roles
safety; including prevention of activities that
and responsibilities. In addition, DHS has a key
would result in a disruption of the maritime
role in the development and implementation of
transportation system. Coordination of involved
guidance or standards, as appropriate. Appendix
agencies in a disaster response scenario will be
A lists selected Federal agencies and
in accordance with the National Response
departments with authorities and responsibilities
Framework (NRF).
in the maritime domain.

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Department of Homeland Security Small Vessel Security Strategy

STATE, LOCAL, AND TRIBAL territory to enter into mutual aid

agreements with other states, tribes, and
GOVERNMENTS territories to facilitate resource-sharing.
To enhance deterrence and improve • Coordinate requests for Federal
preparedness, state, local, and Tribal assistance when it becomes clear that
governments must address prevention, response state capabilities will be insufficient or
and recovery. Under the National Incident have been exceeded or exhausted.
Management System (NIMS), these
• Exchange information with other Federal,
governmental entities have responsibility for
state, local, and Tribal government
incident management response and recovery
agencies.
efforts immediately after an incident. In dealing
with the vulnerability and threat aspects of small • Participate in various advisory
vessel security risk, any planning initiatives committees and task forces regarding
should align with AMSPs through participation maritime security.
in AMSCs.
• State boating law administrators develop,
As responsibilities, capabilities, and implement, and enforce safe boating
organizational structures vary from agency to standards and operator qualifications.
agency, specific functional responsibilities are • Assist in the assessment of the economic
not delineated in this strategy. State, local, and impact caused by a TSI.
Tribal governments may each provide some
assistance in the development of regimes, • Assist in the identification of response
awareness and operational capability. However, and prevention resources and assets.
to coordinate the Federal, state, local, and Tribal • Provide resources as requested and as
government relationships, the following generic appropriate.
list of functional responsibilities that state, local,
and Tribal governmental agencies may perform • Assist in assessment, implementation and
was developed. improvement of security for critical
infrastructure and key resources.

State Governments Local Governments

• Coordinate state resources. • Craft, manage, and maintain small vessel
• Make, amend, and rescind orders and risk and threat mitigation and prevention
regulations under certain threat plans.
conditions in support of detection and • Perform emergency first-responder
prevention efforts as appropriate. activities as appropriate.
• Communicate to the public aspects of an • Coordinate local resources.
emergency within state jurisdiction.
• Communicate to the public any type of
• Assist people, businesses, and local threat or declared emergency within
organizations of the state or territory to the local jurisdiction.
cope with the consequences of terrorist
activity. • Assist people, businesses, and
organizations in the local area with the
• Encourage participation in mutual aid and prevention and possible consequences of
implement authorities for the state or any type of local threat or declared

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Department of Homeland Security Small Vessel Security Strategy

emergency and its recovery the tribe’s capabilities have been

considerations. exceeded or exhausted.
• Negotiate and enter into mutual aid • Deal directly with the Federal
agreements with other jurisdictions to government (although a state Governor
facilitate resource-sharing. must request a Presidential disaster
declaration on behalf of a tribe under the
• Request state and, if necessary, Federal
Stafford Act, Federal agencies can work
assistance through the governor of the
directly with tribes within existing
state when the jurisdiction’s capabilities
authorities and resources).
have been exceeded or exhausted, or
otherwise as appropriate. • Engage in exchange of information with
Federal, state, local, and other Tribal
• Exchange information with other Federal,
government agencies.
state, and Tribal government agencies.
• Participate in various advisory
• Participate in various advisory
committees and task forces regarding
committees and task forces regarding
maritime security.
security incident prevention and recovery
management. • Assist in the assessment of the economic
impact created by a national TSI.
• Assist in the assessment of the economic
impact created by a security incident. • Assist in the identification of resources
and assets.
• Assist in the identification of resources
and assets. • Provide resources as requested and as
appropriate.
• Provide resources as requested and as
appropriate. • Assist in assessment, implementation and
improvement of security for critical
• Assist in assessment, implementation and
infrastructure and key resources.
improvement of security for critical
infrastructure and key resources.
PRIVATE SECTOR
Tribal Governments
As the principal providers of goods and services,
• Coordinate local resources. and the owners or operators of approximately 85
percent of the Nation’s critical infrastructure 26 ,
• Communicate any type of declared
the private sector plays the most important role
emergency within Tribal jurisdiction.
in ensuring its overall security.
• Assist people, businesses, and
organizations to cope with the As a component of their business, private sector
consequences of any type of security entities have responsibility for planning,
incident or declared emergency. operations, and advisory aspects relating to the
safety and security of vessels, critical
• Negotiate and enter into mutual aid infrastructure and key resources.
agreements with other tribes/jurisdictions
to facilitate resource-sharing.
• Request state and Federal assistance
through the governor of the state when 26
National Strategy for Homeland Security (October 2007)
p. 4.

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Department of Homeland Security Small Vessel Security Strategy

To assist the private sector in preparing for this the private sector may perform was developed as
role, DHS advocates, in accordance with the part of the Maritime Infrastructure Recovery
Maritime Infrastructure Recovery Plan the Plan, and is applicable within the framework of
following: this strategy:
• Private sector owners and operators of • Participate in various maritime industry
vessels and facilities subject to United stakeholder professional organizations
States Government regulation are and advisory committees such as the
encouraged to expand their business AMSCs.
continuity plans to include security
• Engage in exchange of information about
incident prevention, detection and
recovery operations plans with other
recovery operations as part of required
potentially affected private sector entities
planning pursuant to Federal regulations.
and the Federal Government to mitigate
• Owners and operators of vessels and potential congestion at non-incident site
facilities not subject to United States ports following the diversion of vessel
Government regulation are encouraged to traffic.
establish security incident prevention,
• Assist in the assessment of economic
detection and recovery operations and
impact.
business continuity plans, in coordination
with appropriate trade partners. • Assist in the identification of prevention
and recovery resources and assets.
• All private sector security incident
prevention, detection and recovery • Provide resources to assist in security and
operation plans should include safety activities, as appropriate.
notification of appropriate local, state,
• Participate in pilot programs to test the
and Federal government agencies. Plans
effectiveness of the Federal Government
should be industry specific and include:
to communicate security activities to the
(1) a plan for reducing vulnerability to
private sector.
attacks; (2) a plan for evacuation or
remaining, (3) adequate communications • Using existing information-sharing
capabilities, and (4) a plan for business mechanisms such as the National
continuity, and any other area or industry Infrastructure Coordinating Center
specific concerns. (NICC), AMSCs, Transportation Sector
Coordinating Councils and Information
It is anticipated that the private sector will Sharing and Analysis Centers (ISAC),
implement business continuity plans/operations communicate situational and operational
plans on their own accord, based on information information as well as physical asset
provided by the Federal Government. capabilities for mitigation management.
Information that may influence the decision to
implement contingency plans and divert or • In conjunction with Federal, state, local
redirect cargo and/or the conveyances include: and Tribal authorities, assist in providing
national priorities; military requirements; MTS security for critical infrastructure and key
restrictions; and the expected duration of those resources.
restrictions.

To facilitate continued flow of commerce, the

following list of functional responsibilities that

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Department of Homeland Security Small Vessel Security Strategy

INTERNATIONAL PARTNERS interagency groups provide for effective

communications and cooperation. Interagency
Securing the maritime domain from the threats institutions provide a means for all levels of
posed by small vessels is a global issue and will government to combine their existing authorities
involve partnering with Canada, Mexico, and operational capabilities ensuring unity of
Caribbean states, as well as other foreign effort and building the relationships necessary to
governments. Additionally, combating terrorist foster cooperation and commitment to common
exploitation of small vessels will require goals. A number of interagency efforts already
assistance from and close collaboration with all exist. Rather than creating new entities, existing
U.S. international partners. frameworks will be utilized as mechanisms to
coordinate efforts to reduce small vessel risks.
International standards and cooperation can be Appendix C lists several interagency efforts that
developed in traditional international maritime may be leveraged in the effort to reduce risks.
organizations such as the IMO and WCO.
Geographic proximity in areas such as the Great
Lakes region and Caribbean will call for a strong
regional approach. The easy transit of small
vessels between the United States and various
regional ports in the Western Hemisphere
requires robust multinational agreements and
support.

In addition to international organizations and

regional compacts, bilateral cooperation with
countries, which share our borders both in
information sharing and joint-operations will
allow us to expand our reach and provide a more
effective deterrent.

AUTHORITIES
The maritime domain, given its complex set of
interlocking jurisdictions and authorities, is
subject to a vast collection of laws and
regulations at the Federal, state, local, and Tribal
levels. Appendix B contains some of the primary
laws which provide the Federal government and
its agencies with authority to act in the maritime
domain.

EXISTING INTERAGENCY
INSTITUTIONS
Interagency cooperation has long been a
cornerstone of effective governance. Multiple

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Department of Homeland Security Small Vessel Security Strategy

THE WAY AHEAD

Numerous prevention and response solutions

have been developed in building a layered
security system that is currently operating in the
maritime domain. Many of these prior initiatives
have focused on larger commercial vessels.
Maritime security initiatives appropriate for
larger vessels do not systematically transfer well
to small vessels because of differences between
the two communities.

In addition to the obvious difference of vessel

size, two important characteristics of the small
vessel community are the number and diversity
of stakeholders involved. Thus, there is no
unique representation of small vessel stakeholder use of small vessels faces several hurdles. Any
issues that would address the disparate technology must be effective and complementary
viewpoints in the community. Another difference in a wide-range of applications, in a large
is the little direct involvement or face-to-face geographic area, and be able to address a broad
interaction between small vessel stakeholders set of requirements. The expanded use of
and international, Federal, state, local, and Tribal technology will require the integration of a
authorities, or commercial industry managers, diverse set of currently stove-piped capabilities.
that govern the use of the waterways in the
maritime domain. Next Steps
The foundation of small vessel security efforts is
Challenges a continued dialog with involved stakeholders. It
The way ahead includes substantial challenges. is vital that we continue the discussion begun at
The diversity and size of the small vessel the June 2007 DHS National Small Vessel
community impedes efforts to develop unity of Security Summit held in Arlington, Virginia. The
effort as the various stakeholders have diverse summit was a solid starting point to hear from
goals, experience levels, capabilities, resources, stakeholders and collect their input. It was the
and expectations concerning use of U.S. first national step, but there has to be an ongoing
waterways. Many stakeholders are inexperienced local interaction and discussion to ensure that
with respect to risk management and may have local ideas, strategies, and concerns are
never interacted with the various layers of addressed as implementation of the national
government. The lack of a common viewpoint strategy occurs in the local ports, coastal and
leads to misunderstandings and confusion on all inland waterways.
sides of the risk management effort.
DHS officials must continue to reach out to
In addition to cultural challenges, there are counterparts in state, local, and Tribal
technical challenges to overcome. The governments. In coordination with the
development of reliable and cost-effective Department of State, DHS will communicate
technology to detect, deter, and prevent terrorist with international partners, as well as private
sector entities. DHS will also continue to build

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Department of Homeland Security Small Vessel Security Strategy

partnerships and cooperation across the entire

small vessel community so that a coordinated
system of regimes, awareness, and operations
can effectively reduce risk in the maritime
domain.

DHS will develop an implementation plan to

provide detailed direction to DHS agencies on
how to achieve the major goals outlined in this
strategy. The implementation plan will include
specific actions in support of each objective in
this strategy and identify lead agencies and target
completion dates. The implementation plan will
make provisions for support of ongoing efforts
with international partners, as well as linkages to
all domestic stakeholders.

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Department of Homeland Security Small Vessel Security Strategy

CONCLUSION

I will guarantee you one thing—the enemy is not wasting time. … Remind yourself about The
Sullivans. Remind yourself about the Cole. Remind yourself about that French tanker, the Limburg.
This attack technique … is one they have used before. It is one that they will likely use again. Let us
work together to make our protections against this as robust as they can be in a way that preserves
the traditional freedom of the seas, our economic mobility and our continued pleasure and boating
on our oceans and in our waterways.
DHS Secretary Michael Chertoff
National Small Vessel Security Summit
June 19, 2007

large vessels and critical infrastructure/key

This strategy is the initial step in identifying
resources. This diversity precludes a single, one­
overriding goals and objectives in order to
size-fits-all solution, but requires a range of
implement a coordinated and unified strategy for
actions that can be undertaken to minimize risk.
securing the small vessel environment. An in-
Separate stand-alone solutions may not make a
depth, risk-based security program must be
significant contribution to risk reduction, but
coordinated in a multi-layered system that
when taken together, will result in a greater
includes international, national, state, local,
overall reduction in small vessel risk.
Tribal, and industry partners.
Fortunately, the great size of the small vessel
Yet, no single strategy can possibly address all
community also constitutes one of the greatest
areas of a topic as complex as small vessel
assets for risk reduction efforts. Everyday,
related risk. This strategy and its implementation
millions of recreational boaters and thousands of
plan constitute the basis of the ongoing effort to
professional mariners traverse our waters and
reduce risk from illicit use of small vessels.
stand ready, willing, and able to report
While this strategy identifies four key risk
suspicious activities. It is imperative that
scenarios, it is important to not let solutions be
Federal, state, local, and Tribal governments
so focused on these four situations that they are
work together, to develop, and nurture these
not flexible enough to prevent other threats.
relationships to address small vessel risk.
National plans and strategies must be as
adaptable as those who aspire to do harm.

First and foremost solutions need to be risk-

based, logical, and forward-looking, with a focus
on the education, communication, and
coordination of all stakeholders within the
maritime domain.

Reducing risk from small vessels is a

tremendous challenge because of the sheer
number of boats, the variety of uses and types,
their geographic range and frequent proximity to

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Department of Homeland Security Small Vessel Security Strategy

APPENDIX A—UNITED STATES FEDERAL

GOVERNMENT RESPONSIBILITIES

This appendix summarizes, at a very high

level, some of the relevant Federal
government responsibilities in the maritime
domain. It does not purport to confer
additional responsibilities on these agencies,
but is merely a concise summary of those
responsibilities and authorities that already
exist.

DEPARTMENT OF HOMELAND SECURITY (DHS)

DHS is a Cabinet level department of the United States Federal Government with the
responsibility of protecting the territory or homeland of the United States from terrorist attacks
and responding to natural disasters. The Department works to protect the United States within,
at, and outside its borders. Its goal is to prepare for, prevent and respond to domestic
emergencies, particularly terrorism.

DHS Office of Policy

DHS Policy is the primary policy formulation and coordination component for DHS. It provides
a centralized, coordinated focus to the development of DHS-wide, long-range planning to protect
the United States.

DHS Office of Intelligence and Analysis (I&A)

I&A is the office in DHS which identifies and assesses a broad range of intelligence information
concerning current and future threats against the United States. The office is responsible for
issuing timely warnings and advisories for the full spectrum of terrorist threats against the
homeland, including physical and cyber events. In responding to disruption within the maritime
domain, I&A reviews threats to the Marine Transportation System and marine CIKR, and
provides intelligence to key decision makers within the Department.

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Department of Homeland Security Small Vessel Security Strategy

DHS Office of Operations Coordination

The Office of Operations Coordination conducts joint operations across all organizational
elements, coordinating activities related to incident management. It employs all Department
resources to translate intelligence and policy into action and oversees the National Operations
Center (NOC) which collects and fuses information from more than 35 Federal, state, Tribal,
local, and private sector agencies.

DHS Directorate for Science and Technology (S&T)

The Directorate for Science and Technology (S&T) is the primary research and development arm
of DHS. The S&T Directorate, in partnership with the private sector, national laboratories,
universities, and other government agencies (domestic and foreign), helps push the innovation
envelope and drive development and the use of high technology in support of homeland security.
DHS S&T plays a critical role in the development of cost-effective technologies that will provide
real world capabilities to support the reduction of risk from the exploitation of small vessels by
terrorists.

United States Coast Guard (USCG)

The USCG is a multi-mission, maritime service within DHS and one of the five Services of the
Nation's Armed Forces. Its core roles are to protect the public, the environment, and U.S.
economic and security interests in any maritime region in which those interests may be at risk,
including international waters and America's coasts, ports, and inland waterways.

The USCG provides unique benefits to the Nation because of its distinctive blend of military,
humanitarian, and civilian law-enforcement capabilities.
The USCG routinely inspects and assesses the security of U.S. ports in accordance with the
MTSA of 2002, the Ports and Waterways Safety Act, and other pertinent legislation. Every
regulated U.S. port facility is required to establish and implement a comprehensive security plan
that outlines procedures for controlling access to the facility, verifying credentials of port
workers, implementing the Transportation Worker Identification Credential (TWIC), inspecting
cargo for tampering, designating security responsibilities, training, and reporting of all breaches
of security or suspicious activity, among other security measures. Working closely with local
port authorities and law enforcement agencies, the USCG regularly reviews, approves, assesses,
and inspects these plans and facilities to ensure full compliance. In addition, also as required by
the MTSA, the USCG assesses the effectiveness of anti-terrorism measures at foreign ports.
The USCG:

• Leads development of maritime regimes

o Participates in planning efforts by developing Area Maritime Security Plans (AMSP)
and collaborating with maritime stakeholders, especially Area Maritime Security
Committees (AMSC) and other local groups such as local harbor safety committees.
o Controls vessel traffic, movement, and anchorage.
o Establishes and enforces security and safety zones.

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Department of Homeland Security Small Vessel Security Strategy

o Controls access to the operations of facilities under, in, or adjacent to waters subject
to the jurisdiction of the United States.
• Facilitates efforts to enhance maritime domain awareness
o Tracks Notice of Arrival (NOA) information from ships entering U.S. waters and
ensures changes to NOAs are provided to the appropriate USCG and CBP officials at
alternate ports of entry.
o As part of AMSCs, and in coordination with appropriate stakeholders and other
government agencies, monitors all vessels and other inter-modal operations within the
respective area of responsibility.
o Collects, integrates, and analyzes maritime intelligence concerning threats to vessels,
ports and maritime infrastructure.
o Coordinates post-incident assessments and the reporting of maritime CIKR status and
intermodal linkages.
• Provides operational capabilities to deter, respond to, and mitigate small vessel related
attacks.
o Actively manages risks to ports by directing the movement of vessels, as necessary.
o Furnishes available personnel, equipment or other resource support as requested,
consistent with overriding mission responsibilities and within the capabilities of
assigned resources.
o Provides port security measures to reduce potential threats and to ensure integrity of
the existing infrastructure system, including boarding of certain high-risk vessels
prior to port entry.
o Ensures the safety of navigation and security of an Area of Responsibility (AOR).

United States Customs and Border Protection (CBP)

U.S. Customs and Border Protection’s top priority is to keep terrorists and their weapons from
entering the United States. While welcoming all legitimate travelers and trade, CBP officers and
agents enforce all applicable U.S. laws. CBP employs over 33,000 sworn law enforcement
officers, agents and agricultural specialists stationed at over 326 official ports of entry, at 142
Border Patrol stations and 35 checkpoints along 7,000 miles of land border with Canada and
Mexico and along 95,000 miles of U.S. coastline, at 58 foreign seaports as part of the Container
Security Initiative (CSI), and at U.S. embassies around the world.

CBP is the only agency authorized to make final admissibility determinations regarding cargo
and persons arriving from a foreign port or place. With regard to small vessel operations, CBP
enforces applicable requirements for commercial vessel operations without regard to the size of
the vessel. Therefore, commercial vessel operators must comply with CBP requirements to
provide inbound and outbound cargo declarations and passenger manifests, and provide entry
and clearance notifications.

Pursuant to 19 CFR 4.2, operators of small pleasure vessels, arriving in the United States from a
foreign port or place to include any vessel which has visited a hovering vessel or received
merchandise outside the territorial sea, are required to report their arrival to CBP immediately

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Department of Homeland Security Small Vessel Security Strategy

upon arrival. CBP also requires a face-to-face inspection unless the operator and passengers
qualify for one of four alternate inspection systems.

In addition to enforcing reporting requirements, CBP searches for narcotics and other
contraband, and undocumented migrants. CBP enforcement of small vessel requirements
includes officers assigned to stationary designated inspection sites and agents on patrol using an
array of over 260 fixed, rotary wing and unmanned aircraft, and nearly 200 marine enforcement
vessels of all types.

CBP:
• Employs all available resources to identify and interdict terrorists and terrorist’s weapons
(WMD) as far from the U.S. shores as possible
• Coordinates with Federal, state, local, Tribal and international law enforcement partners
to stop illegal migrants, drugs, and other criminals from entering the U.S. via the
maritime domain
• Employs the widest possible information sharing practices with other law enforcement
agencies and other partners
• Employs risk management practices when analyzing information and targeting possible
high-risk persons, vessels, and cargo for enforcement actions
• Continues to leverage the latest state-of-the-art technology solutions for situational
awareness and non-intrusive screening and inspection, whenever possible
• Ensures enforcement actions do not unnecessarily impede the legitimate flow of
commercial maritime trade and the freedom of recreational boaters operating in the
maritime domain

Domestic Nuclear Detection Office (DNDO)

The DNDO is a jointly-staffed, national office established to improve the Nation’s capability to
detect and report unauthorized attempts to import, possess, store, develop, or transport nuclear or
radiological material for use against the Nation, and to further enhance this capability over time.

DNDO:
• Develops the global nuclear detection and reporting architecture;
• Develops, acquires, and supports the domestic nuclear detection and reporting system;
• Fully characterizes nuclear detector system performance before deployment;
• Establishes situational awareness through information sharing and analysis;
• Establishes operation protocols to ensure that nuclear detection leads to effective
response;
• Conducts a transformational research and development program in nuclear detection; and

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Department of Homeland Security Small Vessel Security Strategy

• Establishes the National Technical Nuclear Forensics Center to provide centralized

planning and integration of USG nuclear forensics programs.

Immigration and Customs Enforcement (ICE)

The mission of ICE is to protect and uphold public safety by identifying criminal activities and
eliminating vulnerabilities that pose a threat to the U.S. borders, as well as enforcing economic,
transportation, and infrastructure security. By protecting national and border security, ICE seeks
to eliminate the potential threat of terrorist acts against the United States. ICE hosts the largest
international investigative component in DHS, interacting with the international community on
behalf of multiple agencies through investigations of immigration and customs violations,
representation with international organizations, conducting international training, and guiding
repatriation efforts.

ICE Attachés work within U.S. Embassies to implement and support multiple maritime security
initiatives in foreign countries.
• Cooperates with foreign governments in the coordination of DHS foreign investigations,
and provides homeland security intelligence to the DHS Office of Intelligence and
Analysis (I&A), other government entities, and our state, local, and private sector
partners.
• Works with foreign counterparts to combat transnational crimes involving national
security by conducting investigations of entities that pose a risk of terrorism and/or
criminal activities before they arrive at U.S. ports of entry.
• Participates in Border Enforcement Security Task Forces (BESTs) and Integrated Border
Enforcement Teams (IBETS), with foreign government counterparts to increase
capability to detect and interdict harmful goods and materials.
• Serves as a point of contact in Canada and Mexico in the Security and Prosperity
Partnership (SPP) and the Secure Border Initiative (SBI).

Transportation Security Administration (TSA)

TSA’s Office of the Transportation Sector Network Management (TSNM) is dedicated to
leading the unified national effort to protect and secure our Nation’s intermodal transportation
systems. TSNM ensures the safe movement of passengers and promote the free flow of
commerce by building a resilient, robust, and sustainable network with our public and private
sector partners. TSA's Maritime Security Division is engaged in this unified national effort
primarily by providing expertise in credentialing as well as passenger and vehicle screening
techniques and procedures. TSA supports specific programs for ferry and passenger vessel
security, the Transportation Workers Identification Card (TWIC) program and The Port Security
Exercise Training Program (PortSTEP), which brings together Federal, state, and local
governments and private institutions to test responses to specific security events.

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DEPARTMENT OF COMMERCE (DOC)

National Oceanic and Atmospheric Administration (NOAA)

NOAA has a number of responsibilities that regulate and monitor activities of vessels and ensure
safe maritime navigation.
The NOAA Office of Law Enforcement is dedicated to the enforcement of laws that protect and
conserve our Nation’s living marine resources and their natural habitat. NOAA Fisheries
currently has 131 special agents and 19 enforcement officers located at 53 duty stations
throughout the United States. These agents and officers have specified authority to enforce over
37 statutes, as well as numerous treaties related to the conservation and protection of marine
resources and other matters of concern to NOAA. This includes law enforcement activities and
boarding vessels in port and at sea.
NOAA also provides accurate, reliable, and up to date information for safe, efficient, and
environmentally sound transportation to our Nation’s commerce communities. The NOAA
Office of Coast Survey manages NOAA’s nautical chart data collection and information program
and provides navigation services to support this strategic goal.

DEPARTMENT OF DEFENSE (DOD)

The Department of Defense is responsible for defending the United States while helping to
promote American interests globally. During a security incident, DOD may, at the direction of
the President or the Secretary of Defense, provide Defense Support of Civil Authorities (DSCA),
in accordance with applicable laws, regulations, and agreements, to Federal, state, local, and
Tribal response and recovery activities. In addition, local military commanders and responsible
officials of other DOD components are authorized to take necessary action to response to
requests of civil authorities to save lives, prevent human suffering, or mitigate great property
damage. All such necessary action is referred to as “immediate response.”

DEPARTMENT OF TRANSPORTATION (DOT)

The mission of the Department of Transportation is to serve the United States by ensuring a fast,
safe, efficient, accessible, and convenient transportation system that meets U.S. vital national
interests and enhances the quality of life of the American people, today and into the future. This
includes the development and coordination of security requirements within those modes

Maritime Administration (MARAD)

MARAD offers security training programs that can certify individuals as vessel security officers
regarding the implementation of MTSA related requirements.

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St. Lawrence Seaway Development Corporation (SLSDC)

SLSDC is a wholly owned government corporation created by statute in 1954, to construct,
operate, and maintain that part of the St. Lawrence Seaway between the Port of Montreal and
Lake Erie, within the territorial limits of the United States. It works closely with the Saint
Lawrence Seaway Management Corporation of Canada to ensure safe and secure management of
seaway transportation into and out of the Great Lakes on the Seaways.

DEPARTMENT OF ENERGY (DOE)

The DOE, through the National Nuclear Security Administration (NNSA) has four missions
relevant to this strategy:
• Protecting or eliminating weapons and weapons-useable nuclear material or
infrastructure, and redirecting excess foreign weapons expertise to civilian enterprises;
• Preventing and reversing the proliferation of weapons of mass destruction;
• Reducing the risk of accidents in nuclear fuel cycle facilities worldwide; and
• Enhancing the capability to detect weapons of mass destruction, including nuclear,
chemical and biological systems.

DEPARTMENT OF THE INTERIOR

Minerals Management Service

The Minerals Management Service (MMS), a bureau in the U.S. Department of the Interior, is
the federal agency that manages the nation's natural gas, oil and other mineral resources on the
outer continental shelf (OCS). The OCS is a significant source of oil and gas for the Nation’s
energy supply. The approximately 43 million leased OCS acres generally accounts for about 20
percent of America’s domestic natural gas production and about 30 percent of America’s
domestic oil production. The MMS’s oversight and regulatory frameworks ensure production
and drilling are done in an environmentally responsible manner, and done safely.

DEPARTMENT OF JUSTICE (DOJ)

DOJ, through the Federal Bureau of Investigation (FBI), is the lead agency for investigations of
terrorist acts or terrorist threats by individuals or groups inside of the United States, or directed at
U.S. citizens or institutions abroad, where such acts are within the Federal criminal jurisdiction
of the United States. Accordingly, DOJ, through the FBI, is responsible for coordinating the
activities of other members of the law enforcement community to detect, prevent, preempt, and
disrupt terrorist attacks against the United States. DOJ, through the FBI, is the lead agency for
intelligence collection in the United States.

DOJ controls all criminal prosecutions and civil suits in which the United States has an interest.
Under the direction of the Attorney General, 93 United States Attorneys serve as the nation's

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principal litigators, conducting most of the trial work in which the United States is a party,
including the prosecution of criminal cases brought by the Federal government; the prosecution
and defense of civil cases in which the United States is a party; and the collection of debts owed
the Federal government which are administratively uncollectible.

The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) is a principal law enforcement
agency within the DOJ dedicated to preventing terrorism, reducing violent crime, and protecting
our Nation. The men and women of ATF perform the dual responsibilities of enforcing Federal
criminal laws and regulating the firearms and explosives industries.

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APPENDIX B—RELEVANT AUTHORITIES

Various laws, presidential directives, national

strategies, international conventions and
agreements, and DHS goals and priorities
shaped this strategy.

STATUTES/ACTS

Homeland Security Act of 2002 27

This Act established a cabinet-level department headed by a Secretary of Homeland Security

with the mandate and legal authority to protect the American people from the continuing threat
of terrorism. Congress assigned DHS the primary missions to:
• Prevent terrorist attacks within the United States.
• Reduce the vulnerability of the United States to terrorism at home.
• Minimize the damage and assist in the recovery from terrorist attacks that occur.
• Ensure that the overall economic security of the United States is not diminished by
efforts, activities, and programs aimed at securing the homeland.
The Homeland Security Act of 2002 is an important legal element in the role of sharing
information as it established the Department of Homeland Security (DHS) within the Executive
Branch. The DHS was developed to aid in the prevention of and “reduce the vulnerability” of the
U.S. to acts of terrorism. While the DHS is not tasked with the power to investigate and
prosecute acts of terrorism, the Act requires the Department to monitor coordination between
agencies and subdivisions to ensure that even the most tangential piece of information is
analyzed to help secure the homeland.

Ports and Waterways Safety Act (PWSA) of 1972 28

The PWSA grants the USCG broad authority to take action in response to safety and security
issues within the port. For example, the USCG is authorized to establish safety or security zones
both on land and water. Only authorized persons, vehicles, or vessels may enter a safety or

27
Public Law 107–296, 116 Stat. 2135 (Nov. 25, 2002) as codified at 6 U.S.C. §101 et seq.
28
Public Law 92–340, §2, formerly Title I, § 101, 86 Stat. 424 (Jul. 10, 1972), renumbered and amended Public Law
95–474, § 2, 92 Stat. 1471 (Oct. 17, 1978); Public Law 107–295, Title IV, § 443(1), 116 Stat. 2132 (Nov. 25, 2002),
as codified at 33 U.S.C. § 1221 et seq.

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security zone. Persons within a zone must obey the lawful orders of the Captain of the Port
(COTP). Further the PWSA implementing regulations authorize the COTP to control vessels and
facility operations to ensure the safety and security of vessels and waterfront facilities, as well as
to protect navigable waters and the resources therein.

International Maritime and Port Security Act 29

This act amended the Ports and Waterways Safety Act, adding a new section—Port, Harbor and
Coastal Facility Security. This section authorizes the Secretary to carry out measures to prevent
or respond to an act of terrorism against an individual, vessel, or public or commercial structure
that is subject to the jurisdiction of the U.S. and located within or adjacent to the marine
environment, or a vessel of the U.S. or an individual on board that vessel.

Port and Tanker Safety Act (PTSA) Of 1978 30

The Port and Tanker Safety Act of 1978 amended the PWSA, and provides the Coast Guard with
broader, more extensive, and explicitly stated authority. The Act addresses improvements in the
supervision and control over all types of vessels, foreign and domestic, operating in the U.S.
navigable waters, and in the safety of all tank vessels, foreign and domestic, which transport and
transfer oil or other hazardous cargoes in U.S. ports. Additionally, the Act addresses
improvements in the control and monitoring of vessels operating in offshore waters near our
coastline, and vessel manning and pilotage standards.

The Magnuson Act of 1950 31

This Act provides the USCG with the authority to ensure the protection and security of vessels,
harbors, and waterfront facilities against sabotage or other subversive activities. It authorizes the
USCG to establish security zones to prevent damage or injury to any vessel or waterfront facility
and to safeguard ports, harbors, territories, or waters of the United States.

Maritime Transportation Security Act of 2002 32

The Maritime Transportation Security Act of 2002 (MTSA) is designed to protect the nation’s
ports and waterways from a terrorist attack. This Act directs initial and continuing assessments
of maritime facilities and vessels that may be involved in a TSI. It requires vessels and port
facilities to conduct vulnerability assessments and develop security plans that may include
passenger, vehicle and baggage screening procedures; security patrols; establishing restricted

29
Public Law 99–399, title IX, 100 Stat. 889 (Aug. 27, 1986), as codified in 33 U.S.C. 1226.
30
Public Law 95–474, 92 Stat. 1471 (Oct. 17, 1978)
31
50 U.S.C. §191.
32
Public Law 107–295, codified at 46 U.S.C. Subtitle VI, Chapter 701.

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areas; personnel identification procedures; access control measures; and/or installation of

surveillance equipment.

Developed using risk-based methodology, the MTSA security regulations focus on those sectors
of maritime industry that have a higher risk of involvement in a TSI, including various tank
vessels, barges, large passenger vessels, cargo vessels, towing vessels, offshore oil and gas
platforms, and port facilities that handle certain kinds of dangerous cargo or service the vessels
listed above.

MTSA also required the establishment committees in all the nation’s ports to coordinate the
activities of all port stakeholders, including other Federal, local and state agencies, industry and
the boating public. These groups, called Area Maritime Security Committees, are tasked with
collaborating on plans to secure their ports so that the resources of an area can be best used to
deter, prevent and respond to terror threats.

Security and Accountability for Every Port Act of 2006 (SAFE Port
Act) 33
In an effort to further the progress made through the Maritime Transportation Security Act of
2002, the Security and Accountability for Every Port Act (SAFE Port Act) was passed and
became effective in October 2006. The SAFE Port Act created and codified new programs and
initiatives, and amended some of the original provisions of MTSA. The SAFE Port Act includes
provisions that:
• Codified the Container Security Initiative (CSI) and the Customs-Trade Partnership
Against Terrorism (C-TPAT);
• Established port security interagency operational centers at all high-risk ports;
• Set an implementation schedule and fee restrictions for TWIC;
• Required that all containers entering high volume U.S. ports be scanned for radiation
sources by December 31, 2007;
• Required additional data be made available to CBP for targeting cargo containers for
inspection; and
• During a TSI on or adjacent to waters subject to the jurisdiction of the United States, the
Coast Guard Captain of the Port acts as the incident commander, unless otherwise
directed by the President.

33
Public Law 109–347, 120 Stat. 1884 (Oct. 13, 2006), as codified at 6 U.S.C. §901, et seq.

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Critical Infrastructure Information Act of 2002 34

Enacted as part of the Homeland Security Act, this Act creates a framework that enables
members of the private sector to voluntarily submit sensitive information regarding the Nation’s
Critical Infrastructure/Key Resources to DHS with the assurance that the information, if it
satisfies certain requirements, will be protected from public disclosure.

Aviation and Transportation Security Act of 2001 35 (ATSA)

ATSA provides broad Federal authority for security in all modes of transportation. The
authorities of ATSA are delegated by the Secretary of Homeland Security to the Administrator of
the TSA. The Administrator “shall be responsible for security in all modes of transportation”
including civil aviation security and all “security responsibilities over other modes of
transportation that are exercised by the Department of Transportation.” The Administrator is
given an array of specific authorities which carry out this broad responsibility.

The Robert T. Stafford Disaster Relief and Emergency Assistance Act

(Stafford Act) 36

The Stafford Act provides comprehensive authority for response to emergencies and major
disasters—natural disasters, accidents, and intentionally perpetrated events. It provides specific
authority for the Federal government to provide assistance to state and local entities for disaster
preparedness and mitigation, and major disaster and emergency assistance.

Uniting And Strengthening America By Providing Appropriate Tools

Required To Intercept And Obstruct Terrorism Act of 2001 (USA
Patriot Act) 37

The Patriot Act outlines the domestic policy related to deterring and punishing terrorists, and the
United States policy for Critical Infrastructure/Key Resource protection. It also provides for the
establishment of a national competence for National Infrastructure Simulation and Analysis
Center and outlines the Federal government’s commitment to understanding and protecting the
interdependencies among critical infrastructure.

34
Public Law 107–296, Title II, §212, 116 Stat. 2150 (Nov. 25, 2002), as codified at 6 U.S.C. 131 et seq. Presented

as Subtitle B of Title II of the Homeland Security Act (sections 211-215).

35
Public Law 107–71, 115 Stat 597 (Nov. 19, 2001), as codified at 49 U.S.C. §40101, et seq.

36
Public Law 93–288, 88 Stat. 143 (May 22, 1974), as amended, codified at 42 U.S.C. §5121 et seq.

37
Public Law 107–56, 115 Stat. 272 (Oct. 26, 2001), as codified at 18 U.S.C. §1, et seq.

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Outer Continental Shelf (OCS) Lands Act of 1953

The OCS Lands Act, and subsequent amendments, outlines the Federal responsibility over the
submerged lands of the Outer Continental Shelf. Additionally, it authorizes the Secretary of the
Interior to lease those lands for mineral development. It is the role of DOI to ensure that the U.S.
government receives fair market value for acreage made available for leasing and that any oil
and gas activities conserve resources, operate safely, and take maximum steps to protect the
environment.

PRESIDENTIAL DIRECTIVES
• Domestic Incident Management (HSPD-5)
• Critical Infrastructure Identification, Prioritization, and Protection (HSPD 7)
• National Preparedness (HSPD 8)
• Maritime Security Policy (HSPD 13/NSPD 41)
• Domestic Nuclear Detection (HSPD 14/NSPD 43)

NATIONAL STRATEGIES
• National Security Strategy (March 2006)
o Prevent enemies from threatening the Nation, U.S. allies, and friends with WMD.
• National Strategy for Homeland Security (October 2007)
• National Strategy for Maritime Security (NSMS) (September 2005)
o Prevent Terrorist Attacks and Criminal or Hostile Acts—Detect, deter, interdict, and
defeat terrorist attacks, criminal acts, or hostile acts in the maritime domain, and
prevent its unlawful exploitation for those purposes.
o Protect Maritime-Related Population Centers and Critical Infrastructure—Protect
maritime-related population centers, critical infrastructure, key resources,
transportation systems, borders, harbors, ports, and coastal approaches in the
maritime domain.
• National Strategy for Combating Terrorism (September 2006)
o Deny WMD to rogue states and terrorist allies who seek to use them.
• National Plan to Achieve Maritime Domain Awareness for NSMS (October 2005)
o Enhance transparency in the maritime domain to detect, deter and defeat threats as
early and distant from U.S. interests as possible;
o Enable accurate, dynamic, and confident decisions and responses to the full spectrum
of maritime threats
• International Outreach and Coordination Strategy for NSMS (November 2005)

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o A coordinated policy for United States government maritime security activities with
foreign governments, international and regional organizations, and the private sector.
o Enhanced outreach to foreign governments, international and regional organizations,
private sector partners, and the public to solicit support for improved maritime
security.
• National Military Strategy to Combat Weapons of Mass Destruction (February 2006)
o Prevent, dissuade, or deny WMD proliferation or possession.
• National Military Strategic Plan for the War on Terrorism (February 2006)
o Deny terrorist networks the possession or use of WMD
o Establish conditions that allow partner nations to govern their territory effectively and
defeat terrorists
• Civil Support, DoD Joint Publication 3-28 (September 2007)
o DOD contributes to homeland security by conducting homeland defense operations
overseas and in the approaches to the US, and by providing civil support for disasters
and declared emergencies, to designated law enforcement agencies.

INTERNATIONAL AGREEMENTS/INITIATIVES
• United Nations Convention on the Law of the Sea
• Convention for the Safety of Life at Sea, including the International Ship and Port
Facility Security Code
• Proliferation Security Initiative
• Security and Prosperity Partnership of North America
• Global Initiative to Combat Nuclear Terrorism

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APPENDIX C—EXISTING INTERAGENCY

INSTITUTIONS

Interagency cooperation at all levels of

government and including members of the
private sector is vital to the success of efforts
to reduce small vessel risk. Leveraging
already existing interagency forums will
allow more partnerships to develop quickly
and be more effective than creating entirely
new entities.

Homeland Security Advisory Council

At the upper levels of the Department of Homeland Security, the Homeland Security Advisory
Council (HSAC) provides advice and recommendations to the Secretary on matters related to
homeland security. The Council is comprised of leaders from state and local government, first
responder communities, the private sector, and academia.

Area Maritime Security Committees (AMSC)

The USCG has developed 59 AMSCs covering 361 ports, the Great Lakes, Inland and Western
Rivers, and the Outer Continental Shelf region. The USCG COTP, designated as the Federal
Maritime Security Coordinator (FMSC) by the National Maritime Transportation Security Plan
(NMTSP) under the MTSA of 2002, 38 have facilitated and coordinated the development of these
plans through Area Committees.

Each FMSC has formed an AMSC, comprised of Federal, state, and local agencies, as well as
members of the local maritime industry, in their areas of responsibility. The Committee process
enhances the exchange of communications between the USCG, local agencies, and maritime
stakeholders. This cooperative spirit facilitates the creation and maintenance of comprehensive,
coordinated AMSPs which provide for coordinated community-wide measures and support for

38
As implemented in 33 C.F.R. Part 103.200.

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incident management. The AMSPs and Committees serve as the cornerstone for developing and
maintaining the first lines of defense at our Nation’s ports.

During a response to an incident, the AMSCs may also serve as advisory groups, providing the
COTP/FMSC with critical information relating to the port, including recommendations and
guidance on prioritization of response operations and resumption/restoration activities.

Joint Terrorism Task Force (JTTF)/National Joint Terrorism Task

Force
A JTTF is the Federal Bureau of Investigation’s task force concept that promotes interagency
cooperation, coordination, and communication in addressing a wide variety of terrorism matters.
JTTF members include other Federal agencies (notably DHS components such as CBP, ICE, the
TSA, USCG, and the United States Secret Service (USSS)), state, and local law enforcement,
and specialized agencies, such as railroad, harbor, and port police. JTTFs are established in all 56
FBI field offices.

In addition, a National JTTF exists in Washington, DC that is composed of representatives from

many other government agencies. The NJTTF supports the JTTFs throughout the United States
and enhances communication, coordination, and cooperation between Federal, state, and local
government agencies representing the intelligence, law enforcement, defense, diplomatic, public
safety, and homeland security community by providing a point of fusion for terrorism
intelligence.

Integrated Border Enforcement Teams (IBETS)

To effectively combat cross-border criminal activity, American and Canadian law enforcement
agencies take an international and integrated approach to their investigations.

Integrated Border Enforcement Teams (IBETs) core agencies are: the Royal Canadian Mounted
Police (RCMP), the Canada Border Services Agency (CBSA), CBP, ICE, and the USCG.

IBET agencies share information and work together daily with other local, state and provincial
law enforcement agencies on issues relating to national security, organized crime and other
criminality transiting the Canada/U.S. border between the official Ports of Entry (POE).

Maritime Domain Awareness Coordination

Maritime Domain Awareness Stakeholder Board

The Maritime Domain Awareness Stakeholder Board will be responsible for policy coordination,
alignment, synergy and issue resolution between the Global Maritime Intelligence Integration
(GMII) Enterprise and the Global Maritime Situational Awareness (GMSA) Enterprise. The
Stakeholder Board, through the co-chairs, will serve as a conduit to the Maritime Security Policy
Coordinating Committee (MSPCC). The Stakeholder Board’s efforts will focus on optimizing
and guiding information sharing and the development of capabilities related to the key functional

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aspects of Maritime Domain Awareness; collection, fusion, analysis and dissemination of data,
information, and intelligence.

Global Maritime Community of Interest Intelligence Enterprise

National Security Presidential Directive-41/Homeland Security Presidential Directive-13

underscores the importance of securing the Maritime Domain. The Global Maritime Intelligence
Integration Plan is one of the eight supporting plans to the National Strategy for Maritime
Security. The GMII Plan defined the GMII Enterprise Director’s roles and responsibilities in
using existing capabilities to integrate all available intelligence regarding potential threats to U.S.
interests in the Maritime Domain.

Director Global Maritime Situational Awareness Enterprise

The Director GMSA Enterprise is responsible for effective access to maritime information and
data critical to building the situational awareness component of Global MDA. The Director will
develop and recommend policy guidance for coordinated collection, fusion, analysis and
dissemination of GMSA information and products, as well as information integration policies,
protocols and standards across the GMSA Enterprise that are consistent with those established
under GMII Enterprise.

Maritime Domain Awareness Enterprise Hubs

MDA Enterprise Hubs will be developed from within existing organizations with capabilities
that already make substantial contributions to MDA in one or more of the following subject
areas:
• Vessels;
• Cargo;
• People;
• Infrastructure; and
• Architecture Management.
Enterprise Hubs are intended to leverage their experience and expertise to provide leadership for
the community in a particular area, not to be the exclusive Federal provider of information and
products for that subject area.

Critical Infrastructure Sector Partnership

Critical infrastructure protection is a shared responsibility among Federal, state, local, and Tribal
governments and the owners and operators of the Nation's CIKR. Partnerships between the
public and private sectors are essential, in part because the private sector owns and operates
approximately 85% of the Nation's critical infrastructure. Government agencies have access to
critical threat information, and each controls security programs, research and development, and

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other resources that may be more effective if discussed and shared, as appropriate, in a
partnership setting.

Sector Partnership Structure

Homeland Security Presidential Directive 7 (HSPD-7) and the NIPP provide the overarching
framework for a structured partnership between government and the private sector for protection
of CIKR. This sector partnership structure details the formation of Sector Coordinating Councils
and Government Coordinating Councils as described below.

Sector Coordinating Councils (SCC)

SCCs foster and facilitate the coordination of sector-wide activities and initiatives designed to
improve the security of the Nation's critical infrastructure. They are self-organized, self-led,
broadly representative of owners and operators (and their associations) within the sector, and are
focused on homeland security and critical infrastructure protection.

Government Coordinating Councils (GCC)

Each GCC brings together diverse Federal, state, local, and Tribal interests to identify and
develop collaborative strategies that advance critical infrastructure protection. GCCs serve as a
counterpart to the SCC for each CIKR sector. They provide interagency coordination around
CIKR strategies and activities, policy and communication across government, and between
government and the sector to support the Nation's homeland security mission.

Critical Infrastructure Partnership Advisory Council (CIPAC)

The Critical Infrastructure Partnership Advisory Council (CIPAC) provides the operational
mechanism for carrying out the sector partnership structure. The CIPAC provides the framework
for owner and operator members of Sector Coordinating Councils (SCC) and members of
Government Coordinating Councils (GCC) to engage in intra-government and public-private
cooperation, information sharing, and engagement across the entire range of critical
infrastructure protection activities.

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APPENDIX D—ACRONYMS

AIS—Automatic Identification System DSCA—Defense Support of Civil Authorities

AMSC—Area Maritime Security Committee

AMSP—Area Maritime Security Plan

AOR—Area of Responsibility

ATSA—Aviation and Transportation Security

Act of 2001

AWW—America’s Waterway Watch

BEST—Border Enforcement Security Task

Force

CBP—Customs and Border Protection

CBSA—Canada Border Services Agency EEZ—Exclusive Economic Zone

CI—Critical Infrastructure EPA—Environmental Protection Agency

CIKR—Critical Infrastructure and Key FACA—Federal Advisory Committee Act

Resources
FBI—Federal Bureau of Investigation
CIPAC—Critical Infrastructure Partnership
Advisory Council FDA—Food and Drug Administration

COTP—Captain of the Port FMSC—Federal Maritime Security Coordinator

CSI—Container Security Initiative FYHSP—Future Years Homeland Security

Program
C-TPAT—Custom-Trade Partnership Against
Terrorism GAO—Government Accountability Office

DHS—U.S. Department of Homeland Security GCC—Government Coordinating Council

DNDO—Domestic Nuclear Detection Office GDP—Gross Domestic Product

DOD—U.S. Department of Defense GMII—Global Maritime Intelligence Integration

DOE—U.S. Department of Energy GMSA—Global Maritime Situational

Awareness
DOJ—U.S. Department of Justice
GPRA—Government Performance and Results
DOT—U.S. Department of Transportation Act of 1993

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GPS—Global Position System NIE—National Intelligence Estimate

IACM—Interagency Assessment of Cocaine NIMS—National Incident Management System

Movement
NIPP—National Infrastructure Protection Plan
IBETS—Integrated Border Enforcement Teams
NIRU—National Incident Response Unit
ICE—Immigration and Customs Enforcement
NMTSP—National Maritime Transportation
ICS—Incident Command System Security Plan

IIMG—Interagency Incident Management NNSA—National Nuclear Security

Group Administration

IMO—International Maritime Organization NOA—Notice of Arrival

IND—Improvised Nuclear Device NOC—National Operations Center

ISAC—Information Sharing and Analysis NRC—National Response Center

Center
NRF—National Response Framework
JTTF—Joint Terrorism Task Force
NSMS—National Strategy for Maritime Security
KR—Key Resources
OMB—Office of Management and Budget
LTTE—Liberation Tigers of Tamil Eelam
OCS—Outer Continental Shelf
MANPADS—Man-Portable Air-Defense
System PART—Program Assessment Rating Tool

MARAD—Maritime Administration PBRS—Pleasure Boat Reporting System

MDA—Maritime Domain Awareness POE—Port of Entry

MMS—Minerals Management Service PWSA—Ports and Waterways Safety Act

MISLE—Marine Information for Safety and RCMP—Royal Canadian Mounted Police

Law Enforcement
RDD—Radioactive Dispersal Device
MOTR—Maritime Operational Threat Response
RFID—Radio-Frequency Identification
MTSA—Maritime Transportation Security Act
SBI—Secure Border Initiative
MTS—Maritime Transportation System
SCC—Sector Coordinating Council
NGO—Non-governmental Organization
SFO—Senior Federal Official
NICC—National Infrastructure Coordinating
Center

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SLSDC—St. Lawrence Seaway Development

Corporation

SPP—Security and Prosperity Partnership

SSA—Sector Specific Agency

TSA—Transportation Security Administration

TSI—Transportation Security Incident

TSNM—Office of the Transportation Sector

Network Management

TWIC—Transportation Worker Identification

Credential

USACE—United States Army Corps of

Engineers

USCG—U.S. Coast Guard

USSS—U.S. Secret Service

VIS—Vessel Identification System

WBIED—Waterborne Improvised Explosive

Device

WCO—World Customs Organization

WMD—Weapon of Mass Destruction

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