Attachment 12 - COMDTINST5532.1 - Physical Access Control.pdf

Department of Homeland Security

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AT A MINIMUM, THE ATTACHED MATERIALS WILL BE DISSEMINATED ONLY ON

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DISCLOSURE.

Posting of this FOUO directive on the Coast Guard Directives System Intranet site was authorized by the sponsor. They determined it is suitable for all Intranet users IAW Use and

Management of Coast Guard Internet and Intranet Web Sites, Content, and Access, COMDTINST 5230.62, paragraph 8.n(3).

FOR OFFICIAL USE ONLY (FOUO)

Public Availability to be Determined Under 5 U.S.C. § 552

PHYSICAL ACCESS CONTROL

COMDTINST 5532.1

January 2023

THIS PAGE INTENTIONALLY LEFT BLANK

Public Availability to be Determined

COMDTINST 5532.1

04 JAN 2023

Under 5 U.S.C. §552

COMMANDANT INSTRUCTION 5532.1

Subj: PHYSICAL ACCESS CONTROL

Ref: (a) The Risk Management Process: An Interagency Security Committee Standard, Department of Homeland Security, Cybersecurity and Infrastructure Security Agency, and Interagency Security Committee (2021 Ed.)

(b) Physical Security and Force Protection Program, COMDTINST 5530.1 (series)

(c) Entering Military, Naval, or Coast Guard Property, 18 U.S.C.A. § 1382

(d) U.S. Coast Guard Real Property Management Manual, COMDTINST M11011.11

(series)

(e) Privacy Policy and Compliance, Department of Homeland Security Directive

047-01-001 (July 25, 2011)

(f) The Coast Guard Freedom of Information (FOIA) and Privacy Acts Manual, COMDTINST M5260.3 (series)

(g) Military, Naval, or Official Passes, 18 U.S.C.A. § 499

(h) Policies for a Common Identification Standard for Federal Employees and

Contractors, Homeland Security Presidential Directive 12 (August 27, 2004)

(i) Final Credentialing Standards for Issuing Personal Identity Verification Cards under HSPD-12, Office of Personnel Management Memorandum (July 31, 2008)

(j) DoD Identification (ID) Cards: ID Card Life-Cycle, DODM 1000.13 Volume 1

(January 23, 2014)

(k) Coast Guard Trusted Associate Sponsorship System (TASS), COMDTINST

5500.18 (series)

(l) Identification Cards for Members of the Uniformed Services, Their Eligible

Family Members, and other Eligible Personnel, COMDTINST M5512.1 (series)

(m) REAL ID Act of 2005, Pub. L. No. 109–13

(n) United Stated Coast Guard Regulations 1992, COMDTINST M5000.3 (series)

(o) Commandant; general powers, 14 U.S.C.A. § 504

(p) Personnel Security and Suitability Program, COMDTINST M5520.12 (series)

(q) ISC Best Practices for Armed Security Officers in Federal Facilities (2019

Edition)

(r) Minimum Antiterrorism Standards for Buildings, UFC 4-010-01 (series)

(s) Security Engineering Facilities Planning Manual, UFC 4-020-01 (series)

(t) Entry Control Facilities and Access Control Points, UFC 4-022-01 (series)

(u) Selection and Application of Vehicle Barriers, UFC 4-022-02 (series)

(v) Security Fences and Gates, UFC 4-022-03 (series)

(w) Shore Infrastructure, Mission Support Business Model Requirements Directive

Technical Order Construction Standard Technical Order Security Infrastructure SILC-CSTO-36-11-31 21-01 (series)

(x) Maritime Transportation Security Act (MTSA) of 2002, Pub. L. 107-295

Commandant United States Coast Guard

US Coast Guard Stop 7202 2703 Martin Luther King JR Ave SE Washington, DC 20593-7202 Staff Symbol: DCMS-34 Phone: (202) 372-3703 Email: HQS-DG-lst-DCMS-34@uscg.mil

(y) General Records Schedule 5.6: Security Management Records (March 2022)

(z) U.S. Coast Guard Foreign Disclosure Program (CG-FDP), COMDTINST

M5260.7 (series)

(aa) U.S. Coast Guard Foreign Affairs Policy Manual, COMDTINST M5710.5

(series).

(bb) Vetting Process for Foreign Visitors Memorandum, Janet Hale, DHS

Undersecretary for Management, 8 February 2006

PURPOSE. This Instruction provides the policy for physical access control for Coast Guard installations and facilities. Proper physical access control will help protect installation property and personnel, but the process and procedures must not be exercised in an arbitrary, unpredictable, or discriminatory manner.

ACTION. All Coast Guard Area Commanders, Sector Commanders, Commanding Officers, Officers-in-Charge, Deputy/Assistant Commandants, and Chiefs of Headquarters staff elements must comply with provisions of this Instruction.

AUTHORIZED RELEASE. Internet release is not authorized.

DIRECTIVES AFFECTED. None.

DISCUSSION. All Coast Guard units shall administer physical access control based on the requirements of this Instruction. When a unit is a tenant on a DHS, DoD, or other Federal agency facility, installation, or property, the Unit Commander will follow the procedures of the host unit.

a. A Coast Guard unit shall only grant access via escorted or unescorted means. If any unit cannot comply with all requirements within this Instruction in order to grant unescorted access, it shall only provide requested access via escorted means.

b. Coast Guard units shall only grant unescorted physical access to visitors without preexisting authorized unescorted access after establishing a valid purpose to enter, sponsorship, identify-proofing, vetting, a favorable fitness determination made by a designated Vetting Official (VO), and a temporary visitors pass issued.

c. Commanding Officers shall ensure Unit Security Plans and physical access control related Standard Operating Procedures (SOP) incorporate the requirements of this Instruction.

DISCLAIMER. This guidance is not a substitute for applicable legal requirements, nor is it itself a rule. It is intended to provide operational guidance for Coast Guard personnel and is not intended to nor does it impose legally-binding requirements on any party outside the Coast Guard.

IMPACT ASSESSMENT. This Instruction clarifies and codifies currently existing personnel processes and equipment resources for providing physical access control. Units can achieve full compliance with this Instruction through enforcing an escorted visitor policy with minimal resource impacts, therefore no new resources are being provided based on this Instruction. However, if establishing an initial physical access control program or increasing capability, personnel and resources impacts will differ greatly depending on the size of the unit, the amount of throughput at the Access Control Point (ACP), the designated Facility Security Level (FSL), the determined threat level, the unit’s requirement for unescorted assess, and the Commanding Officer’s intent for physical access control. Until specific facility security risks are identified, no new resources will be provided based on this Instruction. A full Interagency Security Committee (ISC) Risk Management Process (RMP) security risk assessment conducted by a security manager will identify, assess, and prioritize security risks. The assessment can then be used as justification to request funding and resources as needed. Contact your cognizant security manager for assistance with a security assessment. Additional impact assessment details are provided in Appendix C.

ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS. The Office of Environmental Management, Commandant (CG-47) reviewed this Commandant Instruction and the general policies contained within, and determined that this policy falls under the Department of Homeland Security (DHS) categorical exclusion A3. This Commandant Instruction will not result in any substantial change to existing environmental conditions or violation of any applicable federal, state, or local laws relating to the protection of the environment. It is the responsibility of the action proponent to evaluate all future specific actions resulting from this policy for compliance with the National Environmental Policy Act (NEPA), other applicable environmental requirements, and the U.S. Coast Guard Environmental Planning Policy, COMDTINST 5090.1 (series).

DISTRIBUTION. No paper distribution will be made of this Instruction. An electronic version will be located on the CGPortal at:

https://cg.portal.uscg.mil/library/directives/SitePages/directives.aspx.

RECORDS MANAGEMENT CONSIDERATIONS. Records created as a result of this Instruction, regardless of format or media, must be managed in accordance with the records retention schedules located on the Records Resource Center SharePoint Online site:

https://uscg.sharepoint-mil.us/sites/cg61/CG611/SitePages/Home.aspx.

FORMS. The forms referenced in this Instruction are available on the Coast Guard Standard Workstation or on the Internet: www.dcms.uscg.mil/Our-Organization/Assistant- Commandant-for-C4IT-CG-6/The-Office-of-Information-Management-CG- 61/Forms- Management/.

SECTION 508. This Instruction was created to adhere to Accessibility guidelines and standards as promulgated by the U.S. Access Board. If changes are needed, please communicate with the Coast Guard Section 508 Program Management Office at Section.508@uscg.mil.

http://www.dcms.uscg.mil/Our-http://www.dcms.uscg.mil/Our-https://www.dcms.uscg.mil/Our-Organization/Assistant-Commandant-for-C4IT-CG-6/The-Office-of-Information-Management-CG-61/Forms-Management/ https://www.dcms.uscg.mil/Our-Organization/Assistant-Commandant-for-C4IT-CG-6/The-Office-of-Information-Management-CG-61/Forms-Management/ https://www.dcms.uscg.mil/Our-Organization/Assistant-Commandant-for-C4IT-CG-6/The-Office-of-Information-Management-CG-61/Forms-Management/ mailto:Section.508@uscg.mil

REQUEST FOR CHANGES. Units and individuals may recommend changes via the chain of command to: HQS-DG-lst-DCMS-34@uscg.mil.

/PAUL F. THOMAS/

Vice Admiral, U.S. Coast Guard Deputy Commandant for Mission Support file://hqs-nas-t-001/DCMS/DCMS-34/DCMS-3411/Physical%20Security/Access%20Control/Working%20Draft/HQS-DG-lst-DCMS-34@uscg.mil

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TABLE OF CONTENTS

CHAPTER 1. OVERVIEW, AUTHORITY, AND STANDARDS 1-1

A. Overview 1-1 B. DHS Requirements 1-1 C. Authorities 1-1 D. Standards 1-3

CHAPTER 2. ROLES AND RESPONSIBILITES 2-1

A. Headquarters 2-1 B. Area/District 2-3 C. Field Level 2-3

CHAPTER 3. VALID PURPOSE AND SPONSORSHIP 3-1

A. Valid Purpose for Physical Access 3-1 B. Sponsorship 3-2

CHAPTER 4. IDENTITY PROOFING 4-1

A. Identity Proofing 4-1 B. Persons under the age of 18 4-2

CHAPTER 5. CREDENTIALS 5-1

A. Background 5-1 B. Credentials Conveying Unescorted Access 5-2 C. Credentials not Conveying Unescorted Access 5-4

CHAPTER 6. VETTING AND FITNESS DETERMINATION 6-1

A. Overview of Vetting 6-1 B. Vetting Official 6-1 C. Fitness for Unescorted Access 6-1 D. Non-authoritative Databases 6-3 E. Fitness Determination 6-3 F. Periodic Vetting and Fitness Determinations 6-4

CHAPTER 7. OFFICIAL FOREIGN VISITORS 7-1

A. Overview 7-1 B. Background 7-1 C. Planning Official Visits 7-1 D. Validating a Purpose to Enter 7-2 E. Identity Proofing 7-2 F. Vetting and Fitness Determination of Foreign National Visitors 7-2 G. Escort Requirement 7-3 H. Visitor Pass Issuance 7-3

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I. Special Cirmcumstances 7-3

CHAPTER 8. DEBARMENTS 8-1

A. Overview 8-1 B. Unauthorized Entry 8-1 C. Legal Authority 8-1 D. Debarment Orders 8-3 E. Debarment Lists 8-4 F. Appeal Process and Reinstatement 8-5

CHAPTER 9. PROCESSES AND PROCEDURES FOR PHYSICAL ACCESS 9-1

A. Introduction 9-1 B. Unit Perimeter Access Control Measures 9-1 C. Locally Produced Visitor Passes 9-7 D. Escort Authority 9-8 E. Trusted Traveler Procedure 9-9 F. Additional Escort Requirements 9-11 G. Restricted Areas 9-11

CHAPTER 10. ELECTRONIC PHYSICAL ACCESS CONTROL SYSTEMS (PACS) 10-1

A. Definition 10-1 B. Minimum Standards 10-1 C. Registration 10-3

LIST OF TABLES

Table 5-1. Summary of Common Credentials 5-2

LIST OF FIGURES

Figure E1-1. CAC Front Features Encl 1-1 Figure E1-2. CAC Back Features Encl 1-1 Figure E1-3. No Stripe CAC Encl 1-2 Figure E1-4. Blue Stripe CAC Encl 1-2 Figure E1-5. Green Stripe CAC Encl 1-3 Figure E1-6. Armed Forces of the United States Geneva Conventions Card. Encl 1-3 Figure E1-7. U.S. DoD or Uniformed Services ID Card. Encl 1-4 Figure E1-8. U.S. DoD or Uniformed Services ID and Privilege Card. Encl 1-5 Figure E1-9. Uniformed Services Geneva Conventions ID Card for Civilians

Accompanying the Armed Forces. Encl 1-5 Figure E1-10. Paper-based USID Card Topology Encl 1-6 Figure E1-11. Next Generation USID Card Encl 1-6

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Figure E1-12. DD Form 2, United States Uniformed Services Identification Card (Retired). Encl 1-7

Figure E1-13. Armed Forces of the United States Geneva Conventions Identification Card (Reserve) DD Form 2. Encl 1-8

Figure E1-14 Next Generation USID Geneva Conventions ID Card. Encl 1-8 Figure E1-15. DD Form 2, United States Uniformed Services Identification

Card (Reserve Retired). Encl 1-9 Figure E1-16. DD Form 1173, Uniformed Services Identification and

Privilege Card Encl 1-11 Figure E1-17. DD Form 1173-1, Department of Defense Guard and Reserve

Dependent Identification Card. Encl 1-12 Figure E1-18. DD Form 2764, Uniformed Services Civilian Geneva Conventions

Identification Card. Encl 1-13 Figure E1-19. DD Form 2765, Department of Defense/Uniformed Services

Identification and Privilege Card. Encl 1-14 Figure E1-20. U.S. Coast Guard Auxiliary Identification Cards Encl 1-14 Figure E1-21. Civilian Retiree Card Topology Encl 1-15 Figure E1-22. Civilian Retiree Card. Encl 1-15 Figure E1-23 PIV Front Card Topology Encl 1-17 Figure E1-24. PIV Card Back Topology Encl 1-17 Figure E1-25. Federal PIV Front Examples Encl 1-18 Figure E2-1. TWIC NEXGEN Front Authentication Features Encl 2-1 Figure E2-2. TWIC NEXGEN Front Authentication Features continued Encl 2-2 Figure E2-3. TWIC NEXGEN Front Authentication Features continued Encl 2-3 Figure E2-4. TWIC NEXGEN Back Authentication Features Encl 2-4 Figure E2-5. Sample TWIC NexGen Card Encl 2-5 Figure E2-6. 2007 Design TWIC Front Authentication Features Encl 2-6 Figure E2-7. 2007 Design TWIC Front Authentication Features continued Encl 2-7 Figure E2-8. 2007 Design TWIC Back Authentication Features Encl 2-8 Figure E2-9. Sample TWIC (2007 design) Encl 2-9 Figure E2-10. CGX Employee Identification and Privilege Card Encl 2-10 Figure E2-11. Veteran Health ID Card Encl 2-12 Figure E2-12. Legacy Veteran Identification Card. Encl 2-13 Figure E2-13. Veteran ID Card (VIC) Encl 2-14 Figure E2-14. United States Passport. Encl 2-15 Figure E2-15. U.S. Passport Card Encl 2-16 Figure E2-16. Current/Valid Driver’s License. Encl 2-17 Figure E2-17. Identification Card Issued by Federal, State, or local Government

Agencies Encl 2-17 Figure E2-18. U.S. Coast Guard Merchant Mariner Credential. Encl 2-19 Figure E2-19. Permanent Resident Cards (Form I-551). Encl 2-21 Figure E2-20. Resident Alien Card Encl 2-22 Figure E2-21. Unexpired Foreign Passport with a Temporary (I-551) Stamp Encl 2-23 Figure E2-22. Temporary (I-551) Machine-Readable Immigrant Visa. Encl 2-24 Figure E2-23. Current Employment Authorization Document (Form I- 766). Encl 2-25

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Figure E2-24. Previous Employment Authorization Document (Form I- 766). Encl 2-25 Figure E3-1. U.S. Social Security Card Encl 3-1 Figure E3-2. Consular Report of Birth Abroad (FS-240) Encl 3-2 Figure E3-3. Certification of Birth Abroad (Form DS-1350) Encl 3-3 Figure E3-4 Certification of Birth Abroad (Form FS-545) Encl 3-4 Figure E3-5.U.S. Citizen ID Card (Form I-197). Encl 3-1 Figure E3-6. U.S. Citizen ID Card (Form I-179). Encl 3-1 Figure E3-7. Form I-94 Arrival/Departure Record Encl 3-2 Figure E3-8. Electronic Form I-94 Arrival/Departure Record Encl 3-3 Figure E3-9. Form I-94A Arrival/Departure Record Encl 3-1

Appendix A. ABBREVIATIONS AND ACRONYMS A-1

Appendix B. DEFINITION OF TERMS B-1

Appendix C. ADDITIONAL IMPACT ASSESSMENT DETAILS C-1

ENCLOSURES

(1) Credential Examples for Unescorted Access

(2) Identification documents

(3) Supplemental Identiy Proofing Documents

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CHAPTER 1. OVERVIEW, AUTHORITY, AND STANDARDS

A. Overview. The objective of physical access control is to restrict entrance to facilities and units (hereafter collectively referred to as “units”) to authorized persons in order to assist in the protection of CG personnel, resources, and mission assets. Coast Guard units shall only grant access via escorted or unescorted means. If any unit cannot comply with all requirements within this Instruction in order to grant unescorted access, it shall only provide requested access via escorted means. Coast Guard units shall only grant unescorted physical access to visitors without preexisting authorized unescorted access after establishing a valid purpose to enter, sponsorship, identify-proofing, vetting, a favorable fitness determination made by a designated Vetting Official (VO), and a temporary visitors pass issued.

NOTE: Coast Guard Unit Commanders, Commanding Officers, Civilian Directors, Officers- In-Charge, (hereafter collectively referred to as “Commanders”) will employ physical access control measures processes and procedures for their unit, based on the requirements of this Instruction and the Level of Protection (LOP) determined through the CG implementation of the Interagency Security Committee (ISC) Risk Management Process (RMP).

B. DHS Requirements. Reference (a) defines the criteria and comprehensive processes that those responsible for the physical security of a facility will use. Reference (a) provides guidance for customization of countermeasures for Federal facilities (including all CG units.).

NOTE: Reference (a) was designed for shore facilities and is not intended to be used for Coast Guard cutter while underway or in foreign ports, some criteria may be applicable while moored at the vessels home port.

NOTE: If units are not able to comply with all requirements within this Instruction in order to grant unescorted access, they shall only provide requested access via escorted means.

C. Authorities.

Authority to Control Access. Commanding Officers have absolute authority and responsibility for their unit, to include controlling physical access to their units. The Unit Commander’s inherent authority is granted by virtue of the Commandant’s general powers to “maintain and operate” facilities. Commanders and Directors have the authority to control physical access under the authority of Title 14 U.S.C. § 504(a)(2) and (e), Reference (o), with inherent authority of the Unit Commander as they discharge these responsibilities. Similar authority is vested in a Commanding Officer of a Coast Guard vessel by 14 U.S.C. § 504(e) and United States Coast Guard Regulations 1992, COMDTINST M5000.3B. Section § 504(e) of Title 14 of the U.S. Code gives the Officer “All authority, including programmatic budget authority, for the operation and maintenance of Coast Guard vessels, aircraft, systems, aids to navigation, infrastructure, and other assets or facilities....” This authority includes the Commanding Officer's power to disallow anyone onboard if that person creates a threat to the vessel or the crew. The Coast Guard Regulations of 1992 vests Commanding Officers of Coast Guard vessels

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1-2 with authority to allow or disallow guests onboard the vessel under certain circumstances, such as interference with the movement or efficiency of the vessel and comfort or discipline of the crew. Entry onto a CG property for an illegal purpose or reentry after being ordered to leave the base is a violation of 18 U.S.C. §1382, Reference (c), and may be punished by a fine, imprisonment for up to six months, or both.”

Special Consideration. In places of concurrent and proprietorial jurisdiction, state and local police officers, fire fighters, sheriffs, EMT's and coroners do not lose their state-statute-based authority when authorized access through an Access Control Point, with the exception when authorized access onto a Coast Guard vessel.

D. Standards. The standards for physical access control are derived from the ISC standard.

NOTE: If units are not able to comply with all requirements within this Instruction in order to grant unescorted access, they shall only provide requested access via escorted means.

Maintain Facility and Installation Perimeter. CG units will meet applicable physical security standards for facility and installation perimeters in accordance with (IAW) Reference (a) and Chapter 2 of Reference (b). This Instruction does not alter other CG protection and security requirements governed by instructions and manuals implementing and guiding FP, physical security, and antiterrorism.

Physical Access Control. Physical access control standards are comprised of establishing a valid purpose to enter, identity proofing, and vetting to determine the fitness of an individual requesting or requiring Escorted or Unescorted access to CG units.

Commanders will employ physical access control measures as outlined in this Instruction at their units to enhance security and protect personnel, resources, and mission assets.

Personnel authorized physical access shall be granted either escorted or unescorted access.

a. Escorted Access. Personnel who are granted physical access, without determination of a favorable fitness, must be accompanied by an Authorized Escort Authority as outlined per Chapter 9.D in this Instruction. The escort requirement is mandated for the duration of the individual’s visitation.

b. Unescorted Access. Personnel who have approved and recognized credentials that convey unescorted access or have been identity-proofed, vetted, and determined fit for unescorted access to the unit.

c. Successful physical access control is pivotal to security and Force Protection (FP) efforts because it improves the probability of detection and provides a strong psychological deterrent to those who may pose a threat to CG resources and personnel. Physical access is the first line of defense and is a singular, yet critical, element of physical security, providing protection for resources, assets, and personnel. Physical access control maximizes the ability to detect those individuals attempting to subvert established procedures and gain unauthorized physical access to

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1-3 the unit.

d. Physical access control measures are enhanced by establishing a physical boundary around units, where required; channeling personnel and vehicles to designated ACPs for processing; and Developing a standard to determine who is authorized physical access.

e. Valid purpose to enter. Persons requesting physical access shall provide a valid purpose for access to Coast Guard units as outlined in Chapter 3 of this Instruction.

Entry onto a unit is a privilege and should be controlled as such. Individuals entering a unit must have a valid purpose for physical access. This includes, but is not limited to:

(1) Official duties as uniformed military personnel, CG civilian employees, and contractors.

(2) Utilization of facility or installation services by military retirees, family members, dependents, and other authorized patrons.

(3) Deliveries and other commercial services for the facility or installation.

(4) Visiting personnel in housing.

(5) Special events.

f. Identity Proofing. The process of providing sufficient information (e.g. identity history, credentials, documents) when attempting to establish/confirm an identity for purposes of unit access. Identity proofing includes validating that credentials have not expired, have not been altered, and match the person presenting documentation.

Identity proofing is further outlined in Chapter 4 of this Instruction and credentials are further outlined in Chapter 5 of this Instruction.

g. Vetting and Fitness. Once a visitor has undergone successful identity proofing, Commanders must determine the individual’s fitness for physical access, whether the visitor would pose a threat to CG resources or personnel if granted unit access. The requirements for determining a favorable fitness through the vetting of proofed identities are outlined in Chapter 6 of this Instruction.

NOTE: Only Commander-designated personnel shall perform vetting based on the criteria outlined in Chapter 6 of this Instruction. Designation will be in writing, either by position and office or name, and memorialized in the Unit Security Plan, Unit Collateral Duty List, and other appropriate SOPs.

NOTE: All persons, whether granted escorted or unescorted access, are still subject to restricted area limitations and access requirements, as appropriate.

Staffing Standards.

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a. Staffing ofACPs. Except where access is controlled through the provisions of Chapter 10.B.4 of this publication (automated access control), units will have armed and trained personnel at the outermost ACP to screen and control entry to CG installations or facilities. When in operation, each ACP will be staffed with one armed and trained watchstander. Staffing may be augmented, at the Commander’s discretion, based upon mission needs, such as commercial vehicle examination requirements or emergency circumstances. Arming at other ACPs, other than the outermost ACPs of FSL Level III or higher facilities, is at the discretion of unit commanders following a risk analysis.

NOTE: This position can be performed by CG Security Forces, contract security guards, or “ACP watchstanders.” ACP watchstanders are an internal collateral duty team utilizing existing unit personnel as needed to conduct ACP functions.

b. Visitor Control Center (VCC). When in operation, a VCC will have a minimum of one armed watchstander, trained on local VCC procedures, standing watch at all times.

Commanders may adjust arming requirements after conducting a thorough risk analysis using the ISC RMP process, implementing mitigating measures, and documenting the risk acceptance. If personnel are not armed, a covert duress alarm is required and immediate response procedures must be developed.

c. Staffing standards are based on the principle in Appendix B of Reference (a) that one ACP or VCC watchstander can only perform one screening task at a time. Reference

(q) includes findings that provide basic guidance on staffing standards and for a reduced number of ACP and/or VCC personnel based on the volume of visitor, employee and vehicle traffic.

Training Standards. The PQS for ACP/VCC Watchstanders shall contain:

a. Weapons qualifications.

b. Shoot - Don’t Shoot Judgmental.

c. CG Use of Force Policy.

d. This Instruction, local Unit Security Plans, and SOPs.

Construction Standards. Effective unit security construction design requires the integration of the civil engineering, communications, and physical security disciplines.

Engineering design criteria must meet the security and functional requirements of the Unified Facilities Criteria (UFC) publications. See References (r) through (v) for pertinent considerations.

a. Physical Security Standards. Except as otherwise allowed by a properly approved waiver, exemption, or documented risk acceptance, units will meet physical security standards for unit perimeters in accordance with:

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(1) Reference (a).

(2) Chapter 2 of Reference (b).

(3) Reference (w).

(4) Perimeter Access Control. Facility or installation perimeter access control includes elements of engineering (e.g. gate construction and design), physical security equipment (e.g lighting, cameras, sensors, barriers/bollards/speed mitigation devices, channeling tools, signs, ballistic protection, network access, credential/biometric readers), and communications (e.g. computers, networks, databases, radios). Therefore, any successful effort to design or improve ACPs must include the expertise of, and coordination among, many CG technical disciplines which must consider the following factors:

(5) Facility Security Level (FSL) determination.

(6) Criticality of assets located within installation perimeter.

(7) Physical constraints of surrounding area.

(8) Facility population size and ACP throughput requirements.

(9) Acceptance of processing delays and queuing backups.

(10) Local threats to unit facilities, population, and assets.

(11) Current facility or installation access vulnerabilities and capability gaps to include:

(a) Perimeter barriers, lighting, and signage.

(b) Networks, wireless network/connections and communications.

(c) The ability of individuals to enter undetected.

(d) The ability of individuals to enter via a forged, counterfeit, or fraudulent credential or identity source document.

(12) The cost or technological feasibility/availability of eliminating or mitigating vulnerabilities when analyzed against the threat (risk assessment).

(13) Physical access population groups (active duty military, retirees, dependents, contractors, vendors, foreign official visitors, tenant organizations, etc.).

(14) Integration with other defense in depth measures and forces.

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(15) Communication and teaming with local authorities and first responders.

(16) Commander’s tolerance level for risk to the FP posture.

b. Visitor Control Center. Facilities that do not have an existing VCC shall consider the development of a VCC when ACP screening tasks (as outlined in Chapter 9 of this Instruction) exceed capacity, resulting in excessive queuing. A VCC should be constructed adjacent and external to the primary ACP. Processing visitors outside the facility or at the perimeter prevents unnecessary access for potential threats to CG personnel or resources.

Entry Control using Electronic Physical Access Control System (PACS). To ensure effective use of resources, long-term sustainability, and joint interoperability, Coast Guard units shall coordinate all purchases of PACS and components with cognizant Security Manager and Commandant (DCMS-34) prior to funding obligation and execution. See Chapter 10 of this Instruction for details on process for approval and funding of PACS.

NOTE: All units will submit a request for Certification and Accreditation for all systems which connect to the CGOne thru Commandant (CG-68) Special Use Information Technology (SUIT) Tracker at:

https://cg.portal.uscg.mil/units/cg6/cg68/SUIT/SitePages/Home.aspx, and a Privacy Impact Assessment (PIA) accomplished IAW DHS Privacy Policy.

Entry Control Standards without PACS. Where PACS is not installed, the minimum CG standard for controlling physical access to a unit via a manned ACP shall be a physical and visual hands-on examination of credentials by ACP personnel at the perimeter. The visual/physical examination of the credential will be conducted as per Chapter 9 of this Instruction.

Additional Requirements: Commanders may authorize additional security requirements above those that are outlined in this Instruction based upon the assessed risk(s), available resources, Force Protection Conditions (FPCONs), and other local stipulations and emerging contingencies, as necessary.

https://cg.portal.uscg.mil/units/cg6/cg68/SUIT/SitePages/Home.aspx

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CHAPTER 2. ROLES AND RESPONSIBILITES

A. Headquarters.

Office of Deputy Commandant for Operations (CG-DCO).

a. The Office of International Affairs and Foreign Policy (DCO-I):

(1) CG focal point for the Foreign Visit System (FVS) and FVS-Confirmation Module (FVS-CM).

(2) Responsible for foreign visit policy and procedures.

b. Assistant Commandant for Intelligence (CG-2).

(1) Provides tailored CI awareness and briefs in support of foreign visits for CGHQ, Areas, Districts and Sectors.

(2) Provides CI support to FP.

Office of Deputy Commandant for Mission Support (CG-DCMS).

a. Chief Security Officer, Office of Security Policy and Management (DCMS-34):

(1) Serves as the Commandant’s senior security advisor for FP and physical access control.

(2) Collaborates with DHS on the development of physical access control policy and minimum security standards for controlling physical access.

(3) Develops physical access control standards and procedures. Incorporating and adapting these standards into other CG policies where applicable.

(4) Promulgates policies concerning CG physical access control including SOPs, job aids, and tactics, techniques, and procedures (TTPs).

(5) Coordinates physical access control guidance with other programs and functional specialties.

(6) Evaluates the effectiveness of physical access control policy, procedures, and operations.

(7) Sets standards for physical access control systems across the CG enterprise.

(8) Provides oversight to the implementation of biometrics within physical access control systems IAW DHS and CG policy and directives.

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(9) Provides recommendations to units regarding security construction standards IAW Reference (a).

(10) Incorporates physical access control into Command Security Officer training program.

(11) Reviews plans and documents for acquisition of necessary unit perimeter access control systems.

(12) Validates manpower requirements related to physical access control.

b. Office of Assistant Commandant for Engineering and Logistics (CG-4):

(1) Approves design, construction and maintenance of access control points and visitor access centers.

(2) Considers the development of VCCs when the ACP task capacity exceeds throughput demands, such as excessive queuing.

(3) Incorporates access control features into new construction and major renovation planning and design efforts.

c. Office of Assistant Commandant for C5IT (CG-6):

(1) Certifies and accredits PACS.

(2) Conducts Privacy Impact Assessments (PIA) for physical access control systems that collect and store Personally Identifiable Information (PII).

(3) Maintains the System of Records Notices (SORN) for physical access control systems of records.

Servicing Legal Office (SLO).

a. Consults with Commanders on debarment policies, procedures, and decisions.

b. Drafts or reviews Debarment Orders for Commanders.

c. Consults with Commanders to approve methods used to randomly select entry/exit point checks.

d. Coordinates with Commanders for all requests for information gathered, collected, or maintained in a log or database held for issuance of locally produced visitor passes.

e. Advises on the use of any additional data sources queried for vetting and eligibility determinations not listed in this Instruction.

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B. Area/District.

Area/District Commanders.

a. Responsible for the protection of Area/District assets, resources, and personnel.

b. Develop Area/District specific physical access control policies that span multi-unit boundaries including response actions where needed.

c. Utilize Reference (a) to direct Security Managers to conduct Facility Security Level designations, Facility Security Assessments (FSA), assist in creating baseline and customized LOPs to address unit-specific physical access control conditions that are commensurate with the level of risk IAW Reference (a).

Security Managers.

a. Advise Commanders on development of the Unit Security Plan.

b. Advise Commanders on unit physical access policies and procedures.

c. Work with Command Security Officer to produce random entry/exit vehicle screenings.

d. Inspect ACPs for units within area of responsibilities (AOR).

e. Review the Unit Security Plan and locally-produced SOPs.

f. Receive and maintain records of Debarment orders.

g. Consult with Commanders and DCMS-34 on physical access control system purchasing.

C. Field Level.

Commanders.

a. Responsible for the protection of unit assets, resources, and personnel.

b. Develop unit specific physical access control policies that include response actions for persons attempting to provide fraudulent documents and incorporate them into the Unit Security Plan, and other appropriate SOPs. When a CG unit is a tenant on a DHS, DoD, or other Federal agency facility, installation, or property, the Commander will additionally follow the procedures of the host unit.

c. Direct validation of personnel and resource allocation in support of physical access control where necessary.

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d. Appoint the Command Security Officer as the installation or facility representative to coordinate physical access control policy, procedures, and operations.

e. Approve a baseline and customized LOP to address unit-specific physical access control countermeasures and conditions based on the Facility Security Level (FSL) designation and the Facility Security Assessment (FSA) that are commensurate with the level of risk IAW Reference (a).

f. Establish a Facility Security Committee (FSC) when required by Reference (a), or an alternate forum for security-based decisions.

g. Maintain liaison with local civil authorities and develops a Memorandum of Understanding (MOU) outlining interactions related to physical access control to include procedures for first responders’ physical access requirements during emergencies.

h. Establish ACP operating procedures, IAW Chapter 9 of this Instruction.

i. Establish a locally produced visitor pass, visual authenticator(s) to be used, and physical access control operations/screening requirements.

j. Establish procedures for debarment actions and appeal processes.

k. Determine when, where, and how to implement vehicle and pedestrian screenings.

l. Determine escort authority to meet the requirements of Chapter 9 in this Instruction.

m. Consider the development of a VCC based on volume of visitors and when ACP task capacity exceeds throughput demands, such as excessive queuing.

n. Determine the hours of operation for manned ACPs and the VCC, where implemented.

o. Designate personnel in writing as ACP Watchstanders if implemented and, where employed, VCC Watchstanders and VOs to perform duties described in this Instruction.

p. Ensure the collection, use, and release of PII will be protected pursuant to the Privacy Act of 1974, as well as References (e) and (f).

q. Determine the identity proofing and vetting requirements for minors.

r. If applicable, establish procedures for ensuring retrieval of locally produced visitor passes from individuals who no longer require physical access.

s. Ensure a visitors log or database is maintained to ensure visitor accountability during emergencies or exigent circumstances.

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t. Ensure unit personnel understand and follow physical access control guidance IAW this Instruction and any locally developed physical access procedures.

Sponsoring Organization.

a. Ensures all prospective employees (Non-Appropriated Funds, Civilian Services, Appropriated Funds, etc.), including personnel already in possession of a proper access credential, are identity proofed and vetted during in-processing to ensure proper fitness determination prior to allowing physical access and issuance of employment credentials.

b. Escorts prospective employees from the unit ACP to the office/location for the issuance of appropriate credentials.

c. Ensures all contractors, including personnel already in possession of a proper access credential, are identity proofed and vetted to ensure proper fitness determination prior to allowing physical access and issuance of credentials.

d. Includes a provision in contracts and purchase requests to ensure that contractors return all locally produced visitor passes to the issuing office when the contract is completed or when a contractor employee no longer requires physical access to the unit (e.g., quits or the contract is terminated).

e. Retrieves locally produced visitor passes and returns them to the issuing office when the valid purpose for physical access no longer exists.

Command Security Officer.

a. Serves as the Commander’s primary advisor for security programs and unit physical access control compliance.

b. Conducts physical access control assessments and planning.

c. Develops and codifies unit physical access control policies in the Unit Security Plan and SOPs.

d. Oversees personnel and vehicle screening as per the Commander’s direction.

e. Develops schedules for conducting random and 100% pedestrian and vehicle screening, in conjunction with the Commander and the FSC.

NOTE: The conducting of a 100% ID check means that all individuals entering a unit must have their ID credential verified prior to entry.

f. Advises the Commander on recommended gate closure procedures and gate closure devices in conjunction with the FSC.

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g. Proposes debarment recommendations to the Commander.

h. Establishes provisions to ensure only users who have been trained and authorized to operate the PACS have access to the system.

i. Establishes procedures to protect PACS equipment against theft or damage at operating locations and ACPs.

j. Identifies personnel responsible for the issuance of locally produced visitors passes listed below and ensure personnel are trained, proficient, in their assigned responsibilities relating to:

(1) Locally produced Visitor Pass issuance.

(2) Maintaining Visitor Access List or other measures associated with accounting for physical access control.

k. Establishes procedures in the Unit Security Plan for lost or stolen identification cards or locally produced visitor pass and to ensure reported lost or stolen credentials are immediately flagged in PACS, if employed.

Vetting Official. Evaluates and determines the fitness of individuals for physical access to the unit IAW criteria in Chapter 6 of this Instruction and as directed by the Commander.

TECS Terminal Operator.

a. Utilizes the National Crime Investigative Center and Interstate Identification Index (NCIC III) to review an individual’s prior criminal history.

b. Provides documentation results to Vetting Official.

NOTE: The Vetting Official and Terminal Operator roles could be performed by the same person.

NOTE: See Appendix C of this Instruction for training requirements set forth for these roles.

Coast Guard ACP and VCC Watchstander.

a. Enforces physical access control procedures at unit ACPs and VCCs outlined in this Instruction, Unit Security Plans and SOPs.

b. Conducts pedestrian and vehicle screenings in conjunction with access control operations.

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COMDTINST 5532.1

NOTE: ACP watchstanders are an internal collateral duty team utilizing existing unit personnel as needed to conduct ACP functions and can also be performed by CG Security Forces or contract security guards.

All Coast Guard Personnel.

a. Comply with the physical access control policy outlined in this Instruction and any locally developed unit physical access procedures.

b. Immediately report any lost or stolen locally produced visitor passes to their supervisor and the Command Security Officer.

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CHAPTER 3. VALID PURPOSE AND SPONSORSHIP

A. Valid Purpose for Physical Access. A valid purpose for physical access must be established any time a person attempts to access a unit. Valid purposes may include, but are not limited to: employment, previously existing entitlement, legitimate business dealings, participation in CG-sanctioned events, or visitation with an individual who works or resides aboard the unit.

The method of access may vary based on the time of day, day of week, current FPCON, and mission essential personnel designations. Establishing purpose can be established by any of the following:

Credential. The credential presented, examples are provided in Chapter 5, paragraph B of this Instruction;

Documentation. Documentation including, but not limited to, bills of lading, shipping papers, or event tickets. Documentation may be hardcopy or electronic;

List. List including, but not limited to, visitor list, guest lists, transportation officer delivery/pickup lists, or appointment lists;

Verbal Discussion. Verbal discussion with the individual seeking physical access; or

Command Policy. Command defined policy based on mission factors determined by the Commanding Officers. Or other purposes defined in the Unit Security Plan.

NOTE: Certain purposes may only be valid for specific identities (e.g., a name on appointment list is only a valid purpose if the individual has established their identity, as described in Chapter 4, and that identity matches the entry on the list).

B. Sponsorship. In combination with the valid purpose for entry, a person attempting to access a unit must have a sponsor who can verify their valid need for physical access. The establishment of a valid purpose for physical access does not necessarily mean a person is authorized unescorted access. Sponsorship allows approved individuals affiliated with the CG to take responsibility for verifying and authorizing a visitor’s purpose for a locally produced visitor pass to facilitate unescorted access to a unit. Visitors must still be identity-proofed and vetted in order to receive a pass.

Authorized Sponsors. The following populations are authorized to sponsor individuals onto a unit:

a. Federal civil service employees and CG Active Duty and Reserve members

b. Military retirees

c. Military Dependents, 18 years of age or older

d. Contractor Common Access Card (CAC) holders, only for the unit they are affiliated with or assigned to.

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e. Bank and credit union employees with a locally produced visitor pass, only for the unit they are affiliated with or assigned to.

NOTE: Visiting foreign nationals with a U.S. CAC are not authorized to sponsor individuals.

Pre-established Sponsorship. The following are examples of acceptable measures for validating sponsorship privileges without in-person interaction:

a. Digitally signed and encrypted email from a uscg.mil address with all required information (e.g., name, organization, phone number, date(s) of visit, name of visitors), or other information deemed appropriate by local Commanding Officer.

b. CGCYBER approved computer program that allows requests from a CGOne computer or account.

c. Visitor access lists or physical access memoranda for specific special events or unique circumstances.

NOTE: Telephone sponsorship (with or without caller ID) is not authorized as it is impossible to validate the caller’s identity and sponsorship privileges.

Special Circumstances for Sponsorship. Commanders have the authority to include sponsorship privileges for unique categories not addressed in this Instruction. Where operational needs dictate, Commanders must take into consideration special circumstances for sponsorship as appropriate and codify them into their Unit Security Plan and other appropriate SOPs. These may include, but are not limited to:

a. Assuming sponsorship responsibilities in situations where a CG unit is open to the general public (i.e. Coast Guard Day, graduations, ceremonies, etc.).

b. Establishing standing sponsorship for law enforcement personnel and first responders during emergencies and other authorized purposes.

c. Personal Designated Agents Letters for exchange and commissary usage issued through the local CG Exchange manager. These letters allow authorized commissary and exchange patrons to have a personal Designated Agent to shop on their behalf.

d. Giving the CG Exchange standing sponsorship responsibilities for CG Exchange patrons.

Sponsorship Limitations. Commanders shall establish further guidelines and restrictions concerning the number of visitors that may be sponsored by an authorized member, times of day and length of time the locally produced visitor pass can be issued for, and other restrictions as appropriate. Commanders shall codify these guidelines and restrictions into their Unit Security Plan and other appropriate SOPs.

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CHAPTER 4. IDENTITY PROOFING

A. Identity Proofing. Once a valid purpose with sponsorship has been confirmed, an individual needs to undergo successful identity proofing. Identity proofing is the process of providing sufficient information (e.g. identity history, credentials, documents) when attempting to establish an identity for purposes of unit access. Persons requesting physical access shall provide one form of approved federal credential that conveys unescorted access listed in Enclosure (1). Persons that are not in possession of an unescorted federal credential shall provide one form of ID listed in Enclosure (2). All credentials and documents presented shall be reviewed by an authorized government representative for the purposes of identity proofing. Any fraudulent information passed during the process may lead to prosecution under federal law.

Authorized government representatives shall:

a. Ensure documentation is unexpired and valid;

b. Ensure documentation matches the person requesting physical access;

c. Physically and visually examine documents for evidence of tampering, alteration, or other indications of falsified or fraudulent documents;

d. Physically assess whether a photo has been glued over the original photo;

e. Identify strange text, fonts, slightly altered text, incomplete letters, misaligned words, strange spacing, and errors in punctuation and spelling; and

f. Reject documents that appear to be fraudulent, forged, or counterfeit.

NOTE: Specific guidance for rejection of documents and denial of installation access must be included in local Unit Security Plans and other appropriate SOPs.

NOTE: In accordance with Reference (g), whoever falsely makes, forges, counterfeits, alters, or tampers with any naval, military, or official pass or permit, issued by or under the authority of the U.S., or with intent to defraud uses or possesses any such…