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5 th Special Meeting of the CTC with International, Regional and Sub-regional Organizations Prevention of terrorist Movement and Effective Border Security. Captain Hartmut G. Hesse Senior Deputy Director Maritime Safety Division International Maritime Organization [email protected]

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5th Special Meeting of the CTC with International, Regional and Sub-regional Organizations Prevention of terrorist Movement and Effective Border Security

Captain Hartmut G. Hesse

Senior Deputy Director

Maritime Safety Division

International Maritime Organization

[email protected]

enhancing maritime security
Enhancing Maritime Security
  • SOLAS and ISPS Code
  • Guidance
  • Status of implementation
  • SUA – boarding provisions
  • Implementation assessment
  • Regional approach
  • Protection of vital shipping lanes
  • Somalia - Resolution A.979(24)
  • MOWCA - Integrated Coast Guard Network
  • Co-operation within the UN system
  • Future

Achille Lauro – October 1985

USS Cole – October 2000

Limburg – October 2002

special measures to enhance maritime security
Special Measures to Enhance Maritime Security

SOLAS Chapter XI-2 & ISPS Code

Entered into force on 1 July 2004

On 1 July 2004 applied to 147 States

Since 3 February 2007 applies to

158 States

chapter xi 2
Chapter XI-2

Applies to:-

>Passenger Ships

chapter xi 21
Chapter XI-2

Applies to:-

>Passenger Ships

>Cargo Ships => 500GT

chapter xi 22
Chapter XI-2

Applies to:-

>Passenger Ships

>Cargo Ships => 500GT

>Mobile offshore Drilling Units

chapter xi 23
Chapter XI-2

Applies to:-

>Passenger Ships

>Cargo Ships => 500GT

>Mobile offshore Drilling Units

>Port facilities serving ships engaged in international voyages


Ship and

Port Facility



An international framework through which ships and port facilities can co-operate to detect and deter acts which threaten security in themaritime transport sector.
What is addressed?
  • The use of a ship as a weapon
  • The use of a ship for transporting either persons or their means for intending to cause a security incident
  • The use of a ship in lawful trade for financing terrorist activities

-- Risk management activity

- Appropriate security measures

- Risk assessment

- ISPS Code standard framework

evaluating risk

change threat level

change vulnerability of ships/port facility

  • Functional security requirements for ships and port facilities
isps code
  • Company, Ship and Port Facility

Security Officer

  • Ship & Port Facility Security


  • Ship & Port Facility Security Plan
  • Training, Drills & Exercises
  • Verification & Certification

Ship & Port Security

  • Threat Assessment and Threat Level
  • Access Control and Restricted Areas
  • Security Duties and Roving Patrols
  • Security Awareness and Vigilance
  • Security Equipment & Systems
chapter v
Chapter V

Vessels Require to have:-

  • Automated Identification Systems (AIS)
chapter v1
Chapter V

Vessels Require to have:-

  • Automated Identification Systems (AIS)
  • Long-Range Identification and Tracking (LRIT)Systems
long range identification and tracking of ships lrit
Long-Range Identification and Tracking of ships (LRIT)
  • New SOLAS regulation V/19-1 on LRIT - 01/01/08
  • Performance standards and functional requirements
  • Inter-governmental oversight - IMSO
  • Data access by flag-, port- and coastal States and SAR services

LRIT information may be provided when a ship navigates within a distance not exceeding 1,000 nautical miles off the coast

Contracting Government requesting LRIT information

a distance set by the coastal State

Port A

limit of territorial sea

Examples of access to LRIT information


LRIT system architecture (1)

Ships transmit LRIT information to, and receive commands for transmissions of LRIT information on demand from, a designated LRIT Data Centre

LRIT Data Centre

(Option for National, Regional, Co-operative and an International LRIT Data Centres)

Each Administration shall decide to which LRIT Data Centre ships entitled to fly its flag shall transmit LRIT information


LRIT system architecture (2)


LRIT Data Centre


LRIT Data Exchange

Contracting Governments


LRIT Data Centre

LRIT Data Distribution Plan

Others ?


LRIT Data Centre

LRIT Co-ordinator

LRIT Data Centres share and exchange LRIT information through the International LRIT Data Exchange


LRIT Data Centre

chapter xi 1
Chapter XI-1

Vessels Require to have:-

  • Ship Identification Number


chapter xi 11
Chapter XI-1

Vessels Require to have:-

  • Ship Identification Number
  • Continuous Synopsis Record
chapter xi 24
Chapter XI-2

Vessels Require to have:-

  • Ship Security Alert System (SSAS)
threats to ships regulation xi 2 7
Threats to ships(Regulation XI-2/7)

Contracting Governments:

- Set security levels

- Provide security level information:

- to ships in their territorial sea

- or intending to enter their territorial sea

- Provide contact point for ships

- requesting advice or assistance

- report security concerns

(ships, movements or communications)

threats to ships regulation xi 2 71
Threats to ships(Regulation XI-2/7)

When identifying risk of attack - Contracting Governments:

- advise ships and their Administrations of:

  • current security level
  • security measures to be implemented by ships for self protection
  • security measures implemented by coastal State
control and compliance measures regulation xi 2 9
Control and Compliance Measures Regulation XI-2/9


- ships in port

- ships intending to enter a port

Goal: recognition and rectification of perceived deficiencies of the ship’s security measures/plan

Non-compliance (clear grounds):

may result in additional inspections, denial of port entry or expulsion from port

communication of information regulation xi 2 13
Communication of InformationRegulation XI-2/13

ISPS Code Database Code

  • Guidance on the submission of security-related information prior to the entry of a ship into port
  • Guidance on voluntary self-assessment by SOLAS contracting Governments, ships, port facilities and companies (interim)
  • Guidance on control and compliance measures to enhance maritime security
  • Guidance on the implementation of SOLAS chapter XI-2 and the ISPS Code
status of implementation for port facilities
Status of implementation for port facilities

Contracting Governments 158 States

Landlocked States 13 (2)

States submitting Information 139 (88.39 %)

States reporting port facilities 138 (94.44 %*)

States reporting approved PFSPs 137 (93.75 %*)

Declared port facilities 9,953

Port facilities with approved PFSPs 9,885 (99.37 %)

* adjusted to take account of landlocked States


Current agendas and emerging initiatives on maritime security

Revision of SUA Convention:Article 8 bis Boarding provisions

Frank Wall and Associates

essential elements of article 8 bis
Essential Elements of Article 8bis
  • Requirement to cooperate to the fullest extent possible (¶ 1)
  • Process & options for making, receiving, and responding to boarding requests (¶¶ 2-7, 15)
  • Allocation & preservation of enforcement jurisdiction (¶¶ 8, 11 & Article 9)
  • Conduct of boarding & disposition operations (¶¶ 6, 9, 10, 14 and Article 8)
  • Recourse for damage, harm, or loss (¶10(b))
  • Further implementation (¶¶12-13)
guidance for boarding
Guidance for Boarding
  • Competent Authority
  • Conditions of boarding
  • Practical measures
  • Deterring Fraudulent Boardings
convention on facilitation of international maritime traffic 1965
Convention on Facilitation of International Maritime Traffic, 1965
  • Standards and Recommended Practices on the clearance of ships, cargoes and passengers in ports
  • FAL Forms: 1-General; 2 Cargo; 3 Ship’s stores; 4 Crew’s effects declaration; 5 Crew; 6 Passenger; and 7 Dangerous Goods lists
  • 2002 AMDTs – new section 4 on Stowaways – access control
  • 2005 AMDTs – new provisions on port security – risk management
  • Balance between facilitation and maritime security measures
2005 amdts new provisions on port security
2005 AMDTs – New provisions on port security
  • Definition of security measures
  • General AMDTs of S & RPs to reflect security needs
  • RP 1.3 Acknowledgement of security measures in an efficient manner – risk management
  • S 1.11 risk management to enhance border control
  • RP 2.12 pre-arrival & pre-departure information
  • RP 2.13 lodging pre-arrival & pre-departure information
  • AMDTs to FAL Forms to reflect security needs
implementation assessment
Implementation assessment

Considerable variance in:

- legislative transposition of SOLAS XI-2 & ISPS Code

- approach in setting security levels

- defining port facilities

- providing security-related training

- security-related aspects of non-SOLAS ships operations

- basic arrangements for receipt of SSA

- training of duly authorized officers for C & C measures

- information requirements prior to port entry of ships

implementation assessment1
Implementation assessment

- Delineation of duties of various government bodies

not completed

- No arrangements to review continued effectiveness of

measures implemented

- Limited implementation & compliance with obligations from

SOLAS regulations XI-2/5, 6 & 7

- Limited conduct of control and compliance measures and

reporting to flag States & IMO

- Incomplete or inaccurate data provided to IMO (XI-2/13)

implementation assessment2
Implementation assessment

- Limited meaningful port facility drills & exercises

- Limited monitoring of authorized RSOs’ work

- Limited use of guidance material provided by IMO

- Limited pragmatic approach to shore leave

- Limited collation, assessment & exchange of

security threat data

- Limited regional or sub-regional co-ordination/co-operation

- Limited establishment of national programmes

recommendations to imo
Recommendations to IMO

- Development of model national legislation

- Guidance on security- related operation of non-SOLAS

- Guidance on basic & specific security-related training for

all & specific duty Port Facility personnel respectively

- Guidance on conduct of security-related drills &


- Periodical conduct of regional seminars & workshops

- Co-ordination of various regional & bilateral TC activities

developing sub regional coastal security co operation frameworks
Developing sub-regional coastal security co-operation frameworks
  • Regional MARSEC Strategy - Caribbean, 2004
  • ReCAAP – Piracy reporting - East Asia, 2004
  • Protection of vital shipping lanes - Jakarta 2005, Kuala Lumpur 2006, Singapore 2007
  • Coastal Security - Gulf of Aden and Persian Gulf (Yemen (2005), Oman (2006), Bahrain (2007))
  • Integrated Coast Guard Network W&C Africa, 2006
  • Coastal Security (Res A.949(24)) - Kenya, 2007
protection of vital shipping lanes
Protection of Vital Shipping Lanes
  • IMO to play a role in the protection of shipping lanes of strategic importance and significance
  • focus on the Straits of Malacca and Singapore
  • in co-operation with littoral States
  • seek enhancement of safety, security and environmental protection of the Straits
  • Meetings in Indonesia, Malaysia and Singapore (2005, 2006 and 2007 respectively)

- implementation of 6 projects

- establishment of funding mechanism

resolution a 979 24 3 piracy and armed robbery against ships in waters off the coast of somalia
Resolution A.979(24) (3)(Piracy and armed robbery against shipsin waters off the coast of Somalia)
  • Security Council, 5387th Meeting - 15/03/2006

- Presidential Statement

  • Security Council, 5732nd Meeting – 20/08/2007

- Resolution 1772 (2007) inter alia :

18. Encourages Member States whosenaval vessels and military aircraft operate in international waters and airspace adjacentto the coast of Somalia to be vigilant to any incident of piracy therein and to take appropriate action to protect merchant shipping, in particular the transportation of humanitarian aid, against any such act, in line with relevant international law;“

integrated coastguard network
Integrated Coastguard Network
  • Feasibility study for the establishment of an Integrated coastguard network for the West and Central African Region
  • Mission conducted to Senegal, Cote d’Ivoire, Ghana, Nigeria and Angola in January 2006
22 mowca states agreed
22 MOWCA States agreed:
  • A far-reaching resolution with 22 operative paragraphs addressing aspects of establishing an integrated coastguard function network for MOWCA States and forming the basis for action plans
  • Resolution forwarded to MOWCA General assembly of Ministers and adopted
co operation imo wco wco safe framework of standards
Co-operation IMO / WCO WCO ‘SAFE’ Framework of Standards
  • Customs to Customs Pillar

(11 Standards)

  • Customs to Business Pillar

(6 Standards)


Co-operation IMO/ILO

ILO/IMO Code of practice on security in ports

Seafarers Identity Documents (Revised) Convention (No. 185)


Participation in CTITF

  • On-site visits under CTC
  • Reporting to UN CTED matrix on TC
  • CTC meetings for regional and international organizations
  • Development of UN Global CT Strategy (GCTS)
  • CTITF working groups on implementation of UN GCTS
  • Application to non - SOLAS ships
  • Supply chain security
  • AMDTS to STCW & safe manning principles
  • AMDTS to ISPS resulting from SUA protocols
  • Implementation assessments
  • Sub-regional/regional coastal security agreements

- Follow-up Yemen / Oman

- Integrated CG network W&C Africa

- East Africa seminar / workshops

- Implementation Resolution A.979(24)

  • Co-operation & co-ordination within CTITF
conclusio n
  • Implementing IMO regulations & guidelines enhances national / international security & border control, restricting terrorist mobility
  • Transnational problem requires regional, sub-regional and international effort
  • Multi-agency approach: Co-ordination, Co-operation, Information sharing
  • Integrated implementation
  • More needs to be done on implementation by Contracting Governments and particularly port industry

Basic principles of cargo security

  • Containers and bulk cargo cannot be screened on board!!
  • Prevention of interference at source i.e. secure when packed