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MARITIME SECURITY REGULATIONS SOLAS AND ISPS CODE BACKGROUND BACKGROUND 11 September 2001 AMENDMENTS TO SOLAS ACCELERATED AIS IMPLEMENTATION The existing SOLAS Reg. V/19.2.4 (effective 1 st July 2002) requires AIS installation on new and existing ships.

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maritime security regulations

MARITIME SECURITYREGULATIONS

SOLAS AND ISPS CODE

background3
BACKGROUND
  • 11 September 2001
accelerated ais implementation
ACCELERATED AIS IMPLEMENTATION
  • The existing SOLAS Reg. V/19.2.4 (effective 1st July 2002) requires AIS installation on new and existing ships.
  • The applicability date for existing ships on international voyages, is spread over a period from 1 July 2003 to 1 July 2007 depending on ship type and size.
enhanced security regulations in solas
ENHANCED SECURITY REGULATIONS IN SOLAS
  • Existing SOLAS Chapter XI “Special Measures to Enhance Maritime Safety” renumbered as XI-1; with amendments to Reg. 3 “Ship identification number” and addition of a new Reg. 5 “Continuous synopsis record”.
chapter xi re numbered xi 1
Chapter (XI re-numbered) XI/1
  • Reg. 3 amendment – Ship identification number to be marked permanently (on existing ships at 1st scheduled dry-dock after 1 July 2004) in a visible and in an easily accessible place.
  • New Reg. 5 – All ships to be issued with a continuous synopsis record intended to provide an on-board record of the history of the ship. On existing ships the record shall provide history, at least, as from 1 July 2004.
chapter xi re numbered xi 18
Chapter (XI re-numbered) XI/1
  • Continuous Synopsis Record :
      • To be issued by the Administration to each ship under its flag
      • In case of changes, Administration to issue amended record
      • To be kept on board and available for inspection at all times
new chapter xi 2
NEW CHAPTER XI/2
  • The new Chapter XI-2 titled “ Special Measures to Enhance Maritime Security”
  • Has 13 regulations on security related requirements for ships and ports. Refers to the ISPS Code Parts A and B
3 obligations of contracting governments with respect to security
3. OBLIGATIONS OF CONTRACTING GOVERNMENTS WITH RESPECT TO SECURITY
  • ADMs shall set security levels and ensure that information on security levels is provided to ships under their flag.
  • CGs shall set security levels and ensure that information on security levels is provided to port facilities within their territory, and to ships prior to entering a port or whilst in a port within their territory.
4 requirements for companies and ships
4. REQUIREMENTS FOR COMPANIES AND SHIPS
  • Companies and ships :
    • Compliance with relevant parts of this chapter and ISPS Code Part A
    • Guidance in ISPS Code Part B to be taken into account
  • Ships :
    • Compliance to be verified and certified as provided for in ISPS Code Part A.
6 ship security alert system
6. SHIP SECURITY ALERT SYSTEM
  • Required to be provided on
    • All ships constructed on or after 1 July 2004
    • Ships constructed before 1 July 2004 :
      • Oil & chemical tankers, gas & bulk carriers, and cargo HS craft, of  500 GT; Passenger ships including HS passenger craft; not later than the 1st survey of radio installation after 1 July 2004
      • other cargo ships of  500 GT and mobile offshore drilling units; not later than the 1st survey of radio installation after 1 July 2006
6 ship security alert system13
6. SHIP SECURITY ALERT SYSTEM
  • Shall initiate & transmit alert to a competent authority designated by ADM
  • Shall identify ship, its location and indicate that ship’s security is under threat
  • Shall not send the alert to any other ship nor raise alarm on board
  • Shall continue the alert until deactivated or reset
  • Have activation possible from bridge & at least one other location
7 threats to ships
7. THREATS TO SHIPS
  • CGs shall, for ships operating in or having communicated an intention to enter their territorial sea :
    • Ensure provision of security level information
    • Provide a point of contact for ships to
      • request advice or assistance
      • report any security concerns about other ships, movements or communications
7 threats to ships15
7. THREATS TO SHIPS
  • Where a risk of attack has been identified, the CGs shall advise the ships concerned and their administrations of
    • Current security level
    • Security measures that the coastal state has decided to put in place and those that the ships concerned should put in place.
8 master s discretion for ship security
8. MASTER’S DISCRETION FOR SHIP SECURITY
  • Master shall not be constrained, by the Company or others, from taking or executing any decision which, in his professional judgement, is necessary to maintain the ship’s safety and security.
  • This includes denial of access to persons (except those identified as duly authorized by a CG) or their effects, refusal to load cargo including containers or other closed cargo transport units.
9 control and compliance measures
9. CONTROL AND COMPLIANCE MEASURES
  • Controls for ships in a port of another CG :
    • Such ships are subject to control by officers duly authorized by that CG, who may be same as those carrying out functions of Reg. I/19.
    • Such controls shall be limited to verifying availability on board, of a valid ISSC or Interim ISSC issued under provisions of Part A of ISPS Code.
9 control and compliance measures18
9. CONTROL AND COMPLIANCE MEASURES
  • A valid certificate shall be accepted unless there are clear grounds for believing that theship is not in compliance with requirements of this chapter or Part A of ISPS Code.
  • Where no valid cert is produced or when there are suchclear grounds, the officersduly authorized may impose control measures. Such measures must be proportionate, taking into account guidance in Part B of ISPS Code.
9 control and compliance measures19
9. CONTROL AND COMPLIANCE MEASURES
  • Possible control measures :
    • Inspection of the ship
    • Delaying or detention of the ship
    • Restrictions of operations including movement within port
    • Expulsion from port
    • Additionally or alternatively, other lesser administrative or corrective measures.
9 control and compliance measures20
9. CONTROL AND COMPLIANCE MEASURES
  • 9.2 Ships intending to enter a port of another
  • CG :
    • May be required to provide relevant information to officers duly authorized, before entering the port.
    • Such information includes the following :
      • Confirmation of possession of valid certificate
      • Current security level on board
      • Security level operated in and any special or additional security measures taken in any previous port
      • Other practical security related information
9 control and compliance measures21
9 CONTROL AND COMPLIANCE MEASURES
  • Master may decline to provide the information requested on the understanding that this may result in denial of entry into port.
  • Ships shall keep records of relevant information for last 10 calls at PFs.
  • If, after receiving the information, officers duly authorized have clear grounds to believe that the ship does not comply with this chapter os ISPS Part A, the officers shall attempt to establish communication with and between the ship & its ADM with a view to rectify the non-compliance.
10 requirements for port facilities
10. REQUIREMENTS FOR PORT FACILITIES
  • PFs to comply with relevant parts of this chapter and ISPS Code Part A; guidance in ISPS Code Part B to be taken into account
  • CGs to ensure that :
    • PF security assessments are carried out, reviewed and approved in accordance with provisions of Part A of ISPS Code
    • PFS plans are developed, reviewed, approved and implemented as provided for in ISPS Code Part A
  • CGs shall designate & communicate measures to be addressed in PFS plan for various security levels; including when a Declaration of Security is to be submitted.
11 alternative security agreements
11. ALTERNATIVE SECURITY AGREEMENTS
  • CGs may conclude in writing, bilateral or multilateral agreements with other CGs on alternative security arrangements covering short international voyages on fixed routes between port facilities within their territories.
  • Such agreements shall not compromise the level of security of other ships or of port facilities not covered by the agreement.
  • Any ship covered by such an agreement shall not conduct any ship-to-ship activities with any ship not covered by the agreement.
12 equivalent security arrangements
12. EQUIVALENT SECURITY ARRANGEMENTS
  • Other security measures equivalent to and at least as effective as those prescribed in this chapter or in Part A of ISPS Code may be allowed :
    • By an Administration on a particular ship or a group of ships entitled to fly its flag
    • By a CG in a particular port facility or a group of port facilities located within its territory, other than those covered by an agreement concluded under Reg. 11
  • The Administration or the CG, as applicable, shall communicate to IMO particulars of any such equivalent measures allowed.
13 communication of information
13. COMMUNICATION OF INFORMATION

Contracting governments shall, not later than 1 July 2004, communicate to IMO certain relevant information and thereafter update such information as and when necessary. IMO shall circulate such particulars to other CGs for the information of their officers.

13 communication of information26
13. COMMUNICATION OF INFORMATION
  • 1.Such information shall include names and contact details of :

the national authority/authorities responsible for ship and port facility security; including those designated to receive & act upon ship-to-shore security alerts

those designated to receive and act upon any communications from CGs exercising control & compliance measures

…….Continued……..

13 communication of information27
13. COMMUNICATION OF INFORMATION
  • 1.…….Continued……..

Those designated to provide advice or assistance to ships and to whom ships can report any security concerns

  • (The information against above 3 details is to be made available for the information of Companies and Ships)

any RSO authorized to act on their behalf and the details of the specific responsibility and conditions of authority delegated to such organizations

13 communication of information28
13. COMMUNICATION OF INFORMATION
  • 2.CGs shall send, to IMO, list showing the approved PFS plans for the PFs located within their territory together with the location or locations covered by each approved PFS plan. CGs shall, at 5 year intervals after 1 July 2004, communicate to IMO a revised and updated list. IMO shall make available the information to other CGs upon request.
13 communication of information29
13. COMMUNICATION OF INFORMATION
  • 3.CGs shall communicate to IMO information on agreements concluded under Regulation 11 and any amendments or ending of such agreement.
  • 4. Any CG which allows any equivalent security arrangements with respect to a ship or with respect to a port facility shall communicate to IMO particulars thereof.
isps code general
ISPS CODE

GENERAL

isps code objectives
ISPS Code - Objectives
  • To establish An international framework involving co-operation between CGs, Govt agencies, local administrations and shipping & port industries to detect security threats and take preventive measures.
  • To establish respective roles and responsibilities of CGs, Govt agencies, local administrations and shipping & port industries.
isps code functional requirements
ISPS Code – Functional requirements
  • Gathering & assessing information on security threats & exchanging it with appropriate CGs.
  • Requiring maintenance of communication protocols for ships & PFs
  • Preventing unauthorized access to ships, PFs & their restricted areas.
  • Preventing introduction of unauthorized weapons, incindiary devices or explosives to ships or PFs.
isps code functional requirements33
ISPS Code – Functional requirements
  • Providing means for raising alarm in reaction to security incidents.
  • Requiring ship & PF security plans based upon security assessments.
  • Requiring training, drills and exercises to ensure familiarity with security plans and procedures.
isps code responsibilities of cgs
ISPS Code – Responsibilities of CGs
  • CGs have the overall responsibility for maritime security regime in their areas of jurisdiction.
  • For port facilities, CGs will identify the organization(s) or the administration(s), within the Contracting Government, as “designated authority”.
  • Maritime Administrations would normallyhave the responsibilities in respect of security of ships under their flag.
isps code responsibilities of cgs35
ISPS Code – Responsibilities of CGs
  • CGs shall set security levels & provide guidance for protection from security incidents.
  • Factors to be considered in setting levels :
    • The degree that the threat information is credible
    • The degree that the threat information is corroborated
    • The degree that the threat information is specific or imminent
    • The potential consequences of such a security incident
isps code responsibilities of cgs36
ISPS Code – Responsibilities of CGs
  • Duties of CGs, under Chp XI-2 and ISPS Code Part A, that can not be delegated to RSO :
    • Setting of security level
    • Approving a PFS Assessment and/or a PFS Plan and subsequent amendments
    • Determining which PFs require to designate PFSO
    • Exercising control & compliance measures
    • Establishing the requirements for a Declaration of Security
isps code declaration of security
ISPS Code – Declaration of security
  • Declaration of security :
    • CGs shall determine when it is required by assessing the risk the ship/port interface or ship to ship activity poses to people, property or the environment
    • A ship may request completion of DOS
    • To be completed by the master or the SSO on behalf of ship AND PFSO or any other body identified by CG on behalf of port facility
isps code ship security
ISPS CODE

SHIP SECURITY

company responsibilities overall
COMPANY RESPONSIBILITIES - OVERALL
  • Ensure that the Company and ships comply with relevant requirements of SOLAS Chapter XI-2 and of Part A of the ISPS Code, taking into account the guidance given in Part B of the ISPS Code.
  • Ensure that compliance by ships is verified and certified as provided for in part A of ISPS Code.
company responsibilities specific
COMPANY RESPONSIBILITIES - SPECIFIC
  • Designate a company security officer (CSO).
  • Designate a ship security officer (SSO) on each ship.
  • Ensure that CSO, appropriate shore-based Company personnel and the SSO receive the necessary training.
company responsibilities specific41
COMPANY RESPONSIBILITIES - SPECIFIC
  • Ensure availability with ship’s Master, at all times, of following information (updated and kept current) :
    • Who is responsible for appointing the crew members or others employed or engaged on the ship in any capacity on the business of that ship
    • Who is responsible for deciding employment of the ship
    • When ship is employed under the terms of charter party(ies), who are the parties to such charter party(ies)
company responsibilities specific42
COMPANY RESPONSIBILITIES - SPECIFIC
  • Establish in the ship security plan that the master has the overriding authority and responsibility :
    • To make decisions with respect to the security of the ship
    • To request the assistance of the Company or of any Contracting Government as may be necessary
  • Ensure that CSO, the Master of the ship and SSO are given the necessary support to fulfill their duties and responsibilities.
company responsibilities specific43
COMPANY RESPONSIBILITIES - SPECIFIC
  • Ensure that internal audits of security activities are carried out at planned intervals, findings are reviewed and that appropriate corrective measures are taken, where necessary
  • Ensure following is installed on ships by the applicable date :
    • equipment required by SOLAS & ISPS Code
    • other equipment considered necessary consequent to ship security assessments
isps code ship security assessment
ISPS Code Ship Security Assessment
  • CSO to ensure that SSA is carried out by persons with appropriate skills to evaluate the security of a ship
  • RSO may carry out SSA
  • SSA shall be documented, reviewed & retained by the Company
  • SSA shall include an on-scene security survey

……continued ……

isps code ship security assessment45
ISPS Code Ship Security Assessment
  • SSA shall include at least the identification of :
    • existing security measures, procedures and operations
    • and evaluation of key shipboard operations
    • possible threats to such operations and the likelihood of their occurrence, in order to establish and prioritise security measures
    • identification of weaknesses, including human factors in the infrastructure, policies & procedures
isps code ship security plan
ISPS Code – Ship security plan
  • ADM to approve
  • RSO may prepare SSP for a specific ship
  • ADM may entrust review & approval of SSP or its amendments to RSO ( Provided that RSO is not involved in either preparing the SSA or SSP or amendments)
  • Shall be available on board and protected from unauthorized access or disclosure
  • Not subject to inspection under control & compliance measures
isps code records
ISPS Code - Records
  • Records of following activities addressed in SSP shall be maintained on board :
    • Training, drills & exercises
    • Security threats, security incidents & breaches of security
    • Changes in security level
    • Communications relating to the direct security of the ship such as specific threats to the ship or to port facilities the ship is at or has been

……continued……

isps code records48
ISPS Code - Records

……continued……

  • Internal audits & reviews of security activities
  • Periodic review of the SSA
  • Periodic review of the SSP
  • Implementation of any amendments to the plan
  • Maintenance, calibration and testing of security equipment, if any including testing of the ship security alert system
isps code cso and sso
ISPS Code – CSO and SSO
  • CSO and SSO :
    • Company shall designate a person or persons as CSO and clearly identify for which ship/s each person is responsible. CSO & appropriate shore-based personnel shall have knowledge and have received training.
    • A SSO shall be designated for each ship. He shall have knowledge and have received training.
slide50

SSOs for Ships

in Group A

CSO for Ships

in Group A

COMPANY

(Top Mgmt.)

Security Co-ordinator

at HQ

SSOs for Ships

in Group B

CSO for Ships

in Group B

isps code training drills exercises on ship security
ISPS Code – Training, drills & exercises on ship security
  • Drills shall be carried out at appropriate intervals to ensure effective implementation of the SSP, taking into account :
    • Ship personnel changes
    • PFs to be visited
    • Other relevant circumstances
  • CSO shall ensure effective coordination & implementation of SSP by participating in the exercises at appropriate intervals.