MARITIME SECURITY REGULATIONS

1
MARITIME SECURITYREGULATIONS

• SOLAS AND ISPS CODE

2
BACKGROUND
3
BACKGROUND

• 11 September 2001

4
AMENDMENTS TO SOLAS
5
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.

6
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.

7
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.

8
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

9
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

10
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.

11
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.

12
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

13
6. SHIP SECURITY ALERT SYSTEM

• Shall initiate transmit alert to a competent
  authority designated by ADM
• Shall identify ship, its location and indicate
  that ships 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

14
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

15
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.

16
8. MASTERS 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 ships 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.

17
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.

18
9. CONTROL AND COMPLIANCE MEASURES

• A valid certificate shall be accepted unless
  there are clear grounds for believing that the
  ship 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
  such clear grounds, the officers duly authorized
  may impose control measures. Such measures must
  be proportionate, taking into account guidance in
  Part B of ISPS Code.

19
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.

20
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

21
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.

22
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.

23
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.

24
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.

25
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.

26
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..
  

27
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
  

28
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.

29
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.

30

• ISPS CODE
• GENERAL

31
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.

32
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.

33
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.

34
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 normally have the
  responsibilities in respect of security of ships
  under their flag.

35
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

36
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

37
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

38

• ISPS CODE
• SHIP SECURITY

39
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.

40
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.

41
COMPANY RESPONSIBILITIES - SPECIFIC

• Ensure availability with ships 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)

42
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.

43
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

44
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

45
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

46
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

47
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

48
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

49
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.

50
SSOs for Ships in Group A
CSO for Ships in Group A
COMPANY (Top Mgmt.)
Security Co-ordinator at HQ
CSO for Ships in Group B
SSOs for Ships in Group B
51
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.

52
company
Administration
Company
(3) SSP for Approval
(4) Approved SSP
Super/Crew
Consultant RSO
(2) SSP
AIS, Ship Security Alert Sys, SSP
CSO
(1)SSA
Attack
Training Institute
ship
Ship crew
Security level, 1,2,3
RESCUE
Master
DoS
SSO
Ship/port interface
FPSO
PORT FACILITY
Security Forces
53
Thank you!