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Marine Safety Circular

Maritime Security Regulations

Solas and ISPS Code

Amendments to Solas

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

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

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 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 of 1 July 2004.

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

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

Obligations of Contracting Governments For 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 ships before entering a port or whilst in a port within their territory.

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.

Specific Responsibility of Companies

Company to ensure that the master has available onboard information through which officers duly authorized by CG can establish 

  • Who is responsible for appointing ship's personnel in any capacity on the business of that ship
  • Who is responsible for deciding the employment of the ship
  • When the ship is employed under terms of the charter party(ies); who are the parties to such charter party(ies).

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 2004other cargo ships of? 500 GT and mobile offshore drilling units; not later than the 1st survey of radio installation after 1 July 2006 Shall initiate & transmit alert to a competent authority designated by ADM Shall identify the 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 the bridge & at least one other location

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
    • 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.

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 judgment, 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.

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 the 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.
A valid certificate shall be accepted unless there are clear grounds for believing that the ship is not in compliance with the requirements of this chapter or Part A of the 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 the ISPS Code.
Possible control measures
  • Inspection of the ship
  • Delaying or detention of the ship
  • Restrictions of operations including movement within the port
  • Expulsion from port
  • Additionally or other lesser administrative or corrective measures.

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 a valid certificate
  • Current security level on board
  • 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 the 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 to rectify the non-compliance.

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 the following 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 the PFS plan for various security levels; including when a Declaration of Security is to be submitted.

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 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.

Equivalent Security Arrangements

Other security measures equivalent to and at least as effective as those prescribed in this chapter or Part A of the 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.

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

  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
    • Those designated to provide advice or assistance to ships and to whom ships can report any security concerns (The information against the 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
  2. CGs shall send, to IMO, a 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.
  3. CGs shall communicate to IMO information on agreements concluded under Regulation 11 and any amendments or end of such agreement.
  4. Any CG which allows any equivalent security arrangements for a ship or concerning a port facility shall communicate to IMO particulars thereof.

ISPS Code
General
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 the respective roles and responsibilities of CGs, Govt agencies, local administrations, and shipping & port industries.

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 the introduction of unauthorized weapons, incendiary devices, or explosives to ships or PFs. 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

CGs have the overall responsibility for maritime security regimes 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 the security of ships under their flag.
CGs shall set security levels & guide 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 Duties of CGs, under Chp XI-2 and ISPS Code Part A, that can not be delegated to RSO
  • The 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

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 the 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 the port facility

ISPS Code
Ship Security
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

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.
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 the employment of the ship
  • When the ship is employed under the terms of the charter party(ies), who are the parties to such charter party(ies)
Establish in the ship security plan that the master has the overriding authority and responsibility
  • To make decisions concerning the security of the ship
  • To request the assistance of the Company or 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. 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
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
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, to establish and prioritize security measures
  • identification of weaknesses, including human factors in the infrastructure, policies & procedures

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 onboard and protected from unauthorized access or disclosure
Not subject to inspection under control & compliance measures

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
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

CSO and SSO

  • The company shall designate a person or persons as CSO and identify for which ship/s each person is responsible. CSO & appropriate shore-based personnel shall know and have received training.
  • An SSO shall be designated for each ship. He shall know and have received training HQ
    SSOs for Ships in Group A
    CSO for Ships in Group A
    CSO for Ships in Group B
    SSOs for Ships in Group B
    COMPANY (Top Mgmt.)

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

ISPS Code - Port Facility & Security

Port facility security

  • PF is required to act upon security levels set by the CG
  • Security measures & procedures are to be applied in such a manner as to cause minimum interference with or delays to passengers, ships, ship's personnel & visitors, goods, and services.

ISPS Code - PFSA

Port Facility Security Assessment

  • To be carried out by CG concerned
  • CG may authorize RSO to carry out PFSA of a specific PF within its territory
  • When carried out by RSO, to be reviewed & approved by CG
  • PFSA to be reviewed & updated periodically
  • A PFSA may cover more than one PF if operator, location, operation & design are similarPFSA shall include at least the following elements
  • Identification and evaluation of important assets & infrastructure, possible threats to these & likelihood of their occurrence, to establish & prioritize security measures
  • Identification, selection, and prioritization of countermeasures, procedural changes & their effectiveness in reducing vulnerability
  • Identification of weaknesses, including human factors in the infrastructure, policies, and procedures

ISPS Code - PFSP

Port Facility Security Plan

  • Each PF to maintain PFSP, adequate for ship/port interface
  • RSO may prepare PFSP for a specific PF
  • PFSP to be approved by CG
  • PFSP may be combined with or be a part of the port security plan or any other port emergency plan
  • A PFSP may cover more than one PF if operator, location, operation & design are similar

ISPS Code - PFSO

Port Facility Security Officer

  • To be designated for each PF. A person may be designated as PFSO for one or more PFs.
  • PFSO & appropriate PF security personnel shall know & have received training.
  • PFSO shall ensure effective coordination & implementation of PFSP by participating in exercises at appropriate intervals.

ISPS Code - Training, drills, and exercises

To ensure effective implementation of the PFSP, drills shall be carried out at appropriate intervals, taking into account

  • Types of operations of PF
  • PF personnel changes
  • Type of ship the PF is serving
  • Other relevant circumstances
PFSO shall ensure effective coordination & implementation of PFSP by participating in exercises at appropriate intervals

ISPS Code - Statement of compliance of a PF

CG may issue an appropriate SoCPF, indicating

  • That the PF complies with Chp XI-2 and ISPS Code Part A
  • The period of validity of the SoCPF (to be specified by CG but not to exceed 5 years)
  • Subsequent verification arrangements are established by the CG and a conformation when these are carried out.

Local Notice to Mariners:

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