CENTER FOR LAWS OF NIGERIA: FEDERAL LAWS
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THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA (RATIFICATION AND ENFORCEMENT) ACT 2004.
EXPLANATORY MEMORANDUM
This Act provides for the enforcement in Nigeria of the International Convention for the Safety of life at Sea 1974 which Nigeria acceded to in May 1981.
ARRANGEMENT OF SECTIONS
Schedule.
THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA AT SEA (RATIFICATION) AND ENFORCEMENT
An Act to enable effect to be given in the Federal Republic of Nigeria to the International Convention for the Safety of Life at Sea, 1974 as amended; and for related purposes.
WHEREAS the Federal Republic of Nigeria acceded to the International Convention for the Safety of Life at Sea 1974 in May 1981;
AND WHEREAS the Federal Republic of Nigeria acceded to 1978 Protocol and the subsequent amendments to the International Convention for the safety of life at sea up to December 2002;
AND WHEREAS it is necessary and expedient to make legislative provisions for the enforcement in the Federal Republic of Nigeria of the said International Convention for the Safety of Life at Sea, 1974, as amended;
NOW THEREFORE IT IS:
ENACTED by the National Assembly of the Federal Republic of Nigeria:
SCHEDULES
INTERNATIONAL CODE FOR THE SECURITY OF SHIPS AND OF PORT FACILITIES (ISPS CODE)
(By virtue of the amendments to the annex to the International Convention for the Safety of Life at Sea, 1974, adopted by Resolution 1 of the Conference of Contracting Governments to the International Convention for the Safety of Life at Sea, 1974, on 12 December, 2002, the international Code for the Security of Ships and of Port Facilities is to be made mandatory under that Convention).
RESOLUTION 2 OF THE CONFERENCE OF CONTRACTING GOVERNMENTS TO THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974
(Adopted on 12 December 2002)
THE INTERNATIONAL CODE FOR THE SECURITY OF SHIPS AND OF PORT FACILITIES
THE CONFERENCE,
HAVING ADOPTED amendments to the International Convention for the Safety of Life at Sea, 1974, as amended (hereinafter referred to as “the Convention”), concerning special measures to enhance maritime safety and security,
CONSIDERING that the new chapter XI-2 of the Convention makes a reference to an International Ship and Port Facility Security (ISPS) Code and requires ships, companies and port facilities to comply with the relevant requirements of part A of the International Ship and Port Facility Security (lSPS) Code, as specified in part A of the ISPS Code,
BEING OF THE OPINION that the implementation by Contracting Governments of the said chapter will greatly contribute to the enhancement of maritime safety and security and safeguarding those on board and ashore,
HAVING CONSIDERED a draft of the International Code for the Security of-Ships and of Port Facilities prepared by the Maritime Safety Committee of the International Maritime Organization (hereinafter referred to as “the Organization”), at its seventy-fifth and seventy-sixth sessions, for consideration and adoption by the Conference,
ANNEX
INTERNATIONAL CODE FOR THE SECURITY OF SHIPS AND OF PORT FACILITIES
PREAMBLE
PART A
MANDATORY REQUIREMENTS REGARDING THE PROVISION’S OF CHAPTER XI-2 OF THE ANNEX TO THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, AS AMENDED
1.1. Introduction
This part of the International Code for the Security of Ships and of Port Facilities contains mandatory provisions to which reference is made in chapter XI-2 of the International Convention for the Safety of Life at Sea, 1974, as amended.
1.2 Objectives
The objectives of this Code are:
1.3. Functional requirements
In order to achieve its objectives, this Code embodies a number of functional requirements. These include, but are not limited to:
2.1 For the purpose of this part, unless expressly provided otherwise:
2.2. The term “ship”, when used in this Code, includes mobile offshore drilling units and high-speed craft as defined in regulation XI-VI.
2.3. The term “Contracting Government” in connection with any reference to a port facility, when used in sections 14 to 18, includes a reference to the Designated Authority.
2.4. Terms not otherwise defined in this pan shall have the same meaning as the meaning attributed to them in chapters I and XI-2.
3.1. This Code applies to:
(a) passenger ships, including high-speed passenger craft;
(b) cargo ships, including high-speed craft, of 500 gross tonnage and upwards; and.
(c) mobile offshore drilling units; and
3.2. Notwithstanding the provisions of section 3.1.2, Contracting Governments shall decide the extent of application of this Part of the Code to those port facilities within their territory which, although used primarily by ships Dot engaged on international voyages, are required occasionally, to serve ships arriving or departing on an international voyage.
3.2.1 Contracting Governments shall base their decisions, under section 3.2, on a port facility security assessment carried out in accordance with this Part of the Code.
3.2.2 Any decision which a Contracting Government makes, under section 3.2, shall not compromise the level of security intended to be achieved by chapter XI-2 or by this Part of the Code.
3.3 This Code does not apply to warships, naval auxiliaries or other ships owned or operated by a Contracting Government and used only on Government non-commercial service.
3.4 Sections 5 to 13 and 19 of this part apply to Companies and ships as specified in regulation XI-2/4.
3.5 Sections 5 and 14 to 18 of this part apply to port facilities as specified in regulation XI-2/10.
3.6 Nothing in this Code shall prejudice the rights or obligations of States under international law.
4.1 Subject to the provisions of regulation XI-213 and XI-217, Contracting Governments shall set security levels and provide guidance for protection from security incidents. Higher security levels indicate greater likelihood of occurrence of a security incident. Factors to be considered in setting the appropriate security level include:
4.2. Contracting Governments, when they set security level 3, shall issue, as necessary appropriate instructions and shall provide security-related information to the ships and port facilities that may be affected.
4.3. Contracting Governments may delegate to a recognized security organization certain of their security-related duties under chapter XI-2 and this Part of the Code with the exception of:
4.4 Contracting Governments shall, to the extent they consider appropriate, test the effectiveness of the ship security plans or the port facility security plans, or of amendments to such plans, they have approved, or, in the case of ships, of plans which have been approved on their behalf.
5.1 Contracting Governments shall determine when a Declaration of Security is required by assessing the risk the ship/port interface or ship-to-ship activity poses to persons, property or the environment.
5.2 A ship can request completion of a Declaration of Security when:
5.3 Requests for the completion of a Declaration of Security, under this section, shall be acknowledged by the applicable port facility or ship.
5.4 The Declaration of Security shall be completed by:
5.5 The Declaration of Security shall address the security requirements that could be shared between a port facility and a ship (or between ships) and shall state the responsibility for each.
5.6 Contracting Governments shall specify, bearing in mind the provisions of regulation XI- 219.2.3, the minimum period for which Declarations of Security shall be kept by the port facilities located within their territory.
5.7 Administrations shall specify, bearing in mind the provisions of regulation XI-2/9.2.3, the minimum period for which Declarations of Security shall be kept by ships entitled to fly their flag.
6 OBLIGATIONS OF THE COMPANY
6.1 The Company shall ensure that the ship security plan contains a clear statement emphasizing the master’s authority. The Company shall establish in the ship security plan that the master has the overriding authority and responsibility to make decisions with respect to the safety and security of the ship and to request the assistance of the Company or of any Contracting Government as may be necessary.
6.2 The Company shall ensure that the company security officer, the master and the ship security officer are given the necessary support to fulfil their duties and responsibilities in accordance with chapter XJ-2 and this Part of the Code.
7 SHIP SECURITY
7.1 A ship is required to act upon the security levels set by Contracting Governments as set out below.
7.2 At security level 1, the following activities shall be carried out, through appropriate measures, on all ships, taking into account the guidance given in part B of this Code, in order to identify and take preventive measures against security incidents:
7.3 At security level 2, additional protective measures, specified in the ship security plan, shall be implemented for each activity detailed in section 7.2, taking into account the guidance given in part B of this Code.
7.4 At security level 3, further specific protective measures, specified in the ship security plan, shall be implemented for each activity detailed in section 7.2, taking into account the guidance given in part B of this Code.
7.5 Whenever security level 2 or 3 is set by the Administration, tae ship shall acknowledge receipt of the instructions on change of the security level.
7.6 Prior to entering a port or whilst in a port within the territory of a Contracting Government that has set security level 2 or 3, the ship shall acknowledge receipt of this instruction and shall confirm to the port facility security officer the initiation of the implementation of the appropriate measures and procedures as detailed in the ship security plan, and in the case of security level 3, in instructions issued by the Contracting Government which has set security level 3. The ship shall report any difficulties in implementation. In such cases, the port facility security officer and ship security officer shall liaise and co-ordinate the appropriate actions.
7.7 If a ship is required by the Administration to set, or is already at, a higher security level than that set for the port it intends to enter or in which it is already located, then the ship shall advise, without delay, the competent authority of the Contracting Government within whose territory the port facility is located and the port facility security officer of the situation.
7.7.1 In such cases the ship security officer shall liaise with the port facility security officer and co-ordinate appropriate actions, if necessary.
7.8 An Administration requiring ships entitled to fly its flag to set security level 2 or 3 in a port of another Contracting Government shall inform that Contracting Government without delay.
7.9 When Contracting Governments set security levels and ensure the provision of security level information to ships operating in their territorial sea, or having communicated an intention to enter their territorial sea, such ships shall be advised to maintain vigilance and report immediately to their Administration and any nearby’ coastal States any information that comes to their attention that might affect maritime security in the area.
7.9.1 When advising such ships of the applicable security level, a Contracting Government shall, taking into account the guidance given in part B of this Code, also advise those ships of any security measure that they should take and, if appropriate, of measures that have been taken by the Contracting Government to provide protection against the threat.
8 SHIP SECURITY ASSESSMENT
8.1 The ship security assessment is an essential and integral pan of the process of developing and updating the ship security plan.
8.2 The company security officer shall ensure that the ship security assessment is carried out by persons with appropriate skills to evaluate the security of a ship, in accordance with this section, taking into account the guidance given in part B of this Code.
8.3 Subject to the provisions of section 9.2.1, a recognized security organization may carry out the ship security assessment of a specific ship.
8.4 The ship security assessment shall include an on-scene security survey and, at least, the following elements:
8.5 The ship security assessment shall be documented, reviewed, accepted and retained by the Company.
9 SHIP SECURITY PLAN
9.1 Each ship shall carry on board a ship security plan approved by the Administration. The plan shall make provisions for the three security levels as defined in this Part of the Code.
9.1.1 Subject to the provisions of section 9.2.1, a recognized security organization may prepare the ship security plan for a specific ship.
9.2 The Administration may entrust the review and approval of ship security plans, or of amendments to a previously approved plan, to recognized security organizations.
9.2.1 In such cases, the recognized security organization undertaking the review and approval of a ship security plan, or its amendments for a specific ship shall not have been involved in either the preparation of the ship security assessment or of the ship security plan, or of the amendments, under review.
9.3 The submission of a ship security plan, or of amendment& to a previously approved plan, for approval shall be accompanied by the security assessment on the basis of which the plan or the amendments has been developed.
9.4 Such a plan shall be developed taking into account the guidance given in part B of this Code, and shall be written in the working language or languages of the ship. If the language or languages used is not English, French or Spanish, a translation into one of these languages shall be included. The plan shall address, at least, the following:
9.4.1 Personnel conducting internal audits of the security activities specified in the plan or evaluating its implementation shall be independent of the activities being audited unless this is impracticable due to the size and the nature of the Company or of the ship.
9.5 The Administration shall determine which changes to an approved ship security plan or to any security equipment specified in an approved plan shall not be implemented unless the relevant amendments to the plan are approved by the Administration. Any such changes shall be at least as effective as those measures prescribed in chapter XI·2 and this Part of the Code.
9.5.1 The nature of the changes to the ship security plan or the security equipment that have been specifically approved by the Administration, pursuant to section 9.5, shall be documented in a manner that clearly indicates such approval. This approval shall be available On board and shall be presented together with the International Ship Security Certificate (or the Interim International Ship Security Certificate). If these changes are temporary, once the original approved measures or equipment is reinstated, this documentation no longer needs to be retained by the ship.
9.6 The plan may be kept in an electronic format. In such a case, it shall be protected by procedures aimed at preventing its unauthorized deletion, destruction or amendment.
9.7 The plan shall be protected from unauthorized access or disclosure.
9.8 Ship security plans are not subject to inspection by officers duly authorized by a Contracting Government to carry out control and compliance measures in accordance with regulation XI-219, save in circumstances specified in section 9.8.1.
9.8.1 If the officers duly authorized by a Contracting Government have clear grounds to believe that the ship is not in compliance with the requirements of chapter XI·2 or part A of this Code, and the only means to verify or rectify the non-compliance is to review the relevant requirements of the ship security plan, limited access to the specific sections of the plan relating to the non-compliance is exceptionally allowed, but only with the consent of the Contracting Government of, or the master of the ship concerned. Nevertheless, the provisions in the plan relating to section 9.4 subsections .2, .4, .5, .7, .15, .17 and 18 of this Part of the Code arc considered as confidential information, and cannot be subject to inspection unless otherwise agreed by the Contracting Governments concerned.
10 RECORDS
10.1 Records of the following activities addressed in the ship security plan shall be kept on board for at least the minimum period specified by the Administration, bearing in mind the provisions of regulation XI-2/9, 2.3:
10.2 The records shall be kept in the working language or languages of the ship. If the language or languages used are not English, French or Spanish, a translation into one of these languages shall be included.
10.3 The records may be kept in an electronic format. In such a case, they shall be protected by procedures aimed at preventing their unauthorized deletion, destruction or amendment.
10.4 The records shall be protected from unauthorized access or disclosure.
11 COMPANY SECURITY OFFICER
11.1 The Company shall designate a company security officer. A person designated as the company security officer may act as the company security officer for one or more ships, depending on the number or types of ships the Company operates, provided it is clearly identified for which ships this person is responsible. A Company may, depending on the number or types of ships they operate, designate several persons as company security officers provided it is clearly identified for which ships each person is responsible.
11.2 In addition to those specified elsewhere in this Part of the Code, the duties and responsibilities of the company security officer shall include, but are not limited to:
11 SHIP SECURITY OFFICER.
12.1 A ship security officer shall be designated on each ship.
12.2 In addition to those specified elsewhere in this Part of the Code, the duties and responsibilities of the ship security officer shall include, but are not limited to:
13 TRAINING, DRILLS AND EXERCISES ON SHIP SECURITY
13.1 The company security officer and appropriate shore-based personnel shall have knowledge and have received training, taking into account the guidance given in pan B of this Code.
13.2 The ship security officer shall have knowledge and have received training, taking into account the guidance given in part B of this Code.
13.3 Shipboard personnel having specific security duties and responsibilities shall understand their responsibilities for ship security’ as described in the ship security plan and shall have sufficient knowledge and ability to perform their assigned duties, taking into account the guidance given in part B of this Code.
13.4 To ensure the effective implementation of the ship security plan, drills shall be carried out at appropriate intervals taking into account the ship type, ship personnel changes, port facilities to be visited and other relevant circumstances, taking into account the guidance given in part B of this Code.
13.5 The company security officer shall ensure the effective co-ordination and implementation of ship security plans by participating in exercises at appropriate intervals, taking into account the guidance given in part B of this Code.
14 PORT FACILITY SECURITY
14.1 A port facility is required to act upon -the security levels set by the Contracting Government within whose territory it is located. Security measures and procedures shall be applied at the port facility in such a manner as to cause a minimum of interference with, or delay to, passengers, ship, ship’s personnel and visitors, goods and services.
14.2 At security level I, the following activities shall be carried out through appropriate measures in all port facilities, taking into account the guidance given in part B of this Code, in order to identify and take preventive measures against security incidents:
14.3 At security level 2, additional protective measures, specified in the port facility security plan, shall be implemented for each activity detailed in section 14.2, taking into account the guidance given in part B of this Code.
14.4 At security level 3, further specific protective measures, specified in the port facility security plan, shall be implemented for each activity detailed in section 14.2 taking into account the guidance given in part B of this Code.
14.4.1 In addition, at security level 3, port facilities are required to respond to and implement any security instructions given by the Contracting Government within whose territory the port facility is located.
14.5 When B port facility security officer is advised that a ship encounters difficulties in complying with the requirements of chapter XI-2 or this part or in implementing the appropriate measures and procedures as detailed in the ship security plan, and in the case of security level 3 following any security instructions given by the Contracting Government within whose territory the port facility is located, the port facility security officer and the ship security officer shall liaise and co-ordinate appropriate actions.
14.6 When a port facility security officer is advised that a ship is at a security level which is higher than that of the port facility, the port facility security officer shall report the matter to the competent authority and shall liaise with the ship security officer and co-ordinate appropriate actions, if necessary.
15 PORT FACILITY SECURITYASSESSMENT
15.1 The port facility security assessment is an essential and integral part of the process of developing and updating the port facility security plan.
15.2 The port facility security assessment shall be earned out by the Contracting Government within whose territory the port facility is located. A Contracting Government may authorize a recognized security organization to carry out the port facility security assessment of a specific port facility located within its territory.
15.2.1 When the port facility security assessment has been carried out by a recognized security organization, the security assessment shall be reviewed and approved for compliance with this section by the Contracting Government within whose territory the port facility is located.
15.3 The persons carrying out the assessment shall have appropriate skills to evaluate the security of the port facility in accordance with this section, taking into account the guidance given in part B of this Code.
15.4 The port facility security assessments shall periodically be reviewed and updated, taking account of changing threats and/or minor changes in the port facility, and shall always be reviewed and updated when major changes to the port facility take place.
15.5 The port facility security assessment shall include, at least, the following elements:
15.6 The Contracting Government may allow a port facility security assessment to cover more than one port facility if the operator, location, operation, equipment, and design of these port facilities are similar. Any Contracting Government which allows such an arrangement shall communicate to the Organization particulars thereof.
15.7 Upon completion of the port facility security assessment, a report shall be prepared, consisting of a summary of how the assessment was conducted, a description of each vulnerability found during the assessment and a description of countermeasures that could be used to address each vulnerability. The report shall be protected from unauthorized access or disclosure.
16 PORT FACILITY SECURITY PLAN
16.1 A port facility security plan shall be developed and maintained, on the basis of a port facility security assessment for each port facility, adequate for the ship/port interface. The plan shall make provisions for the three security levels, as defined in this Part of the Code.
16.1.1 Subject to the provisions of section 16.2, a recognized security organization may prepare the port facility security plan of a specific port facility.
16.2 The port facility security plan shall be approved by the Contracting Government in whose territory the port facility is located.
16.3 Such a plan shall be developed taking into account the guidance given in part B of this Code and shall be in the working language of the port facility. The plan shall address, at least, the following:
16.4 Personnel conducting internal audits of the security activities specified in the plan or evaluating its implementation shall be independent of the activities being audited unless this is impracticable due to the size and the nature of the port facility.
16.5 The port facility security plan may be combined with, or be part of, the port security plan or any other port emergency plan or plans.
16.6 The Contracting Government in whose territory the port facility is located shall determine which changes to the port facility security plan shall not be implemented unless the relevant amendments to the plan are approved by them.
16.7 The plan may be kept in an electronic format, in such a case; it shall be protected by procedures aimed at preventing its unauthorized deletion, destruction or amendment.
16.8 The plan shall be protected from unauthorized access or disclosure.
16.9 Contracting Governments may allow a port facility security plan to cover more than one port facility if the operator, location, operation, equipment and design of these port facilities are similar. Any Contracting Government which allows such an alternative arrangement shall communicate to the Organization particulars thereof.
17 PORT FACILITY SECURITY OFFICER
17.1 A port facility security officer shall be designated for each port facility. A person may be designated as the port facility security officer for one or more port facilities.
17.2 In addition to those specified elsewhere in this Part of the Code the duties and responsibilities of the port facility security officer shall include but are Dot limited to:
17.3 The port facility security officer shall be given the necessary support to fulfil the duties and responsibilities imposed by chapter XI-2 and this Part of the Code.
18.1 The port facility security officer and appropriate port facility security personnel shall have knowledge and have received training, taking into account the guidance given in part B of this Code.
18.2 Port facility personnel having specific security duties shall understand their duties and responsibilities for port facility security, as described in the port facility security plan, and shall have sufficient knowledge and ability to perform their assigned duties, taking into account the guidance given in part B of this Code.
18.3 To ensure the effective implementation of the port facility security plan, drills shall be carried out at appropriate intervals, taking into account the types of operation of the port facility, port facility personnel changes, the type of ship the port facility is serving and other relevant circumstances, taking into account guidance given in part B of this Code.
18.4 The port facility security officer shall ensure the effective co-ordination and implementation of the port facility security plan by participating, in exercises at appropriate intervals, taking into account the guidance given in part B of this Code.
19 VERIFICATION AND CERTIFICATION FOR SHIPS
19.1 Verifications
19.1.1 Each ship to which this Part of the Code applies shall be subject to the verifications specified below:
19.1.2 The verifications of ships shall be carried out by officers of the Administration. The Administration may, however, entrust the verifications to a recognized security organization referred to in regulation Xl-2/l.
19.1.3 In every case, the Administration concerned shall fully guarantee the completeness and efficiency of the verification and shall undertake to ensure the necessary arrangements to satisfy this obligation.
19.1.4 The security system and any associated security equipment of the ship after verification shall be maintained to conform with the provisions of regulations Xl-214.2 end Xl-216, of this Part of the Code and of the approved ship security plan. After any verification under section 19.1.1 has been completed, no changes shall be made in the security system and in any associated security equipment or the approved ship security plan without the sanction of the Administration.
19.2 Issue or Endorsement of Certificate
19.2.1 An International .Ship Security Certificate shall be issued after the initial or renewal verification in accordance with the provisions of section 19.1.
19.2.2 Such Certificate shall be issued or endorsed either by the Administration or by a recognized security organization acting on behalf of the Administration.
19.2.3 Another Contracting Government may, at the request of the Administration, cause the ship to be verified and, if satisfied that the provisions of section 19.1.1 are complied with, shall issue or authorize the issue of an International Ship Security Certificate to the ship and, where appropriate, endorse or authorize the endorsement of that Certificate to the ship, in accordance with this Code.
19.2.3.1A copy of the Certificate and a copy of the verification report shall be transmitted as soon as possible to the requesting Administration.
19.2.3.2A Certificate so issued shall contain a statement to the effect that it has been issued at the request of the Administration and it shall have the same force and receive the same recognition as the Certificate issued under section 19.2.2.
19.2.4 The International Ship Security Certificate shall be drawn up in a form corresponding to the model given in the appendix to this Code. If the language used is not English, French or Spanish, the text shall include a translation into one of these languages.
19.3 Duration and validity of Certificate
19.3.1 An International Ship Security Certificate shall be issued for a period specified by the Administration, which shall not exceed five years.
19.3.2 When the renewal verification is completed within three months before the expiry date of the existing Certificate, the new Certificate shall be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing Certificate.
19.3.2.1When the renewal verification is completed after the expiry date of the existing Certificate, the new Certificate shall be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing Certificate.
19.3.2.2When the renewal verification is completed more than three months before the expiry date of the existing Certificate, the new Certificate shall be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of completion of the renewal verification.
19.3.3 If a Certificate is issued for a period of less than five years, the Administration may extend the validity of the Certificate beyond the expiry date to the maximum period specified in section 19.3.1, provided that the verifications referred to in section 19.1.1 applicable when a Certificate is issued for a period of five years are carried out as appropriate.
19.3.4 If a renewal verification has been completed and a new Certificate cannot be issued or placed on board the ship before the expiry date of the existing Certificate, the Administration or recognized security organization acting on behalf of the Administration may endorse the existing Certificate and such a Certificate shall be accepted as valid for a further period which shall not exceed five months from the expiry date.
19.3.5 If a ship, at the time when a Certificate expires. is not in a port in which it is to be verified, the Administration may extend the period of validity of the Certificate but this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No Certificate shall be extended for a period longer than three months, and the ship to which an extension is granted shall not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new Certificate. When the renewal verification is completed, the new Certificate shall be valid to a date not exceeding five years from the expiry date of the existing Certificate before the extension was granted.
19.3.6 A Certificate issued to· a ship engaged on short voyages which has not been extended under the foregoing provisions of this section may be extended by the Administration for a period of grace of up to one month from the date of expiry stated on it. When the renewal verification is completed, the new Certificate shall be valid to a date not exceeding five years from the date of expiry of the existing Certificate before the extension was granted.
19.3.7 If an intermediate verification is completed before the period specified in section 19.1.1. then:
19.3.8 A Certificate issued under section 19.2 shall cease to be valid in any of the following cases:
19.3.9 In the case of:
19.4 Interim certification
19.4.1 The Certificates specified in section 19.2 shall be issued only when the Administration issuing the Certificate is fully satisfied that the ship complies with the requirements of section 19.1. However, after 1 July 2004, for the purposes of:
19.4.2 An Interim International Ship Security Certificate shall only’ be issued when the Administration or recognized security organization, on behalf of the Administration, has verified that:
19.4.4 An Interim International Ship Security Certificate shall be valid for 6 months, or until the Certificate required by section 19.2 is issued, whichever comes first, and may not, be extended.
19.4.5 No Contracting Government shall cause a subsequent, consecutive Interim International Ship Security Certificate to be issued .to a ship if, in the judgement of the Administration or the recognized security organization, one of the purposes of the ship or a Company in requesting such certificate is to avoid full compliance with chapter XI-2 and this Part of the Code beyond the period of the initial Interim Certificate as specified in section 19.4.4.
19.4.6 For the purposes of regulation Xl-2/9, Contracting Governments may, prior to accepting an Interim International Ship Security Certificate as a valid Certificate, ensure that the requirements of sections 19.4.2.4 to 19.4.2.6 have been met.
APPENDIX TO PART A
APPENDIX 1
Form of the International Ship Security Certificate
INTERNATIONAL SHIP SECURITY CERTIFICATE
(Official seal)
Certificate Number………..
Issued under the provisions of the
INTERNATIONAL CODE FOR THE SECURITY OF SHIPS AND OF PORT FACILITIES (ISPS CODE)
Under the authority of the Government of …………………………………………………………………………
(name of State)
by _______________________________________________________________
(person(s) or organization authorized)
Name of ship…………………………………………………………………………………………………………..
Distinctive number or letters…………………………………………………………………………………..
Port of registry……………………………………………………………………………………………………….
Type of ship……………………………………………………………………………………………………………
Gross tonnage…………………………………………………………………………………………………………
IMO Number………………………………………………………………………………………………………….
Name and address of the Company……………………………………………………………………….
THIS IS TO CERTIFY:
Date of initial/renewal verification on which this Certificate is based…………………………
This Certificate is valid until……………………………………………………………………..subject to verifications in accordance with section 19.1.1 of part A of the ISPS Code.
Issued at…………………………………………………………………………………………………………………
(place of issue of the Certificate)
Date of issue…………………………………… …………………………………………….
(signature of the duly authorized official issuing the Certificate) ,
(Seal or stamp of issuing authority as appropriate)
ENDORSEMENT FOR INTERMEDIATE VERIFICATION
THIS IS TO CERTIFY that at an intermediate verification required by section 19.1.1 of Part A of the ISPS Code the ship was found to comply with the relevant provisions of chapter XI-2 of the Convention and pan A of the ISPS Code.
Intermediate verification Signed……………………………..
(Signature of authorized official)
Place…………………
Date………………………
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT FOR ADDITIONAL VERIFICATIONS
Additional verification Signed………………………….
(Signature of authorized official)
Place……………………………..
Date……………………………..
(Seal or stamp of the authority, as appropriate)
Additional verification Signed………………………………..
(Signature of authorized official)
Place…………………………..
Date…………………………….
(Seal or stamp of the authority, as appropriate)
Additional verification Signed………………………………
(Signature of authorized official)
Place………………………………..
Date………………………
(Seal or stamp of the authority, as appropriate)
ADDITIONAL VERIFICATION IN ACCORDM’CE WITH SECTION Al19.3.7.2 OF THE ISPS CODE
THIS IS TO CERTIFY that at an additional verification required by section 19.3.7.2 of part A of the ISPS Code the ship was found to comply with the relevant provisions of chapter XI-2 of the Convention and part A of the ISPS Code.
Signed……………………………..
(Signature of authorized official)
Place……………………………..
Date………………………………
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT TO EXTEND THE CERTIFICATE IF VALID FOR LESS THAN 5 YEARS WHERE SECTION A/19.3.3 OF THE ISPS CODE APPLIES
The ship complies with the relevant provisions of part A of the ISPS Code, and the Certificate shall, in accordance with section 19.3.3 of part A of the lSPS Code, be accepted as valid until………………………
Signed……………………………..
(Signature of authorized official)
Place…………………………
Date…………………………
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT WHERE THE RENEWAL VERIFICATION HAS BEEN COMPLETED AND SECTION A/19.3.4 OF THE ISPS CODE APPLIES
The ship complies with the relevant provisions of part A of the ISPS Code, and the Certificate shall, in accordance with section 19.3.4 of part A of the ISPS Code, be accepted as valid until………………..
Signed………………………….
(Signature of authorized official)
Place………………………………
Date…………………………………..
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL REACHING THE PORT OF VERIFICATION WHERE SECTION A/19.3.5 OF THE ISPS CODE APPLIES OR FOR A PERIOD OF GRACE WHERE SECTION A/19.3.6 OF THE ISPS CODE APPLIES
This Certificate shall, in accordance with section 19.3.5/19.3.6 of part A of the ISPS Code, be accepted as valid until……………………
Signed………………………………..
(Signature of authorized official)
Place………………………….
Date……………………………………
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT FOR ADVANCEMENT OF EXPIRY DATE WHERE SECTION A/19.3.7.1 OF THE ISPS CODE APPLIES
In accordance with section 19.3.7.1 of part A of the ISPS Code, the new expiry date is………………..
Signed……………………………..
(Signature of authorized official)
Place…………………………………….
Date…………………………………
(Seal or stamp of the authority. as appropriate)
APPENDIX 2
Form of the Interim International Ship Security Certificate
INTERIM INTERNATIONAL SHIP SECURITY CERTIFICATE
(official seal) (State).
Certificate No………………………..
Issued under the provisions of the
INTERNATIONAL CODE FOR THE SECURITY OF SHIPS AND OF PORT FACILITIES (ISPS CODE)
Under the authority of the Government of____________________________________
(name of State)
By_____________________________________________________________
(person(s) or organization authorized)
Name of ship………………………………………………………………………………………………………………………
Distinctive number or letters………………………………………………………………………………………………
Port of registry……………………………………………………………………………………………………………………
Type of ship………………………………………………………………………………………………………………….
Gross tonnage…………………………………………………………………………………………………………………….
IMO Number……………………………………………………………………………………………………………………..
Name and address of Company…………………………………………………………………………………..
Is this a subsequent, consecutive Interim Certificate? Yes or No
If Yes, date of issue of initial interim Certificate……………………………………………………………….
THIS IS TO CERTIFY THAT the requirements of section A/19.4.2 of the ISPS Code have been complied with.
This Certificate is issued pursuant to section A/19.4 of the ISPS Code.
This Certificate is valid until……………………………………………..
Issued at………………………………………………………………….…………………………………
(place of issue of the Certificate)
Date of issue………………………..………………………………………………………………………………………………..
(signature of the duly authorized official issuing the Certificate)
(Seal or stamp of issuing authority, as appropriate)
PART B
GUIDANCE REGARDING THE PROVISIONS OF CHAPTER XI-2 OF THE ANNEX TO THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974 AS AMENDED AND PART A OF THIS CODE
1 Introduction
General
1.1 The preamble of this Code indicates that chapter Xl-2 and part A of this Code establish the new international framework of measures to enhance maritime security and through which ships and port facilities can co-operate to detect and deter acts which threaten security in the maritime transport sector.
1.2 This introduction outlines, in a concise manner, the processes envisaged in establishing and implementing the measures and arrangements needed to achieve and maintain compliance with the provisions of chapter XI-2 and of part A of this Code and identifies the main elements on which guidance is offered. The guidance is provided in paragraphs 2 through to 19. It also sets down essential considerations which should be taken into account when considering the application of the guidance relating to ships and port facilities.
1.3 If the reader’s interest relates to ships alone, it is strongly recommended that this Part of the Code is still read as a whole, particularly the paragraphs relating to port facilities. The same applies to those whose primary interest is port facilities; they should also read the paragraphs relating to ships.
1.4 The guidance provided in the following paragraphs relates primarily to protection of the ship when it is at a port facility. There could however be situations when a ship may pose a threat to the port facility, e.g. because, once within the port facility, it could be used as a base from which to launch an attack. When considering the appropriate security measures to respond to ship-based security threats, those completing the port facility security assessment or preparing the port facility security plan should consider making appropriate adaptations to the guidance offered in the following paragraphs.
1.5 The reader is advised that nothing in this Part of the Code should be read or interpreted in conflict with any of the provisions of either chapter X1-2 or part A of this Code and that the aforesaid provisions always prevail and override any unintended inconsistency which may have been inadvertently expressed in this Part of the Code. The guidance provided in this Part of the Code should always be read, interpreted and applied in a manner which is consistent with the aims, objectives and principles established in chapter Xl-2 and part A of this Code.
Responsibilities of Contracting Governments
1.6 Contracting Governments have, under the provisions of chapter XI-2 and part A of this Code, various responsibilities, which, amongst others, include:
– setting the applicable security level;
– approving the ship security plan (SSP) and relevant amendments to a previously Approved plan;
– verifying the compliance of ships with the provisions of chapter XI-2 and part A of this Code and issuing to ships the International Ship Security Certificate;
– determining which of the port facilities located within their territory are required to designate a port facility security officer (PFSO) who will be responsible for the preparation of the port facility security plan;
– ensuring completion and approval of the port facility security assessment (PFSA) and of any subsequent amendments to a previously approved assessment;
– approving the port facility security plan (PFSP) and any subsequent amendments to a previously approved plan;
– exercising control and compliance measures;
– testing approved plans; and
– communicating information to the International Maritime Organization and to the shipping and port industries.
1.7 Contracting Governments can designate, or establish, Designated Authorities within Government to undertake with respect to port facilities, their security duties under chapter X1-2 and pan A of this Code and allow recognized security organizations to carry out certain work with respect to port facilities, but the final decision on the acceptance and approval of this work should be given by the Contracting Government or the Designated Authority. Administrations may also delegate the undertaking of certain security duties, relating to ships, to recognized security organizations. The following duties or activities cannot be delegated to a recognized security organization:
– setting of the applicable security level;
– determining which of the port facilities located within the territory of 8 Contracting Government are required to designate a PFSO and to prepare a PFSP;
– approving a PFSA or any subsequent amendments to a previously approved assessment;
– approving a PFSP or any subsequent amendments to a previously approved plan;
– exercising control and compliance measures; and
– establishing the requirements for a Declaration of Security.
Setting the security level
1.8 The setting of the security level applying at any particular time is the responsibility of Contracting Governments and can apply to ships and port facilities. Part A of this Code defines three security levels for international use. These are:
– Security level I, normal; the level at which ships and port facilities normally operate;
– Security level 2, heightened; the level applying for as long as there is a heightened risk of a security incident; and
– Security level 3, exceptional; the level applying for the period of time when there is the probable or imminent risk of a security incident.
The Company and the ship
1.9 Any Company operating ships to which chapter X1-2 and part A of this Code apply has to designate a CSO for the Company and a SSO for each of its ships. The duties, responsibilities and training requirements of these officers and requirements for drills and exercises are defined in part A of this Code.
1.10 The company security officer’s responsibilities include, in brief amongst others, ensuring that a ship security assessment (SSA) is properly carried out that a SSP is prepared and submitted for approval by, or on behalf of, the Administration and thereafter is placed on board each Ship to which part A of this Code applies and in respect of which that person has been appointed as the CSO.
1.11 The SSP should indicate the operational and physical security measures the ship itself should take to ensure it always operates at security level 1. The plan should also indicate the additional, or intensified, security measures the ship itself can take to move to and operate at security level 2 when instructed to do so. Furthermore, the plan should indicate the possible preparatory actions the ship could take to allow prompt response to the instructions that may be issued to the ship by those responding at security level 3 to a security incident or threat thereof.
1.12 The ships to which the requirements of chapter XI-2 and part A of this Code apply are required to have, and operated in accordance with, a SSP approved by, or on behalf of, the Administration. The CSO and the SSO should monitor the continuing relevance and effectiveness of the plan, including the undertaking of internal audits. Amendments, to any of the elements of an approved plan for which the Administration has determined that approval is required, have to be submitted for review and approval before their incorporation into the approved plan and their implementation by the ship.
1.13 The ship has to carry an International Ship Security Certificate indicating that it complies with the requirements of chapter XI-2 and part A of this Code. Part A of this Code includes provisions relating to the verification and certification of the ship’s compliance with the requirements on an initial, renewal and intermediate verification basis.
1.14 When a ship is at a port or is proceeding to a port of a Contracting Government, the Contracting Government has the right, under the provisions of regulation XI-2/9, to exercise various control and compliance measures With respect to that ship. The ship is subject to port State control inspections but such inspections will not normally extend to examination of the SSP itself except in specific circumstances. The ship may also be subject to additional control measures if the Contracting Government exercising the control and compliance measures has reason to believe that the security of the ship has, or the port facilities it has served have, been compromised.
1.15 The ship is also required to have on board information, to be made available to Contracting Governments upon request, indicating who is responsible for deciding the employment of the ship’s personnel and for deciding various aspects relating to the employment of the ship.
The Port Facility
1.16 Each Contracting Government has to ensure completion of a PFSA for each of the port facilities, located within its territory, serving ships engaged on international voyages. The Contracting Government, a Designated Authority or a recognized security organization may carry out this assessment. The completed PFSA has to be approved by the Contracting Government· or the Designated Authority concerned. This approval cannot be delegated. Port facility security assessments should be periodically reviewed.
1.17 The PFSA is fundamentally a risk analysis of all aspects of a port facility’s operation in order to determine which part(s) of it are more susceptible, and/or more likely, to be the subject of attack. Security risk is a function of the threat of an attack coupled with the vulnerability of the target and the consequences of an attack.
The assessment must include the following components:
– determination of the perceived threat to port Installations and infrastructure;
– identification of the potential vulnerabilities; end
– calculation of the consequences of incidents.
On completion of the analysis, it will be possible to produce an overall assessment of the level of risk. The PFSA will help determine which port facilities arc required to appoint a PFSO and prepare a PFSP.
1.18 The port facilities which have to comply with the requirements of chapter XI-2 and part A of this Code are required to designate a PFSO. The duties, responsibilities and training requirements of these officers and requirements for drills and exercises are defined in part A of this Code.
1.19 The PFSP should indicate the operational and physical security measures the port facility should take to ensure that it always operates at security level 1. The plan should also indicate the additional, or intensified, security measures the port facility can take to move to and operate at security level 2 when instructed to do so. Furthermore, the plan should indicate the possible preparatory actions the port facility could take to allow prompt response to the instructions that may be issued by those responding at security level 3 to a security incident or threat thereof.
1.20 The port facilities which have to comply with the requirements of chapter XI·2 and part A of this Code are required to have and operate in accordance with, a PFSP approved by the Contracting Government or by the Designated Authority concerned: The PFSO should implement its provisions and monitor the continuing effectiveness and relevance of the plan, including commissioning internal audits of the application of the plan. Amendments to any of the elements of an approved plan, for which the Contracting Government or the Designated Authority concerned has determined that approval is required, have to be submitted for review and approval before their incorporation into the approved plan and their implementation at the port facility. The Contracting Government or the Designated Authority concerned may test the effectiveness of the plan. The PFSA covering the port facility or on which the development of the plan has been based should be regularly reviewed. All these activities may lead to amendment of the approved plan. Any amendments to specified elements of an approved plan will have to be submitted for approval by the Contracting Government or by the Designated Authority concerned.
1.21 Ships using port facilities may be subject to the port State control inspections and additional control measures outlined in regulation Xl-2/9. The relevant authorities may request the provision of information regarding the ship its cargo, passengers and ship’s personnel prior to the ship’s entry into port, there may be circumstances in which entry into port could be denied.
Information and Communication
1.22 Chapter XI-2 and part A of this Code require Contracting Governments to provide certain information to the International Maritime Organization and for information to be made available to allow effective communication between Contacting Governments and between company security officers/ship security officers and the port facility security officers.
2 DEFINITIONS
2.1 No guidance is provided with respect to the definitions set out in chapter Xl-2 or part A of this Code.
2.2 For the purpose of this Part of the Code:
3 APPLICATION
General
3.1 The guidance given in this Part of the Code should be taken into account when implementing the requirements of chapter Xl-2 and part A of this Code.
3.2 However, it should be recognized that the extent to which the guidance on ships applies will depend on the type of ship, its cargoes and/or passengers, its trading pattern and the characteristics of the port facilities visited by the ship.
3.3 Similarly, in relation to the guidance on port facilities, the extent to which this guidance applies will depend on the port facilities, the types of ships using the port facility, the types of cargo and/or passengers and the trading patterns of visiting ships.
3.4 The provisions of chapter XI-2 and part A of this Code are not intended to apply to port facilities designed and used primarily for military purposes.
4 RESPONSIBILITIES OF CONTRACTING GOVERNMENTS
Security of assessments and plans
4.1 Contracting Governments should ensure that appropriate measures are in place to avoid unauthorized disclosure of or access to, security-sensitive material relating to ship security assessments (SSAs), ship security plans (SSPs), port facility security assessments (PFSAs) and port facility security plans (PFSPs) ,and to individual assessments or plans.
Designated authorities
4.2 Contracting Governments may identify a Designated Authority within Government to undertake their security duties relating to port facilities as set out in chapter Xl-2 or part A of this Code.
Recognized security organizations
4.3 Contracting Governments may authorize a recognized security organization (RSO) to undertake certain security-related activities, including:
4.4 An RSO may also advise or provide assistance to Companies or port facilities on security matters, including ship security assessments, ship security plans, port facility security assessments and port facility security plans. This can include completion of a SSA or SSP or PFSA or PFSP. If an RSO has done so in respect of a SSA or SSP, that RSO should not be authorized to approve that SSP.
4.5 When authorizing an RSO, Contracting Governments should give consideration to the competency of such an organization. An RSO should be able to demonstrate:
When delegating specific duties to a RSO, Contracting Governments, including Administrations, should ensure that the RSO has the competencies needed to undertake the task.
4.6 A recognized organization, as referred to in regulation I/6 and fulfilling the requirements of regulation XI-1/1, may be appointed ,as a RSO provided it has the appropriate security-related expertise listed in paragraph 4.5.
4.7 A port or harbour Authority or port facility operator may be appointed as a RSO provided it has the appropriate security-related expertise listed in paragraph 4.5.
Setting the security level
4.8 In setting the security level, Contracting Governments should take account of general and specific threat information. Contracting Governments should set the security level applying to ships or port facilities at one of three levels:
– Security level I, normal; the level at which the ship or port facility normally operates;
– Security level 2, heightened; the level applying for as long as there is a heightened risk of a security incident; and
– Security level3, exceptional; the level applying for the period of time when there is the probable or imminent risk of a security incident.
4.9 Setting security level 3 should be an exceptional measure applying only when there is credible information that a security incident is probable or imminent. Security level 3 should only be set for the duration of the identified security threat or actual security incident. While the security levels may change from security level I, through security level 2 to security level 3, it is also possible that the security levels will change directly from security level 1 to security level 3.
4.10 At all times the master of a ship has the ultimate responsibility for the safety and security of the ship. Even at security level 3, a master may seek clarification or amendment of instructions issued by those responding to a security incident, or threat thereof, if there are reasons to believe that compliance with any instruction may imperil the, safety of the ship.
4.11 The CSO or the SSO should liaise at the earliest opportunity with the PFSO of the port facility the ship is intended to visit to establish the security level applying for that ship at the port facility. Having established contact with 8 ship, the PFSO should advise the ship of any subsequent change in the port facility’s security level and should provide the ship with any relevant security information.
4.12 While there may be circumstances when an individual ship may be operating at a higher security level than the port facility it is visiting, there will be no circumstances when a ship can have a lower security level than the port facility it is visiting. If a ship has a higher security level than the port facility it intends to use, the CSO or SSO should advise the PFSO without delay. The PFSO should undertake an assessment of the particular situation in consultation with the CSO or SSO and agree on appropriate security measures with the ship, which may include completion and signing of a Declaration of Security.
4.13 Contracting Governments should consider how information on changes in security levels should be promulgated rapidly. Administrations may wish to use NA VTEX messages or Notices to Mariners as the method for notifying such changes in security levels to the ship and to CSO and SSO, or, they may wish to consider other methods of communication that provide equivalent or better speed and coverage. Contracting Governments should establish means of notifying PFSOs of changes in security levels. Contracting Governments should compile and maintain the contact details for a list of those who need to be informed of changes in security levels. Whereas the security level need not be regarded as being particularly sensitive, the underlying threat information may be highly sensitive. Contracting Governments should give careful consideration to the type and detail of the information conveyed and the ‘method by which it is conveyed to SSOs, CSOs and PFSOs.
Contact points and information on port facility security plans
4.14 Where a port facility has a PFSP, that fact has to be communicated to the Organization and that information must also be made available to CSOs and SSOs. No further details of the PFSP have to be published other than that it is in place. Contracting Governments should consider establishing either central or regional points of contact, or other means of providing up to-date information on the locations where PFSPs are in place, together with contact details for the relevant PFSO. The existence of such contact points should be publicized. They could also provide information on the recognized security organizations appointed to act on behalf of the Contracting Government, together with details of the specific responsibility and conditions of authority delegated to such recognized security organizations.
4.15 In the case of a port that does not have a PFSP (and therefore does not have a PFSO), the central or regional point of contact should be able to identify a suitably qualified person ashore who can arrange for appropriate security measures to be in place, if needed, for the duration of the ship’s visit.
4.16 Contracting Governments should also provide the contact details of Government officers to whom an SSO, a CSO and a PFSO can report security concerns. These Government officers should assess such reports before taking appropriate action. Such reported concerns may have a bearing on the security measures falling under the jurisdiction of another Contracting Government. In that case, the Contracting Governments should consider contacting their counterpart in the other Contracting Government to discuss whether remedial action is appropriate. For this purpose, the contact details of the Government officers should be communicated to the International Maritime Organization.
4.17 Contracting Governments should also make the information indicated in paragraphs 4.14 to 4.16 available to other Contracting Governments OD request.
Identification documents
4.18 Contracting Governments are encouraged to issue appropriate identification documents to Government officials entitled to board ships or enter port facilities when performing their official duties and to establish procedures whereby the authenticity of such documents might be verified.
Fixed and floating platforms and mobile offshore drilling units on location
4.19 Contracting Governments should consider establishing appropriate security measures for fixed and floating platforms and mobile offshore drilling units on location to allow interaction with ships which are required to comply with the provisions of chapter Xl-2 and part A of this Code.
Ships which are not required to comply with part A of this Code
4.20 Contracting Governments should consider establishing appropriate security measures to enhance the security of ships to which chapter XI-2 and part A of this Code do not apply and to ensure that any security provisions applying to such ships allow interaction With ships to which part A of this Code applies.
Threats to ships and other incidents at sea
4.21 Contracting Governments should provide general guidance on the measures considered appropriate to reduce the security risk to ships flying their flag when at sea. They should provide specific advice on the action to be taken in accordance with security levels 1 to 3, if:
4.22 Contracting Governments should also establish a point of contact for advice on security for any ship:
4.23 Contracting Governments should offer advice to ships operating in their territorial sea or having communicated an intention to enter their territorial sea, which could include advice:
Contracting Governments should remind ships operating in their territorial sea, or having communicated an intention to enter their territorial sea, of any temporary restricted areas that they have published.
4.24 Contracting Governments should recommend that ships operating in their territorial sea, or having communicated an intention to enter their territorial sea, implement expeditiously, for the ship’s protection and for the protection of other ships in the vicinity, any security measure the Contracting Government may have advised.
4.25 The plans prepared by the Contracting Governments for the purposes given in paragraph 4.22 should include information on an appropriate point of contact, available on a 24-hour basis, within the Contracting Government including the Administration. These plans should also include information on the circumstances in which the Administration considers assistance should be sought from nearby coastal States, and a procedure for liaison between PFSOs and SSOs.
Alternative security agreements
4.26 Contracting Governments, in considering how to implement chapter XI-2 and part A of this Code, may conclude one or more agreements with one or more Contracting Governments. The scope of an agreement is limited to short international voyages on fixed routes between port facilities in the territory of the parties to the agreement. When concluding an agreement, and thereafter, the Contracting Governments should consult other Contracting Governments and Administrations with an interest in the effects of the agreement. Ships flying the flag of a State that is not party to the agreement should only be allowed to operate on the fixed routes covered by the agreement if their Administration agrees that the ship should comply with the provisions of the agreement and requires the ship to do so. In no case can such an agreement compromise the level of security of other ships and port facilities not covered by it and specifically, all ships covered by such an agreement may not conduct ship-to-ship activities with ships not so covered. Any operational interface undertaken by ships covered by the agreement should be covered by it. The operation of each agreement must be continually monitored and amended when the need arises and in any event should be reviewed every 5 years.
Equivalent arrangements for port facilities
4.27 For certain specific port facilities with limited or special operations but with more than occasional traffic, it may be appropriate to ensure compliance by security measures equivalent to those prescribed in chapter XI-2 and in part A of this Code. This can, in particular, be the case for terminals such as those attached to factories, or quaysides with no frequent operations.
Manning level
4.28 In establishing the minimum safe manning of a ship, the Administration should take into account that the minimum safe manning provisions established by regulation V/14 only address the safe navigation of the ship. The Administration should also take into account any additional workload which may result from the implementation of the SSP and ensure that the ship is sufficiently and effectively manned. In doing so, the Administration should verify that ships are able to implement the hours of rest and other measures to address fatigue which have been promulgated by national law, in the context of all shipboard duties assigned to the various shipboard personnel.
Control and compliance measures
General
4.29 Regulation XI-2/9 describes the control and compliance measures applicable to ships under chapter Xl-2. It is divided into three distinct sections; control of ships already in a port, control of ships intending to enter a port of another Contracting Government, and additional provisions applicable to both situations.
4.30 Regulation XI-2/9.1, control of ships in port, implements a system for the control of ships while in the port of a foreign country where duly authorized officers of the Contracting Government (“duly authorized officers”) have the right to go on board the ship to verify that the required certificates are in proper order. Then, if there are clear grounds to believe the ship does not comply, control measures such as additional inspections or detention may be taken. This reflects current control systems. Regulation XI-219.1 builds on such systems and allows for additional measures (including expulsion of a ship from a port to be taken as a control measure) when duly authorized officers have clear grounds for believing that a. ship is in non-compliance with the requirements of Chapter XI-2 or part A of this Code. Regulation XI-2/9.3 describes the safeguards that promote fair and proportionate implementation of these additional measures.
4.31 Regulation XJ-219.2 applies control measures to ensure compliance to ships intending to enter a port of another Contracting Government and introduces an entirely different concept of control within chapter Xl-2, applying to security only. Under this regulation, measures may be I implemented prior to the ship entering port, to better ensure security. Just as in regulation XI- 2/9.1, this additional control system is based on the concept of clear grounds for believing the ship does not comply with chapter XI-2 or part A of this Code, and includes significant safeguards in regulations XI-219.2.2 and XI-2/9.2.5 as well as in regulation X1-2/9.3.
4.32 Clear grounds that the ship is not in compliance means evidence or reliable information that the ship does not correspond with the requirements of chapter XI-2 or part A of this Code, taking into account the guidance given in this Part of the Code. Such evidence or reliable information may arise from the duly authorized officer’s professional judgement or observations gained while verifying the ship’s International Ship Security Certificate or Interim International Ship Security Certificate issued in accordance with part’ A of this Code (“Certificate”) or from other sources. Even if a valid Certificate is on board the ship, the duly authorized officers may still have clear grounds for believing that the ship is not in compliance based on their professional judgement.
4.33 Examples of possible clear grounds under regulations Xl-219.1 and XI-2/9.2 may include, when relevant:
4.34 The international law implications of regulation XI-2/9 are particularly relevant, and the regulation should be implemented with regulation XI-2/2.4 in mind, as the potential exists for situations where either measures will be taken which fall outside the scope of chapter XI-2. or where rights of affected ships, outside chapter Xl-2, should be considered. Thus, regulation Xl- 219 does not prejudice the Contracting Government from taking measures having a basis in, and consistent with, international law to ensure the safety or security of persons, ships, port facilities and other property in cases where the ship, although in compliance with chapter Xl-2 and part A of this Code, is still considered to present a security risk.
4.35 When a Contracting Government imposes control measures on a ship, the Administration should, without delay, be contacted with sufficient information to enable the Administration to fully liaise with the Contracting Government.
Control of ships ill port
4.36 Where the non-compliance is either a defective item of equipment or faulty documentation leading to the ship’s detention and the non-compliance cannot be remedied in the port of inspection, the Contracting Government may allow the ship to sail to another port provided that any conditions agreed between the port States and the Administration or master are met.
Ships intending to enter the port of another Contracting Government
4.37 Regulation Xl-219.2.1 lists the information Contracting Governments may require from a ship as a condition of entry into port. One item of information listed is confirmation of any special or additional measures taken by the ship during its last 10 calls at a port facility.
Examples could include:
4.38 Another item of information listed, that may be required as a condition of entry into port, is confirmation that appropriate ship security procedures were maintained during ship-to-ship activity conducted within the period of the last 10 calls at a port facility. It would not normally be required to include records of transfers of pilots or of customs, immigration or security officials nor bunkering, lightering, loading of supplies and unloading of waste by ship within port facilities as these would normally fall within the auspices of the PFSP. Examples of information that might be given include:
4.39 Examples of other practical security-related information that may be required as a condition of entry into port in order to assist with ensuring the safety and security of persons, port facilities, ships and other property include:
4.40. Regulation XI-2I9.2.S allows the master of a ship, upon being informed that the coastal or port State will implement control measures under regulation XI-219.2, to withdraw the intention for the ship to enter port. If the master withdraws that intention, regulation XJ-2/9 DO longer applies, and any other steps that are taken must be based on, and consistent with international law.
Additional provisions
4.41 In all cases where a ship is denied entry or is expelled from port, all known facts should be communicated to the authorities of relevant States. This communication should consist of the following, when known:
4.42 Relevant States to contact should include those along the ship’s intended passage to its next port, particularly if the ship intends to enter the territorial sea of that coastal State. Other relevant States could include previous ports of call, so that further information might be obtained and security issues relating to the previous ports resolved.
4.43 In exercising control and compliance measures, the duly authorized officers should ensure that any measures or steps imposed are proportionate. Such measures or steps should be reasonable and of the minimum severity and duration necessary to rectify or mitigate the non-compliance.
4.44 The word “delay” in regulation XI-219.3.5.1 also refers to situations where, pursuant to actions taken under this regulation, the ship is unduly denied entry into port or the ship is unduly expelled from port.
Non-Party ships and ships below Convention size
4.45 With respect to ships flying the flag of a State which is not a Contracting Government to the Convention and not a Party to the 1988 SOLAS Protocol’, Contracting Governments should not give more favourable treatment to such ships. Accordingly, the requirements of regulation Xl-2/9 and the guidance provided in this Part of the Code should be applied to those ships.
4.46 Ships below Convention size are subject to measures by which States maintain security. Such measures should be taken with due regard to the requirements in chapter XI-2 and the guidance provided in this Part of the Code.
5 DECLARATION OF SECURITY
General
5.1 A Declaration of Security (DOS) should be completed when the Contracting Government of the port facility deems it to be necessary or when a ship deems it necessary.
5.1.1 The need for a DOS may be indicated by the results of the port facility security assessment (PFSA) and the reasons and circumstances in which a DOS is required should be set out in the port facility security plan (PFSP).
5.1.2 The need for a DOS may be indicated by an Administration for ships entitled to fly its flag or as a result of a ship security assessment (SSA) and should be set out in the ship security plan (SSP).
5.2 It is likely that a DOS will be requested at higher security levels, when a ship has a higher security level than the port facility, or another ship with which it interfaces, and for ship/port interface or ship-to-ship activities that pose a higher risk to persons, property or the environment for reasons specific to that ship, including its cargo or passengers or the circumstances at the port facility or a combination of these factors.
5.2.1 In the case that a ship or an Administration, on behalf of ships entitled to fly its flag, requests completion of a DOS, the port facility security officer (PFSO) or ship security officer (SS0) should acknowledge the request and discuss appropriate security measures.
5.3 A PFSO may also initiate a DOS prior to ship/port interfaces that are identified in the approved PFSA as being of particular concern. Examples may include embarking or disembarking passengers and the transfer, loading or unloading of dangerous goods or hazardous substances. The PFSA may also identify facilities at or near highly populated areas or economically significant operations that warrant a DOS.
5.4 The main purpose of a DOS ill to ensure agreement is reached between the ship and the port facility or with other ships with which it interfaces as to the respective security measures each will undertake in accordance with the provisions of their respective approved security plans.
5.4.1 The agreed DOS should be signed and dated by both the port facility and the ship(s), as applicable, to indicate compliance with chapter XI-2 and part A of this Code and should include its duration, the relevant security level or levels and the relevant contact details.
5.4.2 A change in the security level may require that a new or revised DOS be completed.
5.5 The DOS should be completed in English, French or Spanish or in a language common to both the port facility and the ship or the ships, as applicable.
5.6 A model DOS is included in appendix 1 to this Part of the Code. This model is for a DOS between a ship and a port facility. If the DOS is to cover two ships, this model should be appropriately adjusted.
6 OBLIGATIONS OF THE COMPANY
General
6.1 Regulation XI-2/5 requires the Company to provide the master of the ship with information to meet the requirements of the Company under the provisions of this regulation. This information should include items such as:
6.2 In accordance with regulation XI-2/S, the Company is obliged to update and keep this information current as and when changes occur.
6.3 This information should be in English, French or Spanish language.
6.4 With respect to ships constructed before 1 July 2004, this information should reflect the actual condition on that date.
6.5 With respect to ships constructed on or after 1 July 2004 and for ships constructed before 1 July 2004 which were out of service on 1 July 2004, the information should be provided as from the date of entry of the ship into service and should reflect the actual condition on that date.
6.6 After 1 July 2004, when a ship is withdrawn from service, the information should be provided as from the date of re-entry of the ship into service and should reflect the actual condition on that date.
6.7 Previously provided information that does not relate to the actual condition on that date need not be retained on board.
6.8 When the responsibility for the operation of the ship is assumed by another Company, the information relating to the Company which operated the ship is not required to be left on board. In addition, other relevant guidance is provided under sections 8, 9 and 13.
7 SHIP SECURITY
Relevant guidance is provided under sections 8, 9 and 13.
8 SHIP SECURITY ASSESSMENT
Security assessment.
8.1 The company security officer (CSO) is responsible for ensuring that a ship security assessment (SSA) is carried out for each of the ships in the Company’s fleet which is required to comply with the provisions of chapter X1-2 and part A of this Code for which the CSO is responsible. While the CSO need not necessarily personally undertake all the duties associated with the post, the ultimate responsibility for ensuring that they arc properly performed remains with the individual CSO.
8.2 Prior to commencing the SSA, the CSO should ensure that advantage is taken of information available on the assessment of threat for the ports at which the ship will call or at which passengers embark or disembark and about the port facilities and their protective measures. The CSO should study previous reports on similar security needs. Where feasible, the CSO should meet with appropriate persons on the ship and in the port facilities to discuss the purpose and methodology of the assessment. The CSO should follow any specific guidance offered by the Contracting Governments.
8.3 A SSA should address the following elements on board or within the ship:
8.4 Those involved in conducting a SSA should be able to draw upon expert assistance in relation to:
8.5 The CSO should obtain and record the information required to conduct an assessment, including:
8.6 The SSA should examine each identified point of access, including open weather decks, and evaluate its potential for use by individuals who might seek to breach security. This includes points of access available to individuals having legitimate access as well as those who seek to obtain unauthorized entry.
8.7 The SSA should consider the continuing relevance of the existing security measures and guidance, procedures and operations, under both routine and emergency conditions, and should determine security guidance including:
8.8 The SSA should consider the persons, activities, services and operations that it is important to protect. This includes:
8.9 The SSA should consider all possible threats, which may include the following types of security incidents:
8.10 The SSA should take into account all possible vulnerabilities, which may include:
8.11 The CS0 and ship security officer (SS0) should always have regard to the effect that security measures may have on ship’s personnel who will remain on the ship for long periods. When developing security measures, particular consideration should be given to the convenience, comfort and personal privacy of the ship’s personnel and their ability to maintain their effectiveness over long periods.
8.12 Upon completion of the SSA, a report shall be prepared, consisting of a summary of how the assessment was conducted, a description of each vulnerability found during the assessment and a description of countermeasures that could be used to address each vulnerability. The report shall be protected from unauthorized access or disclosure.
8.13 If the SSA has not been earned out by the Company, the report of the SSA should be reviewed and accepted by the CSO.
On-scene security survey
8.14 The on-scene security survey is an integral part of any SSA. The on-scene security survey should examine and evaluate existing shipboard protective measures, procedures and operations for:
9 SHIP SECURITY PLAN
General
9.1 The company security officer (CSO) has the responsibility of ensuring that a ship security plan (SSP) is prepared and submitted for approval. The content of each individual SSP should vary depending on the particular ship it covers. The ship security assessment (SSA) will have identified the particular features of the ship and the potential threats and vulnerabilities. The preparation of the SSP will require these features to be addressed in detail. Administrations may prepare advice on the preparation and content of a SSP.
9.2 All SSPs should:
9.3 Preparation of an effective SSP should rest on a thorough assessment of all issues that relate to the security of the ship, including, in particular, a thorough appreciation of the physical and operational characteristics, including the voyage pattern, of the individual ship.
9.4 All SSPs should be approved by, or on behalf of, the Administration. If an Administration uses a recognized security organization (RSO) to review or approve the SSP, that RSO should not be associated with any other RSO that prepared, or assisted in the preparation of, the plan.
9.5 CSOs and SSOs should develop procedures to:
9.6 The security measures included in the SSP should be in place when the initial verification for compliance with the requirements of chapter Xl-2 and part A of this Code will be carried out, otherwise the process of issue to the ship of the required International Ship Security Certificate cannot be carried out. If there is any subsequent failure of security equipment or systems, or suspension of a security measure for whatever reason, equivalent temporary securities measures should be adopted, notified to, and agreed by the Administration.
Organization and performance of ship security duties
9.7 In addition to the guidance given in paragraph 9.2, the SSP should establish the following, which relate to all security levels:
9.8 The remainder of section 9 addresses specifically the security measures that could be taken at each security level covering:
Access to the ship
9.9 The SSP should establish the security measures covering all means of access to the ship identified in the SSA. This should include any:
9.10 For each of these the SSP should identify the appropriate locations where access restrictions or prohibitions should be applied for each of the security levels. For each security level the SSP should establish the type of restriction or prohibition to be applied and the means of enforcing them.
9.11 The SSP should establish for each security level the means of identification required to allow access to the ship and for individuals to remain on the ship without challenge. This may involve developing an appropriate identification system allowing for permanent and temporary identifications, for ship’s personnel and visitors respectively. Any ship identification system should, when it is practicable to do so, be co-ordinated with that applying to the port facility. Passengers should be able to prove their identity by boarding passes, tickets, etc., but should not be permitted access to restricted areas unless supervised. The SSP should establish provisions to ensure that the identification systems are regularly updated, and that abuse of procedures should be subject to disciplinary action.
9.12 Those unwilling or unable to establish their identity and/or to confirm the purpose of their visit when requested to do so should be denied access to the ship and their attempt to obtain access should be reported, as appropriate, to the SSO, the CSO, the port facility security officer (PFSO) and to the national or local authorities with security responsibilities.
9.13 The SSP should establish the frequency of application of any access controls, particularly if they are to be applied on a random, or occasional, basis.
Security level 1
9.14 At security level I, the SSP should establish the security measures to control access to the ship, where the following may be applied:
9.15 At security level L, all those seeking to board a ship should be liable to search. The frequency of such searches, including random searches, should be specified in the approved SSP and should be specifically approved by the Administration. Such searches may best be undertaken by the port facility in close co-operation with the ship and in close proximity to it. Unless there are clear security grounds for doing so, members of the ship’s personnel should not be required to search their colleagues or their personal effects. Any such search shall be undertaken in a manner which fully takes into account the human rights of the individual and preserves their basic human dignity.
Security level 2
9.16 At security level 2, the SSP should establish the security measures to be applied to protect against a heightened risk of a security incident to ensure higher vigilance and tighter control, which may include:
Security level 3
9.17 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The SSP should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include:
Restricted areas on the ship
9.18 The SSP should identify the restricted areas to be established on the ship, specify their extent, times of application, the security measures to be taken to control access to them and those to be taken to control activities within them. The purposes of restricted areas are to:
9.19 The SSP should ensure that there are clearly established policies and practices to control access to all restricted areas.
9.20 The SSP should provide that all restricted areas should be clearly marked, indicating that access to the area is restricted and that unauthorized presence within the area constitutes a breach of security.
9.21 Restricted areas may include:
Security level 1
9.22 At security level 1, the SSP should establish the security measures to be applied to restricted areas, which may include:
Security level 2
9.23 At security level 2, the frequency and intensity of the monitoring of, and control of access to, restricted areas should be increased to ensure that only authorized persons have access. The SSP should establish the additional security measures to be applied, which may include:
Security level 3
9.24 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The SSP should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include:
Handling of cargo
9.25 The security measures relating to cargo handling should:
9.26 The security measures, some of which may have to be applied in liaison with the port facility, should include inventory control procedures at access points to the ship. Once on board the ship, cargo should be capable of being identified as having been approved for loading onto the ship. In addition, security measures should be developed to ensure that cargo, once on board, is not tampered with.
Security level 1
9.27 At security level I, the SSP should establish the security measures to be applied during cargo handling, which may include:
9.28 Checking of cargo may be accomplished by the following means:
9.29 When there are regular or repeated cargo movements, the CSO or SSO may, in consultation with the port facility, agree arrangements with shippers or others responsible for such cargo covering off-site checking, sealing, scheduling, supporting documentation, etc. Such arrangements should be communicated to and agreed with the PFSO concerned.
Security level 2
9.30 At security level 2, the SSP should establish the additional security measures to be applied during cargo handling, which may include:
9.31 Detailed checking of cargo may be accomplished by the following means:
Security level 3
9.32 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The SSP should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include:
Delivery of ship’s stores
9.33 The security measures relating to the delivery of ship’s stores should:
9.34 For ships regularly using the port facility, it may be appropriate to establish procedures involving the ship, its suppliers and the port facility covering notification and timing of deliveries and their documentation. There should always be some way of confirming that stores presented for delivery are accompanied by evidence that they have been ordered by the ship.
Security level 1
9.35 At security level 1, the SSP should establish the security measures to be applied during delivery of ship’s stores, which may include:
Security level 2
9.36 At security level 2, the SSP should establish the additional security measures to be applied during delivery of ship’s stores by exercising checks prior to receiving stores on board and intensifying inspections.
Security level 3
9.37 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The SSP should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include:
Handling unaccompanied baggage
9.38 The SSP should establish the security measures to be applied to ensure that unaccompanied baggage (i.e. any baggage, including personal effects, which is. not with the passenger or member of ship’s personnel at the point of inspection or search) is identified and subjected to appropriate screening, including searching, before it is accepted on board the ship it is not envisaged that such baggage will be subjected to screening by both the ship and the port facility, and in cases where both are suitably equipped, the responsibility for screening should rest with the port facility. Close co-operation with the port facility is essential and steps should be taken to ensure that unaccompanied baggage is bandied securely after screening.
Security level 1
9.39 At security level I, the SSP should establish the security measures to be applied when handling unaccompanied baggage to ensure that unaccompanied baggage is screened or searched up to and including 100 percent, which may include use of x-ray screening.
Security level 2
9.40 At security level 2, the SSP should establish the additional security measures to be applied when handling unaccompanied baggage, which should include 100 percent x-ray screening of all unaccompanied baggage.
Security level 3
9.41 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The SSP should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include:
Monitoring the security of the ship
9.42 The ship should have the capability to monitor the ship, the restricted areas on board and areas surrounding the ship. Such monitoring capabilities may include use of:
9.43 When used, automatic intrusion-detection devices should activate an audible and/or visual alarm at a location that is continuously attended or monitored.
9.44 The SSP should establish the procedures and equipment needed at each security level and the means of ensuring that monitoring equipment will be able to perform continually, including consideration of the possible effects of weather conditions or of power disruptions.
Security level 1
9.45 At security level 1, the SSP should establish the security measures to be applied, which may be a combination of lighting, watch-keepers, security guards or use of security and surveillance equipment to allow ship’s security personnel to observe the ship in general and barriers and restricted areas in particular.
9.46 The ship’s deck and access points to the ship should be illuminated during hours of darkness and periods of low visibility while conducting ship/port interface activities or at a port facility or anchorage when necessary. While under way, when necessary, ships should use the maximum lighting available consistent with safe navigation, having regard to the provisions of the International Regulations for the Prevention of Collisions at Sea in force. The following should be considered when establishing the appropriate level and location of lighting.
Security level 2
9.47 At security level 2, the SSP should establish the additional security measures to be applied to enhance the monitoring and surveillance capabilities, which may include:
9.48 Additional lighting may be necessary to protect against a heightened risk of a security incident When necessary, the additional lighting requirements may be accomplished by coordinating with the port facility to provide additional shore-side lighting.
Security level 3
9.49 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof The SSP should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include:
Differing security levels
9.50 The SSP should establish details of the procedures and security measures the ship could adopt if the ship is at a higher security level than that applying to a port facility.
Activities not covered by the Code
9.51 The SSP should establish details of the procedures and security measures the ship should apply when:
Declarations of Security
9.52 The SSP should detail how requests for Declarations of Security from a port facility will be handled and the circumstances under which the ship itself should request a DOS.
Audit and review
9.53 The SSP should establish how the CSO and the SSO intend to audit the continued effectiveness of the SSP and the procedure to be followed to review, update or amend the SSP.
10 RECORDS
General
10.1 Records should be available to duly authorized officers of Contracting Governments to verify that the provisions of ship security plans are being implemented.
10.2 Records may be kept in any format but should be protected from unauthorized access or disclosure.
11 COMPANY SECURITY OFFICER
Relevant guidance is provided under sections 8, 9 and 13.
12 SHIP SECURITY OFFICER
Relevant guidance is provided under sections 8, 9 and 13.
13 TRAINING, DRILLS AND EXERCISES ON SHIP SECURITY
Training
13.1 The company security officer (CSO) and appropriate shore-based Company personnel. and the ship security officer (SSO), should have knowledge of, and receive training, in some or all of the following as appropriate:
13.2 In addition, the SSO should have adequate knowledge of; and receive training in, some or all of the following, as appropriate:
13.3 Shipboard personnel having specific security duties should have sufficient knowledge and ability to perform their assigned duties, including, as appropriate:
13.4 All other shipboard personnel should have sufficient knowledge of and be familiar with relevant provisions of the ship security plan (SSP), including:
Drills and exercises
13.5 The objective of drills and exercises is to ensure that shipboard personnel are proficient in all assigned security duties at all security levels and the identification of any security-related deficiencies which need to be addressed.
13.6 To ensure the effective implementation of the provisions of the ship security plan, drills should be conducted at least once every three months. In addition, in cases where more than 25 percent of the ship’s personnel has been changed, at anyone time, with personnel that has not previously participated in any drill on that ship within the last 3 months, a drill should be conducted within one week of the change, These drills should test individual elements of the plan such as those security threats listed in paragraph 8.9.
13.7 Various types of exercises, which may include participation of company security officers, port facility security officers, relevant authorities of Contracting Governments as well as ship security officers, if available, should be carried out at least once each calendar year with no more than 18 months between the exercises. These exercises should test communications, coordination, resource availability, and response. These exercises may be:
13.8 Company participation in an exercise with another Contracting Government should be recognized by the Administration.
14 PORT FACILITY SECURITY
Relevant guidance is provided under sections 15, 16 and 18.
15 PORT FACILITY SECURITY ASSESSMENT
General
15.1 The port facility security assessment (PFSA) may be conducted by a recognized security (Organization (RSO). However, approval of 11 completed PFSA should only be given by the relevant Contracting Government.
15.2 If a Contracting Government uses a RSO to review or verify compliance of the PFSA, the RSO should not be associated with any other RSO that prepared or assisted in the preparation of that assessment.
15.3 A PFSA should address the following elements within a port facility:
15.4 Those involved in a PFSA should be able to draw upon expert assistance in relation to:
Identification and evaluation of important assets and Infrastructure it is important to protect
15.5 The identification and evaluation of important assets and infrastructure is a process through which the relative importance of structures and installations to the functioning of the port facility can be established. This identification and evaluation process is important because it provides a basis for focusing mitigation strategies on those assets and structures which it is more important to protect from a security incident. This process should take into account potential loss of life, the economic significance of the port, symbolic value, and the presence of Government installations.
15.6 Identification and evaluation of assets and infrastructure should be used to prioritize their relative importance for protection. The primary concern should be avoidance of death or injury. It is also important to consider whether the port facility, structure or installation can continue to function without the asset and the extent to which rapid re-establishment of normal functioning is possible.
15.7 Assets and infrastructure that should be considered important to protect may include:
15.8 The clear identification of assets and infrastructure is essential to the evaluation of the port facility’s security requirements, the prioritization of protective measures, and decisions concerning the allocation of resources to better protect the port facility. The process may involve consultation with the relevant authorities relating to structures adjacent to the port facility which could cause damage within the facility or be used for the purpose of causing damage to the facility or for illicit observation of the facility or for diverting attention.
Identification of the possible threats to the assets and infrastructure and the likelihood of their occurrence, in order to establish and prioritize security measures.
15.9 Possible acts that could threaten the security of assets and infrastructure, and the methods of carrying out those acts, should be identified to evaluate the vulnerability of a given asset or location to a security incident, and to establish and prioritize security requirements to enable planning and resource allocations. Identification and evaluation of each potential act and its method should be based on various factors, including threat assessments by Government agencies. By identifying and assessing threats, those conducting the assessment do not have to rely on worst-case scenarios to guide planning and resource allocations.
15.10 The PFSA should include an assessment undertaken in consultation with the relevant national security organizations to determine:
15.11 The PFSA should consider all possible threats, which may include the following types of security incidents:
15.12 The process should involve consultation with the relevant authorities relating to structures adjacent to the port facility which could cause damage within the facility or be used for the purpose of causing damage to the facility or for illicit observation of the facility or for diverting attention.
Identification, selection, and prioritization of countermeasures and procedural changes and their level of effectiveness in reducing vulnerability
15.13 The identification and prioritization of countermeasures is designed to ensure that the most effective security measures are employed to reduce the vulnerability of a port facility or ship/port interface to the possible threats.
15.14 Security measures should be selected on the basis of factors such as whether they reduce the probability of an attack and should be evaluated using information that includes:
Identification of vulnerabilities
15.15 Identification of vulnerabilities in physical structures, personnel protection systems, processes, or other areas that may lead to a security incident can be used to establish options to eliminate or mitigate those vulnerabilities. For example, an analysis might reveal vulnerabilities in a port facility’s security systems or unprotected infrastructure such as water supplies, bridges, etc. that could be resolved through physical measures, e.g. permanent barriers, alarms, surveillance equipment, etc.
15.16 Identification of vulnerabilities should include consideration of:
16 PORT FACILITY SECURITY PLAN
General
16.1 Preparation of the port facility security plan (PFSP) is the responsibility of the port facility security officer (PFSO). While the PFSO need not necessarily personally undertake all the duties associated with the post, the ultimate responsibility for ensuring that they arc properly performed remains with the individual PFSO.
16.2 The content of each individual PFSP should vary depending on the particular circumstances of the port facility, or facilities, it covers. The port facility security assessment (PFSA) will have identified the particular features of the port facility and of the potential security risks that have led to the need to appoint a PFSO and to prepare a PFSP. The preparation of the PFSP will require these features, and other local or national security considerations, to be addressed in the PFSP and for appropriate security measures to be established so as to minimise the likelihood of a breach of security and the consequences of potential risks. Contracting Governments may prepare advice on the preparation and content of a PFSP.
16.3 All PFSPs should:
16.4 Preparation of an effective PFSP will rest on a thorough assessment of all issues that relate to the security of the port facility, including, in particular, a thorough appreciation of the physical and operational characteristics of the individual port facility.
16.5 Contracting Governments should approve the PFSPs of the port facilities under their jurisdiction. Contracting Governments should develop procedures to assess the continuing effectiveness of each PFSP and may require amendment of the PFSP prior to its initial approval or subsequent to its approval. The PFSP should make provision for the retention of records of security incidents” and threats, reviews, audits, training, drills and exercises as evidence of compliance with those requirements.
16.6 The security measures included in the PFSP should be in place within a reasonable period of the PFSP’s approval and the PFSP should establish when each measure will be in place. If there is likely to be any delay in their provision, this should be discussed with the Contracting Government responsible for approval of the PFSP and satisfactory alternative temporary security measures that provide an equivalent level of security should be agreed to cover any interim period.
16.7 The use of firearms on or near ships and in port facilities may pose particular and significant safety risks, in particular in connection with certain dangerous or hazardous substances, and should be considered very carefully. In the event that a Contracting Government decides that it is necessary to use armed personnel in these areas, that Contracting Government should ensure that these personnel are duly authorized and trained in the use of their weapons and that they are aware of the specific risks to safety that are present in these areas. If a Contracting Government authorizes the use of firearms they should issue specific safety guidelines on their use. The PFSP should contain specific guidance on this matter, in particular with regard its application to ships carrying dangerous goods or hazardous substances.
Organization and performance of port facility security duties
16.8 In addition to the guidance given under paragraph 16.3, the PFSP should establish the following, which relate to all security levels:
16.9 The remainder of section 16 addresses specifically the security measures that could be taken at each security level covering:
Access to the port facility
16.10 The PFSP should establish the security measures covering all means of access to the port facility identified in the PFSA.
16.11 For each of these the PFSP should identify the appropriate locations where access restrictions or prohibitions should be applied for each of the security levels. For each security level the PFSP should specify the type of restriction or prohibition to be applied and the means of enforcing them.
16.12 The PFSP should establish for each security level the means of identification required to allow access to the port facility and for individuals to remain within the port facility without challenge. This may involve developing an, appropriate identification system, allowing for permanent and temporary identifications, for port facility personnel and for visitors respectively. Any port facility identification system should, when it is practicable to do so, be co-ordinated with that applying to ships that regularly use the port facility. Passengers should be able to prove their identity by boarding passes, tickets, etc., but should not be permitted access to restricted areas unless supervised. The PFSP should establish provisions to ensure that the identification systems are regularly updated, and that abuse of procedures should be subject to disciplinary action.
16.13 Those unwilling or unable to establish their identity and/or to confirm the purpose of their visit when requested to do so should be denied access to the port facility and their attempt to obtain access should be reported to the PFSO and to the national or local authorities with security responsibilities.
16.14 The PFSP should identify the locations where persons, personal effects, and vehicle searches are to be undertaken. Such locations should be covered to facilitate continuous operation, regardless of prevailing weather conditions, in accordance with the frequency laid down in the PFSP. Once subjected to search, persons, personal effects and vehicles should proceed directly to the restricted holding, embarkation or car loading areas.
16.15 The PFSP should establish separate locations for checked and unchecked persons and their effects and if possible separate areas for embarking/disembarking passengers, ship’s personnel and their effects to ensure that unchecked persons are not able to come in contact with checked persons.
16.16 The PFSP should establish the frequency of application of any access controls, particularly if they are to be applied on a random or occasional, basis.
Security level 1
16.17 At security level 1, the PFSP should establish the control points where the following security measures may be applied:
16.18 At security level I, all those seeking access to the port facility should be liable to search. The frequency of such searches, including random searches, should be specified in the approved PFSP and should be specifically approved by the Contracting Government. Unless there are clear security grounds for doing so, members of the ship’s personnel should not be required to search their colleagues or their personal effects. Any such search shall be undertaken in a manner which fully takes into account the human rights of the individual and preserves their basic human dignity.
Security level 2
16.19 At security level 2, the PFSP should establish the additional security measures to be applied, which may include:
Security level 3
16.20 At security level 3, the port facility should comply with instructions issued by those responding to the security incident or threat thereof. The PFSP should detail .the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include:
Restricted areas within the port facility
16.21 The PFSP should identify the restricted areas to be established within the port facility and specify their extent, times of application, the security measures to be taken to control access to them and those to be taken to control activities within them. This should also include, in appropriate circumstances, measures to ensure that temporary restricted areas are security swept both before and after that area is established. The purpose of restricted areas is to:
16.22 The PFSP should ensure that all restricted areas have clearly established security measures to control;
16.23 The PFSP should provide that all restricted areas should be clearly marked, indicating that access to the area is restricted and that unauthorized presence within the area constitutes a breach of security.
16.24 When automatic intrusion-detection devices arc installed they should alert a control centre which can respond to the triggering of an alarm.
16.25 Restricted areas may include:
16.26 The security measures may extend, with the agreement of the relevant authorities, to restrictions on unauthorized access to structures from which the port facility can be observed.
Security level 1
16.27 At security level 1, the PFSP should establish the security measures to be applied to restricted areas, which may include:
Security level 2
16.28 At security level 2, the PFSP should establish the enhancement of the frequency and intensity of the monitoring of, and control of access to, restricted areas. The PFSP should establish the additional security measures, which may include:
Security level 3
16.29 At security level 3, the port facility should comply with the instructions issued by thoS4 responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility in close co-operation with those responding and the ships at the port facility, which may include:
Handling of cargo
16.30 The security measures relating to cargo handling should:
16.31 The security measures should include inventory control procedures at access points to the port facility. Once within the port facility, cargo should be capable of being identified as having been checked and accepted for loading onto a ship or for temporary storage in a restricted area while awaiting loading. It may be appropriate to restrict the entry of cargo to the port facility that does not have a confirmed date for loading.
Security level 1
16.32 At security level 1, the PFSP should establish the security measures to be applied during cargo handling which may include:
16.33 Checking of cargo may be accomplished by some or all of the following means:
16.34 When there are regular or repeated cargo movements, the CSO or the SSO may, in consultation with the port facility, agree arrangements with shippers or others responsible for such cargo covering off-site, checking, sealing, scheduling, supporting documentation, etc. Such arrangements should be communicated to and agreed with the PFSO concerned.
Security level 2
16.35 At security level 2, the PFSP should establish the additional security measures to be applied during cargo handling to enhance control, which may include:
16.36 Detailed checking of cargo may be accomplished by some or all of the following means:
Security level 3
16.37 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility in close co-operation with those responding and the ships at the port facility, which may include:
the port facility and their location.
Delivery of ship’s stores
16.38 The security measures relating to the delivery of ship’s stores should:
16.39 For ships regularly using the port facility it may be appropriate to establish procedures involving the ship, its suppliers and the port facility covering notification and timing of deliveries and their documentation. There should always be some way of confirming that stores presented for delivery are accompanied by evidence that they have been ordered by the ship.
Security level 1
16.40 At Security level 1, the PFSP should establish the security measures to be applied to control the delivery of ship’s stores, which may include:
16.41 Checking of ship’s stores may be accomplished by some or aU of the following means:
Security level 2
16.42 At security level 2, the PFSP should establish the additional security measures to be applied to enhance the control of the delivery of ship’s stores, which may include:
16.43 Detailed checking of ship’s stores may be accomplished by some or all of the following means:
Security level 3
16.44 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include preparation for restriction, or suspension, of the delivery of ship’s stores within all, or part, of the port facility.
Handling unaccompanied baggage
16.45 The PFSP should establish the security measures to be applied to ensure that unaccompanied baggage (i.e. any baggage, including personal effects, which is Dot with the passenger or member of ship’s personnel at the point of inspection or search) is identified and subjected to appropriate screening, including searching, before is allowed in the port facility and, depending on the storage arrangements, before it is transferred between the port facility and the ship. It is not envisaged that such baggage will be subjected to screening by both the port facility and the ship, and in. cases where both are suitably equipped; the responsibility for screening should rest with the port facility. Close co-operation with the ship is essential and steps should be taken to ensure that unaccompanied baggage is handled securely after screening.
Security level 1
16.46 At security level 1, the PFSP should establish the security measures to be applied when handling unaccompanied baggage to ensure that unaccompanied baggage is screened or searched up to and including 100 percent, which may include use of x-ray screening.
Security level 2
16.47 At security level 2, the PFSP should establish the additional security measures to be applied when handling unaccompanied baggage which should include 100 percent x-ray screening of all unaccompanied baggage.
Security level 3
16.48 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility in dose co-operation with those responding and the ships at the port facility, which may include:
Monitoring the security of the port facility
16.49 The port facility security organization should have the capability to monitor the port facility and its nearby approaches, on land and water, at all times, including the night hours and periods of limited visibility, the restricted areas within the port facility, the ships at the port facility and areas surrounding ships. Such monitoring can include use of:
16.50 When used, automatic intrusion-detection devices should activate an audible and/or visual alarm at a location that is continuously attended or monitored.
16.51 The PFSP should establish the procedures and equipment needed at each security level and the means of ensuring that monitoring equipment will be able to perform continually, including consideration of the possible effects of weather or of power disruptions.
Security level 1
16.52 At security level 1, the PFSP should establish the security measures to be applied, which may be a combination of lighting, security guards or use of security and surveillance equipment to allow port facility security personnel to:
Security level 2
16.53 At security level 2, the PFSP should establish the additional security measures to be applied to enhance the monitoring and surveillance capability, which may include:
Security level 3
16.54 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility in close co-operation with those responding and the ships at the port facility, which may include:
Differing security level
16.55 The PFSP should establish details of the procedures and security measure the port facility could adopt if the port facility is at a lower security level than that applying to a ship.
Activities not covered by the Code
16.56 The PFSP should establish details of the procedures and security measure the port facility should apply when:
Declarations of Security
16.57 The PFSP should establish the procedures to be followed when, on the instructions of the Contracting Government, the PFSO requests a Declaration of Security (DOS) or when a DOS is requested by a ship.
Audit, review and amendment
16.58 The PFSP should establish how the PFSO intends to audit the continued effectiveness of the PFSP and the procedure to be followed to review, update or amend the PFSP.
16.59 The PFSP should be reviewed at the discretion of the PFSO. In addition it should be reviewed:
16.60 The PFSO can recommend appropriate amendments to the approved plan following any review of the plan. Amendments to the PFSP relating to:
Approval of port facility security plans
16.61 PFSPs have to be approved by the relevant Contracting Government, which should establish appropriate procedures to provide for;
Statement of Compliance of a Port Facility
16.62 The Contracting Government within whose territory a port facility is located may issue an appropriate Statement of Compliance of a Port Facility (SoCPF) indicating:
16.63 The Statement of Compliance of a Port Facility should be in the form set out in the appendix to this Part of the Code. If the language used is not Spanish, French or English, the Contracting Government, if it considers it appropriate, may also include a translation into one of these languages.
17 PORT FACILITY SECURITY OFFICER
General
17.1 In those exceptional instances where the ship security officer has ‘questions about the validity of identification documents of those seeking to board the ship for official purposes, the port facility security officer should assist.
17.2 The port facility security officer should not be responsible for routine confirmation of the identity of those seeking to board the ship.
In addition, other relevant guidance is provided under sections15, 16 and 18.
Training
18.1 The port facility security officer should have knowledge and receive training, in some or all of the following, as appropriate:
18.2 Port facility personnel having specific security duties should have knowledge and receive training in some or all of the following, as appropriate:
18.3 All other port facility personnel should have knowledge of and be familiar with relevant provisions of the port facility security plan in some or all of the following, as appropriate:
Drills and exercises
18.4 The objective of drills and exercises is to ensure that port facility personnel are proficient in all assigned security duties, at all security ‘levels, and to identify any security-related deficiencies which need to be addressed.
18.5 To ensure the effective implementation of the provisions of the port facility security plan, drills should be conducted at least every three months unless the specific circumstances dictate otherwise. These drills should test individual elements of the plan such as those security threats listed in paragraph 15.11.
18.6 Various types of exercises, which may include participation of port facility security officers, in conjunction with relevant authorities of Contracting Governments, company security officers, or ship security officers, if available, should be carried out at least once each calendar year with no more than 18 months between the exercises. Requests for the participation of company security officers or ship security officers in joint exercises should be made, bearing in mind the security and work implications for the ship. These exercises should test communication, co-ordination, resource availability and response. These exercises may be:
19 VERIFICATION AND CERTIFICATION FOR SHIPS
No additional guidance.
THIS IS TO CERTIFY that the compliance of this port facility with the provisions of chapter XI- 2 and part A of the International Code for the Security of Ships and of Port Facilities (ISPS Code) has been verified and that this port facility operates in accordance with the approved port facility security plan. This plan has been approved for the following <specify the types of operations, types of ship or activities or other relevant information> (delete as appropriate):
Passenger ship
Passenger high-speed craft
Cargo high-speed craft
Bulk carrier
Oil tanker
Chemical tanker
Gas carrier
Mobile offshore drilling units
Cargo ships other than those referred to above
This Statement of Compliance is valid until ………………………………………………..subject to verifications (as indicated overleaf) .
Issued at………………………………………………………………………………
(place of issue of the statement)
Date of issue………………………………………………………………………………………
(Signature of the duly authorized official issuing the document)
(Seal or stamp of issuing authority, as appropriate)
30th Day of June, 2004