Guide to Maritime Security and the ISPS Code, 2012 Edition (KA116E) (eBook)

Published Date

May 2012


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Guide to Maritime Security and the ISPS Code, 2012 Edition (KA116E) (eBook)

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This Guide provides Government and industry practitioners responsible for the implementation, verification, compliance with, and enforcement of, the provisions of SOLAS chapter XI-2 and the ISPS Code. It should also serve as an aid and reference for those engaged in delivering capacity-building activities in the field of maritime security.

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This Guide has been developed to consolidate existing IMO maritime security-related material into an easily read companion guide to SOLAS chapter XI-2 and the ISPS Code in order to assist States in promoting maritime security through development of the requisite legal framework, associated administrative practices, procedures and the necessary material, technical and human resources.

 

Includes an ADD-IN application to edit the forms in appendices.

Foreword

 

Section 1 – Introduction

1.1 Purpose of the Guide

1.2 Structure

1.3 Sources

1.4 Overview of the Maritime Security Measures

Origins

The SOLAS Convention

The SOLAS amendments 2002

Conference resolutions

The Maritime Security Measures in brief

Milestones

1.5 Benefits of, and challenges in, implementing the Maritime Security Measures

1.6 Maintaining security awareness

Introduction

Security awareness programmes

1.7 Abbreviations

1.8 Definitions

Appendix 1.1 – Cross-reference of Government and industry responsibilities

Appendix 1.2 – IMO Guidance material on Maritime Security Measures, 1986–2011

Appendix 1.3 – Websites showing security awareness programmes

 

Section 2 – Security responsibilities of Governments and their national authorities

2.1 Introduction

2.2 National legislation

Introduction

Experience to date

Legislating for the Maritime Security Measures

Extending the application of the Maritime Security Measures

2.3 Organizations within Government

Organizational structures

Delegation of responsibility

2.4 Government co-ordination mechanisms

Introduction

National maritime security framework/strategy

National maritime security committees

Participation in international and regional organizations

2.5 Recognized security organizations

Introduction

Permitted delegations

Authorization

Oversight

Experience to date

2.6 Security levels

Introduction

Setting the security level

Communicating the security level

2.7 Declarations of Security

Introduction

Establishing the requirement for a DoS

Government-to-Government agreement

Continuous Declarations of Security

Exclusive Economic Zone and Continental Shelf

Retention

Request by a port facility

Request by a ship

2.8 Port facility security responsibilities

Designating port facilities

Port facility boundaries

Notification

Non-SOLAS port facilities

Port security committees

Port facility security officers

Port facility security assessments

Port facility security plans

Security records

Review of an approved PFSP

Amendments to an approved PFSP

Internal audits

Security measures and procedures

Statement of Compliance

2.9 Ship security responsibilities

Appointment and qualifications of security personnel

Ship security assessments

Ship security plans

Reporting security system or equipment failures

Interdiction at sea

Preserving evidence following a security incident

Reporting security incidents

Security records

Internal audits

Security measures and procedures

Continuous Synopsis Records

Manning levels

2.10 International Ship Security Certificates

Introduction

Issuance

Verifications

Duration of validity

Loss of validity

Remedial actions

Ship out of service

Interim International Ship Security Certificates

Ship inspections

2.11 Control and compliance measures

Introduction

Duly authorized officers

Pre-arrival information procedures

Clear grounds

Ship inspection in port

Notifications

Immediate security threat

Experience to date

2.12 Ship security communications

Requirement for alert and identification systems

Ship security alert systems

Automatic identification systems

Pre-arrival notification

Long-range identification and tracking of ships

2.13 Alternative security agreements

Introduction

Application

Procedure

Review

Experience to date

2.14 Equivalent security arrangements

2.15 Enforcement actions

Introduction

Stepped approach

Counselling

Formal notification

Serious security deficiencies

Restriction or suspension of activities

Suspension or withdrawal of an approved PFSP or SSP

Imposition of penalties

2.16 Training of Government officials with security responsibilities

Introduction

Duties of officials

Training requirements

Code of conduct

Identification documents

2.17 National oversight

Introduction

Seafarer access considerations

Port facility inspections

2.18 Additional security-related instruments and guidance issued by IMO

Introduction

Non-SOLAS vessels

Port security

SUA Convention

Offshore activities

Specific security issues

2.19 Information to IMO

Introduction

Global Integrated Shipping Information System

National contact points

Port facilities

National legislation

Additional information

Appendix 2.1 – Implementation questionnaire for Designated Authorities

Appendix 2.2 – Implementation questionnaire for Administrations

Appendix 2.3 – Criteria for selecting recognized security organizations

Appendix 2.4 – Sample of a port facility security plan approval form

Appendix 2.5 – Form of a Statement of Compliance of a port facility

Appendix 2.6 – Form of the International Ship Security Certificate

Appendix 2.7 – Form of the Interim International Ship Security Certificate

Appendix 2.8 – Sample of a ship security inspection checklist

Appendix 2.9 – Sample of a notice of non-compliance

Appendix 2.10 – Sample of a core training curriculum for officials in national authorities

Appendix 2.11 – Sample of a port facility security inspection report form

Appendix 2.12 – Details of national authority contact points

Appendix 2.13 – Details of port facilities

Appendix 2.14 – Report of the imposition of a control and compliance measure

 

Section 3 – Security responsibilities of port facility and port operators

3.1 Introduction

3.2 Security framework

Defining the port facility

Recognized security organizations

Alternative security agreements

Equivalent security arrangements

3.3 Changing security levels

3.4 Declarations of Security

3.5 Security personnel

Port facility security officers

Other port facility personnel with security-related duties

All other port facility personnel

Security clearances

3.6 Port facility security assessments

Introduction

Conducting PFSAs

Preparing PFSA reports

PFSA coverage of multiple facilities

Updating PFSAs

3.7 Port facility security plans

Introduction

Preparing and maintaining PFSPs

3.8 PFSP implementation

Introduction

Planning and conducting drills and exercises

Reporting security incidents

Information security

Shore access for seafarers and on-board visits to ships

Conducting self-assessments

Preventing unauthorized access

Effective security of cargo and ship’s stores

3.9 Port security

Introduction

Port security committees

Port security officers

Port security assessments

Port security plans

3.10 Guidelines for non-SOLAS marinas, ports and harbours

Appendix 3.1 – Declaration of Security form

Appendix 3.2 – Competency matrix for port facility security officers

Appendix 3.3 – Competency matrix for port facility personnel with security duties

Appendix 3.4 – Competency matrix for port facility personnel without security duties

Appendix 3.5 – Example of a port facility security assessment and plan approval process

Appendix 3.6 – Examples of internet sources of guidance material on preparing, updating and implementing port facility security plans

Appendix 3.7 – APEC Manual of maritime security drills and exercises for port facilities

Appendix 3.8 – Implementation checklist for port facility operators

 

Section 4 – Security responsibilities of ship operators

4.1 Introduction

4.2 Security framework

Extent of application of the Maritime Security Measures

Overview of shipping company responsibilities

Participation on port security committees

Recognized security organizations

Alternative security agreements

Equivalent security arrangements

4.3 Changing security levels

4.4 Declarations of Security

4.5 Ship security personnel

Introduction

Company security officers

Ship security officers

Shipboard personnel with designated security duties

All shipboard personnel

Security clearances

4.6 Ship security communications

Ship security alert systems

Automatic identification systems

Pre-arrival notification

Long-range identification and tracking systems

4.7 Ship security assessments

Introduction

Conducting and documenting SSAs

Preparing SSA reports

Updating SSAs

4.8 Ship security plans

Introduction

Preparing and maintaining SSPs

Planning and conducting ship security drills and exercises

Access to ships by Government officials, emergency response services and pilots

Shore leave and access to shore-based facilities by seafarers

Reporting security incidents

Maintaining on-board records

Conducting self-assessments

Reviewing and amending an approved SSP

4.9 The International Ship Security Certificate

4.10 Control and compliance measures

4.11 Guidelines for non-SOLAS vessels

Introduction

General guidance

Appendix 4.1 – Sample of a Declaration of Security form for a ship-to-ship interface

Appendix 4.2 – Competency matrix for company security officers

Appendix 4.3 – Competency matrix for ship security officers

Appendix 4.4 – Competency matrix for shipboard personnel with designated security duties

Appendix 4.5 – Competency matrix: Security awareness for all shipboard personnel

Appendix 4.6 – Standard data set of security-related pre-arrival information

Appendix 4.7 – Example of a ship security assessment and plan approval process

Appendix 4.8 – Examples of internet sources of guidance material on preparing and validating ship security plans

Appendix 4.9 – Implementation checklist for ship security personnel

Appendix 4.10 – Implementation checklist for shipping companies and their CSOs

Appendix 4.11 – General information on security practices for all non-SOLAS vessel operators

 

Section 5 – Framework for conducting security assessments

5.1 Introduction

5.2 Pre-assessment phase

Risk register

Establishing assessment teams

Process mapping

Inventory development

Methodology selection

5.3 Threat-assessment phase

5.4 Impact assessment phase

5.5 Vulnerability assessment phase

5.6 Risk-scoring phase

5.7 Risk-management phase

Appendix 5.1 – Examples of internet sources of security assessment methodologies

 

Resolutions of the Conference of Contracting Governments to the International Convention for the Safety of Life at Sea, 1974, adopted in December 2002

 

Conference resolution 1 – Adoption of amendments to the Annex to the International Convention for the Safety of Life at Sea, 1974

 

Conference resolution 2 – Adoption of the International Code for the Security of Ships and of Port Facilities

Preamble

 

ISPS Code

Foreword

 

Part A: Mandatory requirements regarding the provisions of chapter XI-2 of the Annex to the International Convention for the Safety of Life At Sea, 1974, as amended

1 General

2 Definitions

3 Application

4 Responsibilities of Contracting Governments

5 Declaration of Security

6 Obligations of the Company

7 Ship security

8 Ship security assessment

9 Ship security plan

10 Records

11 Company security officer

12 Ship security officer

13 Training, drills and exercises on ship security

14 Port facility security

15 Port facility security assessment

16 Port facility security plan

17 Port facility security officer

18 Training, drills and exercises on port facility security

19 Verification and certification for ships

 

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

2 Definitions

3 Application

4 Responsibilities of Contracting Governments

5 Declaration of Security

6 Obligations of the Company

7 Ship security

8 Ship security assessment

9 Ship security plan

10 Records

11 Company security officer

12 Ship security officer

13 Training, drills and exercises on ship security

14 Port facility security

15 Port facility security assessment

16 Port facility security plan

17 Port facility security officer

18 Training, drills and exercises on port facility security

19 Verification and certification for ships

 

Conference resolution 3 – Further work by the International Maritime Organization pertaining to the enhancement of maritime security

 

Conference resolution 4 – Future amendments to chapters XI-1 and XI-2 of the 1974 SOLAS Convention on special measures to enhance maritime safety and security

 

Conference resolution 5 – Promotion of technical co-operation and assistance

 

Conference resolution 6 – Early implementation of the special measures to enhance maritime security

 

Conference resolution 7 – Establishment of appropriate measures to enhance the security of ships, port facilities, mobile offshore drilling units on location and fixed and floating platforms not covered by chapter XI-2 of the 1974 SOLAS Convention

 

Conference resolution 8 – Enhancement of security in co-operation with the International Labour Organization

 

Conference resolution 9 – Enhancement of security in co-operation with the World Customs Organization

 

Conference resolution 10 – Early implementation of long-range ship’s identification and tracking

 

Conference resolution 11 – Human-element-related aspects and shore leave for seafarers

A​​s a specialized agency of the United Nations, IMO is the global standard-setting authority for the safety, security and environmental performance of international shipping. Its main role is to create a regulatory framework for the shipping industry that is fair and effective, universally adopted and universally implemented.  

In other words, its role is to create a level playing-field so that ship operators cannot address their financial issues by simply cutting corners and compromising on safety, security and environmental performance. This approach also encourages innovation and efficiency.

Shipping is a truly international industry, and it can only operate effectively if the regulations and standards are themselves agreed, adopted and implemented on an international basis. And IMO is the forum at which this process takes place.

Title: Guide to Maritime Security and the ISPS Code, 2012 Edition (KA116E) (eBook)
Number of Pages: 40
Product Code: MM1005EA
ISBN: ISBN 13: 9789280115444, ISBN 10: 9280115448
Published Date: May 2012
Author: IMO

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