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1

MARITIME SECURITY

REGULATIONS

SOLAS AND ISPS CODE

2

BACKGROUND


3

BACKGROUND

11

September

2001


4

AMENDMENTS TO
SOLAS

5

ACCELERATED

AIS IMPLEMENTATION

The

existing

SOLAS

Reg
.

V/
19
.
2
.
4

(effective

1
st

July

2002
)

requires

AIS

installation

on

new

and

existing

ships
.


The

applicability

date

for

existing

ships

on

international

voyages,

is

spread

over

a

period

from

1

July

2003

to

1

July

2007

depending

on

ship

type

and

size
.


6

ENHANCED SECURITY
REGULATIONS IN SOLAS

Existing

SOLAS

Chapter

XI

“Special

Measures

to

Enhance

Maritime

Safety”

renumbered

as

XI
-
1
;

with

amendments

to

Reg
.

3

“Ship

identification

number”

and

addition

of

a

new

Reg
.

5

“Continuous

synopsis

record”
.


7

Chapter (XI re
-
numbered)
XI/1

Reg
.

3

amendment



Ship

identification

number

to

be

marked

permanently

(on

existing

ships

at

1
st

scheduled

dry
-
dock

after

1

July

2004
)

in

a

visible

and

in

an

easily

accessible

place
.


New

Reg
.

5



All

ships

to

be

issued

with

a

continuous

synopsis

record

intended

to

provide

an

on
-
board

record

of

the

history

of

the

ship
.

On

existing

ships

the

record

shall

provide

history,

at

least,

as

from

1

July

2004
.


8

Chapter (XI re
-
numbered) XI/1

Continuous

Synopsis

Record

:

To

be

issued

by

the

Administration

to

each

ship

under

its

flag

In

case

of

changes,

Administration

to

issue

amended

record


To

be

kept

on

board

and

available

for

inspection

at

all

times

9

NEW CHAPTER XI/2


The

new

Chapter

XI
-
2

titled



Special

Measures

to

Enhance

Maritime

Security”


Has

13

regulations

on

security

related

requirements

for

ships

and

ports
.

Refers

to

the

ISPS

Code

Parts

A

and

B

10

3. OBLIGATIONS OF CONTRACTING
GOVERNMENTS WITH RESPECT TO
SECURITY

ADMs

shall

set

security

levels

and

ensure

that

information

on

security

levels

is

provided

to

ships

under

their

flag
.

CGs

shall

set

security

levels

and

ensure

that

information

on

security

levels

is

provided

to

port

facilities

within

their

territory,

and

to

ships

prior

to

entering

a

port

or

whilst

in

a

port

within

their

territory
.

11

4. REQUIREMENTS FOR COMPANIES AND
SHIPS

Companies

and

ships

:

Compliance

with

relevant

parts

of

this

chapter

and

ISPS

Code

Part

A

Guidance

in

ISPS

Code

Part

B

to

be

taken

into

account


Ships

:

Compliance

to

be

verified

and

certified

as

provided

for

in

ISPS

Code

Part

A
.

12

6. SHIP SECURITY ALERT SYSTEM

Required

to

be

provided

on


All

ships

constructed

on

or

after

1

July

2004

Ships

constructed

before

1

July

2004

:

Oil

&

chemical

tankers,

gas

&

bulk

carriers,

and

cargo

HS

craft,

of



500

GT
;

Passenger

ships

including

HS

passenger

craft
;

not

later

than

the

1
st

survey

of

radio

installation

after

1

July

2004


other

cargo

ships

of



500

GT

and

mobile

offshore

drilling

units
;

not

later

than

the

1
st

survey

of

radio

installation

after

1

July

2006


13

6. SHIP SECURITY ALERT SYSTEM

Shall

initiate

&

transmit

alert

to

a

competent

authority

designated

by

ADM

Shall

identify

ship,

its

location

and

indicate

that

ship’s

security

is

under

threat

Shall

not

send

the

alert

to

any

other

ship

nor

raise

alarm

on

board

Shall

continue

the

alert

until

deactivated

or

reset


Have

activation

possible

from

bridge

&

at

least

one

other

location

14

7. THREATS TO SHIPS

CGs

shall,

for

ships

operating

in

or

having

communicated

an

intention

to

enter

their

territorial

sea

:

Ensure

provision

of

security

level

information

Provide

a

point

of

contact

for

ships

to

request

advice

or

assistance

report

any

security

concerns

about

other

ships,

movements

or

communications

15

7. THREATS TO SHIPS

Where

a

risk

of

attack

has

been

identified,

the

CGs

shall

advise

the

ships

concerned

and

their

administrations

of

Current

security

level

Security

measures

that

the

coastal

state

has

decided

to

put

in

place

and

those

that

the

ships

concerned

should

put

in

place
.

16

8. MASTER’S DISCRETION FOR SHIP

SECURITY

Master

shall

not

be

constrained,

by

the

Company

or

others,

from

taking

or

executing

any

decision

which,

in

his

professional

judgement,

is

necessary

to

maintain

the

ship’s

safety

and

security
.

This

includes

denial

of

access

to

persons

(except

those

identified

as

duly

authorized

by

a

CG)

or

their

effects,

refusal

to

load

cargo

including

containers

or

other

closed

cargo

transport

units
.


17

9. CONTROL AND COMPLIANCE MEASURES

Controls

for

ships

in

a

port

of

another

CG

:

Such

ships

are

subject

to

control

by

officers

duly

authorized

by

that

CG,

who

may

be

same

as

those

carrying

out

functions

of

Reg
.

I/
19
.

Such

controls

shall

be

limited

to

verifying

availability

on

board,

of

a

valid

ISSC

or

Interim

ISSC

issued

under

provisions

of

Part

A

of

ISPS

Code
.

18

9. CONTROL AND COMPLIANCE MEASURES

A

valid

certificate

shall

be

accepted

unless

there

are

clear

grounds


for

believing

that

the

ship

is

not

in

compliance

with

requirements

of

this

chapter

or

Part

A

of

ISPS

Code
.


Where

no

valid

cert

is

produced

or

when

there

are

such

clear

grounds
,

the

officers

duly

authorized

may

impose

control

measures
.

Such

measures

must

be

proportionate,

taking

into

account

guidance

in

Part

B

of

ISPS

Code
.


19

9. CONTROL AND COMPLIANCE MEASURES

Possible

control

measures

:

Inspection

of

the

ship


Delaying

or

detention

of

the

ship

Restrictions

of

operations

including

movement

within

port


Expulsion

from

port

Additionally

or

alternatively,

other

lesser

administrative

or

corrective

measures
.

20

9. CONTROL AND COMPLIANCE MEASURES

9
.
2

Ships

intending

to

enter

a

port

of

another


CG

:


May

be

required

to

provide

relevant

information

to

officers

duly

authorized,

before

entering

the

port
.

Such

information

includes

the

following

:

Confirmation

of

possession

of

valid

certificate

Current

security

level

on

board

Security

level

operated

in

and

any

special

or

additional

security

measures

taken

in

any

previous

port

Other

practical

security

related

information


21

9 CONTROL AND COMPLIANCE MEASURES

Master

may

decline

to

provide

the

information

requested

on

the

understanding

that

this

may

result

in

denial

of

entry

into

port
.


Ships

shall

keep

records

of

relevant

information

for

last

10

calls

at

PFs
.

If,

after

receiving

the

information,

officers

duly

authorized

have

clear

grounds

to

believe

that

the

ship

does

not

comply

with

this

chapter

os

ISPS

Part

A,

the

officers

shall

attempt

to

establish

communication

with

and

between

the

ship

&

its

ADM

with

a

view

to

rectify

the

non
-
compliance
.

22

10. REQUIREMENTS FOR PORT FACILITIES

PFs

to

comply

with

relevant

parts

of

this

chapter

and

ISPS

Code

Part

A
;

guidance

in

ISPS

Code

Part

B

to

be

taken

into

account

CGs

to

ensure

that

:

PF

security

assessments

are

carried

out,

reviewed

and

approved

in

accordance

with

provisions

of

Part

A

of

ISPS

Code


PFS

plans

are

developed,

reviewed,

approved

and

implemented

as

provided

for

in

ISPS

Code

Part

A


CGs

shall

designate

&

communicate

measures

to

be

addressed

in

PFS

plan

for

various

security

levels
;

including

when

a

Declaration

of

Security

is

to

be

submitted
.

23

11. ALTERNATIVE SECURITY AGREEMENTS

CGs

may

conclude

in

writing,

bilateral

or

multilateral

agreements

with

other

CGs

on

alternative

security

arrangements

covering

short

international

voyages

on

fixed

routes

between

port

facilities

within

their

territories
.

Such

agreements

shall

not

compromise

the

level

of

security

of

other

ships

or

of

port

facilities

not

covered

by

the

agreement
.

Any

ship

covered

by

such

an

agreement

shall

not

conduct

any

ship
-
to
-
ship

activities

with

any

ship

not

covered

by

the

agreement
.

24

12. EQUIVALENT SECURITY ARRANGEMENTS

Other

security

measures

equivalent

to

and

at

least

as

effective

as

those

prescribed

in

this

chapter

or

in

Part

A

of

ISPS

Code

may

be

allowed

:

By

an

Administration

on

a

particular

ship

or

a

group

of

ships

entitled

to

fly

its

flag


By

a

CG

in

a

particular

port

facility

or

a

group

of

port

facilities

located

within

its

territory,

other

than

those

covered

by

an

agreement

concluded

under

Reg
.

11

The

Administration

or

the

CG,

as

applicable,

shall

communicate

to

IMO

particulars

of

any

such

equivalent

measures

allowed
.

25

13. COMMUNICATION OF INFORMATION

Contracting

governments

shall,

not

later

than

1

July

2004
,

communicate

to

IMO

certain

relevant

information

and

thereafter

update

such

information

as

and

when

necessary
.

IMO

shall

circulate

such

particulars

to

other

CGs

for

the

information

of

their

officers
.

26

13. COMMUNICATION OF INFORMATION

1
.

Such

information

shall

include

names

and

contact

details

of

:

the

national

authority/authorities

responsible

for

ship

and

port

facility

security
;

including

those

designated

to

receive

&

act

upon

ship
-
to
-
shore

security

alerts


those

designated

to

receive

and

act

upon

any

communications

from

CGs

exercising

control

&

compliance

measures







……
.
Continued
……
..


27

13. COMMUNICATION OF INFORMATION

1
.

……
.
Continued
……
..


Those

designated

to

provide

advice

or

assistance

to

ships

and

to

whom

ships

can

report

any

security

concerns


(The

information

against

above

3

details

is

to

be

made

available

for

the

information

of

Companies

and

Ships)

any

RSO

authorized

to

act

on

their

behalf

and

the

details

of

the

specific

responsibility

and

conditions

of

authority

delegated

to

such

organizations


28

13. COMMUNICATION OF INFORMATION

2
.

CGs

shall

send,

to

IMO,

list

showing

the

approved

PFS

plans

for

the

PFs

located

within

their

territory

together

with

the

location

or

locations

covered

by

each

approved

PFS

plan
.

CGs

shall,

at

5

year

intervals

after

1

July

2004
,

communicate

to

IMO

a

revised

and

updated

list
.

IMO

shall

make

available

the

information

to

other

CGs

upon

request
.

29

13. COMMUNICATION OF INFORMATION

3
.

CGs

shall

communicate

to

IMO

information

on

agreements

concluded

under

Regulation

11

and

any

amendments

or

ending

of

such

agreement
.


4
.

Any

CG

which

allows

any

equivalent

security

arrangements

with

respect

to

a

ship

or

with

respect

to

a

port

facility

shall

communicate

to

IMO

particulars

thereof
.


30

ISPS CODE

GENERAL

31

ISPS Code
-

Objectives

To

establish

An

international

framework

involving

co
-
operation

between

CGs,

Govt

agencies,

local

administrations

and

shipping

&

port

industries

to

detect

security

threats

and

take

preventive

measures
.

To

establish

respective

roles

and

responsibilities

of

CGs,

Govt

agencies,

local

administrations

and

shipping

&

port

industries
.


32

ISPS Code


Functional requirements

Gathering

&

assessing

information

on

security

threats

&

exchanging

it

with

appropriate

CGs
.

Requiring

maintenance

of

communication

protocols

for

ships

&

PFs

Preventing

unauthorized

access

to

ships,

PFs

&

their

restricted

areas
.

Preventing

introduction

of

unauthorized

weapons,

incindiary

devices

or

explosives

to

ships

or

PFs
.

33

ISPS Code


Functional requirements

Providing

means

for

raising

alarm

in

reaction

to

security

incidents
.

Requiring

ship

&

PF

security

plans

based

upon

security

assessments
.

Requiring

training,

drills

and

exercises

to

ensure

familiarity

with

security

plans

and

procedures
.


34

ISPS Code


Responsibilities of CGs

CGs

have

the

overall

responsibility

for

maritime

security

regime

in

their

areas

of

jurisdiction
.

For

port

facilities,

CGs

will

identify

the

organization(s)

or

the

administration(s),

within

the

Contracting

Government,

as

“designated

authority”
.

Maritime

Administrations

would

normally

have

the

responsibilities

in

respect

of

security

of

ships

under

their

flag
.

35

ISPS Code


Responsibilities of CGs

CGs

shall

set

security

levels

&

provide

guidance

for

protection

from

security

incidents
.

Factors

to

be

considered

in

setting

levels

:

The

degree

that

the

threat

information

is

credible

The

degree

that

the

threat

information

is

corroborated

The

degree

that

the

threat

information

is

specific

or

imminent


The

potential

consequences

of

such

a

security

incident

36

ISPS Code


Responsibilities of CGs

Duties

of

CGs,

under

Chp

XI
-
2

and

ISPS

Code

Part

A,

that

can

not

be

delegated

to

RSO

:

Setting

of

security

level

Approving

a

PFS

Assessment

and/or

a

PFS

Plan

and

subsequent

amendments

Determining

which

PFs

require

to

designate

PFSO

Exercising

control

&

compliance

measures


Establishing

the

requirements

for

a

Declaration

of

Security

37

ISPS Code


Declaration of security

Declaration

of

security

:

CGs

shall

determine

when

it

is

required

by

assessing

the

risk

the

ship/port

interface

or

ship

to

ship

activity

poses

to

people,

property

or

the

environment

A

ship

may

request

completion

of

DOS

To

be

completed

by

the

master

or

the

SSO

on

behalf

of

ship

AND

PFSO

or

any

other

body

identified

by

CG

on

behalf

of

port

facility


38

ISPS CODE

SHIP SECURITY

39

COMPANY RESPONSIBILITIES
-

OVERALL

Ensure

that

the

Company

and

ships

comply

with

relevant

requirements

of

SOLAS

Chapter

XI
-
2

and

of

Part

A

of

the

ISPS

Code,

taking

into

account

the

guidance

given

in

Part

B

of

the

ISPS

Code
.

Ensure

that

compliance

by

ships

is

verified

and

certified

as

provided

for

in

part

A

of

ISPS

Code
.

40

COMPANY RESPONSIBILITIES
-

SPECIFIC

Designate

a

company

security

officer

(CSO)
.

Designate

a

ship

security

officer

(SSO)

on

each

ship
.

Ensure

that

CSO,

appropriate

shore
-
based

Company

personnel

and

the

SSO

receive

the

necessary

training
.

41

COMPANY RESPONSIBILITIES
-

SPECIFIC

Ensure

availability

with

ship’s

Master,

at

all

times,

of

following

information

(updated

and

kept

current)

:

Who

is

responsible

for

appointing

the

crew

members

or

others

employed

or

engaged

on

the

ship

in

any

capacity

on

the

business

of

that

ship

Who

is

responsible

for

deciding

employment

of

the

ship

When

ship

is

employed

under

the

terms

of

charter

party(ies),

who

are

the

parties

to

such

charter

party(ies)

42

COMPANY RESPONSIBILITIES
-

SPECIFIC

Establish

in

the

ship

security

plan

that

the

master

has

the

overriding

authority

and

responsibility

:

To

make

decisions

with

respect

to

the

security

of

the

ship

To

request

the

assistance

of

the

Company

or

of

any

Contracting

Government

as

may

be

necessary

Ensure

that

CSO,

the

Master

of

the

ship

and

SSO

are

given

the

necessary

support

to

fulfill

their

duties

and

responsibilities
.

43

COMPANY RESPONSIBILITIES
-

SPECIFIC

Ensure

that

internal

audits

of

security

activities

are

carried

out

at

planned

intervals,

findings

are

reviewed

and

that

appropriate

corrective

measures

are

taken,

where

necessary

Ensure

following

is

installed

on

ships

by

the

applicable

date

:

equipment

required

by

SOLAS

&

ISPS

Code

other

equipment

considered

necessary

consequent

to

ship

security

assessments

44

ISPS Code


Ship Security Assessment


CSO

to

ensure

that

SSA

is

carried

out

by

persons

with

appropriate

skills

to

evaluate

the

security

of

a

ship

RSO

may

carry

out

SSA

SSA

shall

be

documented,

reviewed

&

retained

by

the

Company

SSA

shall

include

an

on
-
scene

security

survey


……
continued

……

45

ISPS Code


Ship Security Assessment

SSA

shall

include

at

least

the

i
dentification

of

:

existing

security

measures,

procedures

and

operations


and

evaluation

of

key

shipboard

operations

possible

threats

to

such

operations

and

the

likelihood

of

their

occurrence,

in

order

to

establish

and

prioritise

security

measures


identification

of

weaknesses,

including

human

factors

in

the

infrastructure,

policies

&

procedures


46

ISPS Code


Ship security plan

ADM

to

approve

RSO

may

prepare

SSP

for

a

specific

ship

ADM

may

entrust

review

&

approval

of

SSP

or

its

amendments

to

RSO

(

Provided

that

RSO

is

not

involved

in

either

preparing

the

SSA

or

SSP

or

amendments)

Shall

be

available

on

board

and

protected

from

unauthorized

access

or

disclosure

Not

subject

to

inspection

under

control

&

compliance

measures

47

ISPS Code
-

Records


Records

of

following

activities

addressed

in

SSP

shall

be

maintained

on

board

:

Training,

drills

&

exercises

Security

threats,

security

incidents

&

breaches

of

security

Changes

in

security

level

Communications

relating

to

the

direct

security

of

the

ship

such

as

specific

threats

to

the

ship

or

to

port

facilities

the

ship

is

at

or

has

been


……
continued
……


48

ISPS Code
-

Records

……
continued
……


Internal

audits

&

reviews

of

security

activities

Periodic

review

of

the

SSA

Periodic

review

of

the

SSP

Implementation

of

any

amendments

to

the

plan

Maintenance,

calibration

and

testing

of

security

equipment,

if

any

including

testing

of

the

ship

security

alert

system

49

ISPS Code


CSO and SSO

CSO

and

SSO

:

Company

shall

designate

a

person

or

persons

as

CSO

and

clearly

identify

for

which

ship/s

each

person

is

responsible
.

CSO

&

appropriate

shore
-
based

personnel

shall

have

knowledge

and

have

received

training
.

A

SSO

shall

be

designated

for

each

ship
.

He

shall

have

knowledge

and

have

received

training
.

50

Security Co
-
ordinator

at HQ

SSOs for Ships

in Group A

CSO for Ships

in Group A

CSO for Ships

in Group B

SSOs for Ships

in Group B

COMPANY

(Top Mgmt.)

51

ISPS Code


Training, drills & exercises
on ship security

Drills

shall

be

carried

out

at

appropriate

intervals

to

ensure

effective

implementation

of

the

SSP,

taking

into

account

:

Ship

personnel

changes

PFs

to

be

visited

Other

relevant

circumstances

CSO

shall

ensure

effective

coordination

&

implementation

of

SSP

by

participating

in

the

exercises

at

appropriate

intervals
.

53

Thank you!