MARITIME SECURITY
REGULATIONS
SOLAS AND ISPS CODE
1
BACKGROUND
2
BACKGROUND
11 September 2001
3
AMENDMENTS TO
SOLAS
4
ACCELERATED
AIS IMPLEMENTATION
The existing SOLAS Reg. V/19.2.4
(effective 1st July 2002) requires AIS
installation on new and existing ships.
The applicability date for existing ships on
international voyages, is spread over a
period from 1 July 2003 to 1 July 2007
depending on ship type and size.
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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”.
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Chapter (XI re-numbered)
XI/1
Reg. 3 amendment – Ship identification number
to be marked permanently (on existing ships at
1st scheduled dry-dock after 1 July 2004) in a
visible and in an easily accessible place.
New Reg. 5 – All ships to be issued with a
continuous synopsis record intended to provide
an on-board record of the history of the ship.
On existing ships the record shall provide
history, at least, as from 1 July 2004.
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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
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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
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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.
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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.
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6. SHIP SECURITY ALERT SYSTEM
Required to be provided on
All ships constructed on or after 1 July 2004
Ships constructed before 1 July 2004 :
Oil & chemical tankers, gas & bulk carriers, and
cargo HS craft, of  500 GT; Passenger ships
including HS passenger craft; not later than the
1st survey of radio installation after 1 July 2004
other cargo ships of  500 GT and mobile offshore
drilling units; not later than the 1st survey of
radio installation after 1 July 2006
12
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
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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
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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.
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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.
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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.
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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.
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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.
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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
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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.
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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.
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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.
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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.
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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.
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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……..
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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
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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.
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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.
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ISPS CODE
GENERAL
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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.
31
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.
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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.
33
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.
34
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
35
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
36
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
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ISPS CODE
SHIP SECURITY
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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.
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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.
40
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)
41
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.
42
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
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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 ……
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ISPS Code
Ship Security Assessment
SSA shall include at least the identification of
:
existing security measures, procedures and
operations
and evaluation of key shipboard operations
possible threats to such operations and the
likelihood of their occurrence, in order to
establish and prioritise security measures
identification of weaknesses, including human
factors in the infrastructure, policies &
procedures
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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
46
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……
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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
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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.
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SSOs for Ships
in Group A
CSO for Ships
in Group A
Security Co-ordinator
at HQ
SSOs for Ships
in Group B
COMPANY
(Top Mgmt.)
CSO for Ships
in Group B
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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.
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Thank you!
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