Maritime Secxcurity - IsPS Code Intro

ISPS Code:
Responsibilities of Companies and

Contracting Governments
JASN05 Regulatory Shipping Law
LLM Maritime Law, Lund University Faculty of Law
4-5 October 2011
Dr. Max Mejia
Associate Professor
World Maritime University, Malm, Sweden
ISPS Code
Part A mandatory
Part B guidance/optional
Assoc. Prof. Maximo Q. Mejia Jr. Lund LLM Maritime Law JASN05 Regulatory Shipping Law 4-5 October 2011
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
General
Definitions
Application
Responsibilities of
contracting govts
Declaration of
security
Obligations of the
company
Ship security
Ship security
assessment
Ship security plan
Records
11. Company security

officer
12. Ship security officer
13. Training, drills, &
exercises on ship security
14. Port facility security
assessment
16. Port facility security plan
officer
18. Training, drills, &
exercises on port fac
security
19. Verification and
certification for ships
definition of company
"Company" means the owner of the ship or any

other organization or person such as the
manager, or the bareboat charterer, who has
assumed the responsibility for operation of the
ship from the shipowner and who, on assuming
such responsibility, has agreed to take over all
duties and responsibility imposed by the Code.
isps code: obligations of the company
The Company must
(sec 6.1) clearly emphasize in the

SSP, the masters overriding authority
in safety and security matters
(sec 6.2) give the necessary support
to CSO, master, and SSO
some good reasons for having a ship security plan
Moral
Practical
Legal
Commercial
isps code: company requirements
International Ship Security

Certificate (ISSC) for each ship
ISSC to be available onboard for
inspection at all times
COMPANY
CSO
XI-2
reqmts
sec
eqpt
SECURITY
SYSTEM
ship security
assessment
SSO
each
ship
security
procedures
on-scene
security
survey
SHIP
SECURITY
PLAN
master's overriding
authority
support & resources
marad approval
sec drills
&
exercises
VERIFICATION BY
ADMINISTRATION
available for
inspection at
all times
ISSC
proof of compliance with
XI-2 and ISPS Code
Max Mejia, WMU
cso: definition
(sec 2.1.7) Company security officer
means the person designated by
the Company for ensuring that
SSA is carried out
SSP is developed
Submit for approval
Implemented
Maintained
Liaison with PFSO and SSO

cso: duties & responsibilities
How many ships? (sec 11.2)

Duties & responsibilities (sec 11.2)
advising on the level of threats

ship security assessments
ship security plan
internal audits of security activities
(contd)
arranging for the initial and subsequent
verifications
address deficiencies and nonconformities
enhance security awareness and
vigilance
(contd)
ensure adequate training
ensuring effective communication and
co-operation between SSO & PFSO
balance between security and safety
ship-specific information
cso
In other words
ensure that someone in the shore
management team is designated
specifically to make sure that
everything that has anything to do
with security (read ISPS Code) gets
done
cso: ship security assessment
Who should carry out the ship security

assessment?
persons with appropriate skills (sec 8.2)
What to do with SSA once its done?

documented, reviewed, accepted and
retained by the Company (sec 8.5)
Individual ship / Sister ship / fleet
on scene security survey

shall, as a minimum address the following
(sec 8.4)
IDENTIFICATION of:
existing security measures

and evaluation of key ship board operations
important to protect
possible threats and likelihood of occurrence
weaknesses, including human factors in
infrastructure, policies, procedures
ssp: definition
(sec 2.1.6) Ship security plan means a
plan developed to ensure the
application of measures on board the
ship designed to
protect persons on board, cargo, cargo
transport units, ships stores or the ship
from the risks of a security incident
SSP
shall be written in the working
language(s) of the ship + English,
French or Spanish (IF)
shall address, at least, the following:
see sec. 9.4 + Part B
approved by, or on behalf of, flag
state
available onboard at all times
must be implemented
general information
about ship
contributing factors
trade pattern, route, ports, flag,
cargo and company
existing security
measures, equipment
threat evaluation and risk

assessments
assess weakness
on-scene security survey
identify any weakness
required amendments
producing a
ship security
plan
ship security assessment

to company for approval
Lloyds Register 2003

ship security plan
other company responsibilities

designate SSO on each ship
ensure that security drills and exercises
are carried out
provide support and resources to the
ship vis--vis security plan
sso: definition
(sec 2.1.6) Ship security officer

means the person, accountable to
the Master, designated by the
Company as responsible for
security of the ship
implementation & maintenance of SSP
liaison with CSO and PFSO
sso: duties & responsibilities

Duties & responsibilities (sec 12)
regular security inspections of the ship

implement of the SSP
co-ordinate the security aspects of the
cargo handling and ships stores with
shipboard & port facility personnel
propose modifications to the ship security
plan
report to the CSO any deficiencies and
non-conformities
sso: duties & responsibilities

(contd)
enhance security awareness and

vigilance
ensure training is given to shipboard
personnel
report all security incidents
co-ordinate implementation of SSO with
the CSO & PFSO
ensure that security equipment is properly
operated, tested, calibrated, maintained
security equipment
AIS
Ship Security Alert
System
Locks
Lighting
Handheld radios
GMDSS eqpt
CCTV
Metal detectors
Explosive
detectors
Burglar alarm
(auto intrusion
detection device)
Baggage
screening eqpt
Container x-ray
devices
General alarm
security equipment
Operation
Testing, Calibration, Maintenance
Changes (sec. 19.1, part A)
Failure (para. 9.6, part B)
CSO
SSO
PFSO
security procedures
At sea
Ship/port interface
the interactions that occur when a ship is
directly and immediately affected by
actions involving the movement of
persons, goods or the provisions of port
services to or from the ship
Security levels
Declaration of security
security levels
Security level
the qualification of the degree of risk that
a security incident will be attempted or
will occur
Who sets security levels?

Different levels?
security levels
Security level 1
normal : level at which ships and port

facilities normally operate.
Security level 2
heightened : level as long as there is a

heightened risk of a security incident.
Security level 3
exceptional : level for the period of time

when there is the probable or imminent risk of
a security incident.
Actions to be taken
Sec 7, 9, 14, 16 + Para 9, 16
Protocol when ship and port security

levels vary
declaration of security
Why?
make sure a ship and either a port facility
or another ship see eye-to-eye on
necessary security measures
When? (sec 5.2)

Who? (sec 5.4)
Mandatory?
(Reg 10.3, sec 4.3, sec 5, part A)
training requirements
(sec 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 part B
(numbered also 13.1) of this Code.
security drills & exercises

(sec 13.5) The CSO shall ensure the
effective coordination and
implementation of ship security plans
by participating in exercises at
appropriate intervals, taking into
account the guidance given in part B
(13.5 13.8) of this Code.

Emergency preparedness
Should test individual elements of the
plan
Drills: how often? (para 13.6)
At least once every 3 months
Within one week of change of 25% of
crew

Exercises: how often?
Different types
Full scale or live
Tabletop simulation/seminar
In combo with other exercises (SAR,
emerg resp)
Assessment of security drills and

exercises SSO to info CSO
security audits / review

Who?
Someone not involved in the activity
How often?
Either periodic or regular...
See Sec 9.4, Para 9.53
nonconformities
Must be recorded and reported
by the SSO
Must be addressed and dealt
with by the CSO/Company
isps part B - guidance

(para 6) Obligations of the company
(para 8) Ship security assessment
(para 8.14) On-scene security survey
(para 9) Ship security plan

(para 13) Training, drills and exercises on ship
security
(para 18) Training, drills and exercises on
port facility security
COMPANY
CSO
XI-1
reqmts
XI-2
reqmts
SECURITY
SYSTEM
ship security
assessment
SSO
each
ship
security
procedures
on-scene
security
survey
SHIP
SECURITY
PLAN
sec
eqpt
sec drills
&
exercises
master's overriding
authority
support & resources
VERIFICATION BY
ADMINISTRATION
available for
inspection at
all times
ISSC
proof of compliance with
XI-2 and ISPS Code
a simplified prescription for compliance?
- Take ISM sec 7&8

- Shake it 3 times
(i.e., once for each security level)
ism code
7 DEVELOPMENT OF PLANS FOR
SHIPBOARD OPERATIONS
The Company should establish procedures
for the preparation of plans and
instructions, including checklists as
appropriate, for key shipboard operations
concerning the safety of the ship and the
prevention of pollution. The various tasks
involved should be defined and assigned
to qualified personnel.
ism code
8 EMERGENCY PREPAREDNESS
8.1 The Company should establish
procedures to identify, describe and
respond to potential emergency
shipboard situations.
8.2 The Company should establish
programmes for drills and exercises to
prepare for emergency actions.
8.3 The safety management system should
provide for measures ensuring that the
Company's organization can respond at
any time to hazards, accidents and
emergency situations involving its ships.
issc validity
Validity
up to the Administration but no more than
5 years
Intermediate verification
between 2nd and 3rd anniversary
which documents/records need to

be carried on board?
Flag state-approved ship security plan
ISSC
Carry information on board relating to
(Reg XI-2 / 5)
Responsibility for crew appointments
Parties to charter parties
Entities responsible for ship-related
employment issues
Carry information on board other security

related information (Reg XI-2 / 9.2 + ISPS
Code Part A Sec 10), such as
control & compliance measures

chapter XI-2, reg 9
any special or additional security
measures taken in 10 previous ports
appropriate ship security procedures
maintained during any ship to ship activity
in 10 previous ports
other practical security related
information other than SSP details
see also sec 10 in part A
which documents/records need to be

carried on board?
Flag state-approved ship security plan
ISSC
Carry information on board relating to
(Reg XI-2 / 5)
Responsibility for crew appointments

Parties to charter parties
Entities responsible for ship-related employment
issues
Carry information on board other security

related information (Reg XI-2 / 9.2 + ISPS
Code Part A Sec 10)
Continuous synopsis record (Reg XI-1 / 5)
what additional equipment need to

be carried on board?
AIS (Reg V / 19)
Ship ID number (Reg XI-1 / 3)
Ship security alert system (Reg XI-2/6)
ship security alert system

chapter XI-2, reg 6
The ship security alert system, when activated, shall:
initiate and transmit a ship-to-shore security alert to
a competent authority designated by the
Administration,
identifying the ship and its location
Indicating that the security of the ship is under threat or it
has been compromised
not send the ship security alert to any other ships;

not raise any alarm on-board the ship; and
continue the ship security alert until deactivated
and/or reset
ship security alert system

chapter XI-2, reg 6
The ship security alert system shall:

be capable of being activated from
the navigation bridge and in at least
one other location
conform to performance standards
not inferior to those adopted by
the Organization.
ship security alert system: scenario 1

UK flagged ship off Limassol presses
button
Ministry of Defence receives signal
Special Boat Squadron commandos
arrive and neutralize terrorists
Everybody gets home in time for
England-Bangladesh cricket match
and medals!!!
ship security alert system: scenario 2

Comoros ship in Freetown
Competent authority is the company
based in Dubai
Company informs flag
Flag informs coastal state
Ship and crew never seen again...
Lloyds list 2003.05.07 insight and opinion

SECURITY IS NOT SAFETY
A modern merchant ship is a masterpiece of safety,
thanks largely to the efforts, over the past two centuries,
of seamen, engineers, naval architects, shipbuilders and,
above all, of the classification societies. Accidents
happen, but they are very much less frequent that they
were, because so many potential accidents have been
designed out of the ship, as a system. The same ship,
considered from the point of view of security, is a disaster
area. The crew is too small and too busy to offer any sort
of realistic protection against a human intelligence
actively seeking to subvert the ship to its wicked
purpose.

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ISPS Code:

Responsibilities of Companies and

11. Company security

"Company" means the owner of the ship or any

isps code: obligations of the company

The Company must

(sec 6.1) clearly emphasize in the

some good reasons for having a ship security plan

isps code: company requirements

International Ship Security

Liaison with PFSO and SSO

cso: duties & responsibilities

How many ships? (sec 11.2)

advising on the level of threats

cso: duties & responsibilities

cso: duties & responsibilities

cso: ship security assessment

Who should carry out the ship security

What to do with SSA once its done?

Individual ship / Sister ship / fleet

on scene security survey

existing security measures

threat evaluation and risk

on-scene security survey

identify any weakness

ship security assessment

Lloyds Register 2003

other company responsibilities

(sec 2.1.6) Ship security officer

sso: duties & responsibilities

regular security inspections of the ship

sso: duties & responsibilities

enhance security awareness and

Who sets security levels?

normal : level at which ships and port

heightened : level as long as there is a

exceptional : level for the period of time

Sec 7, 9, 14, 16 + Para 9, 16

Protocol when ship and port security

When? (sec 5.2)

security drills & exercises

security drills & exercises

security drills & exercises

Assessment of security drills and

security audits / review

isps part B - guidance

(para 9) Ship security plan

a simplified prescription for compliance?

- Take ISM sec 7&8

which documents/records need to

Carry information on board other security

control & compliance measures

which documents/records need to be

Responsibility for crew appointments

Carry information on board other security

what additional equipment need to

ship security alert system

not send the ship security alert to any other ships;

ship security alert system

The ship security alert system shall:

ship security alert system: scenario 1

ship security alert system: scenario 2

Lloyds list 2003.05.07 insight and opinion