8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
1/49
ISPS Code: Responsibilities of Companies andContracting Governments
J ASN05 Regulatory Shipping LawLLM Maritime Law, Lund University Faculty of Law4-5 October 2011
Dr. Max Mejia
Associate ProfessorWorld Maritime University, Malmö, Sweden
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
2/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
ISPS Code
•Part A – mandatory•Part B – guidance/optional
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
3/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
1. General
2. Definitions3. Application4. Responsibilities of
contracting govts5. Declaration of
security6. Obligations of thecompany
7. Ship security8. Ship security
assessment9. Ship security plan10. Records
11. Company securityofficer
12. Ship security officer13. Training, drills, &
exercises on ship security14. Port facility security
15. Port facility securityassessment16. Port facility security plan17. Port facility security
officer
18. Training, drills, &exercises on port facsecurity
19. Verification andcertification for ships
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
4/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
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 hasassumed 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.
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
5/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
isps code: obligations of the company
•The Company must– (sec 6.1) clearly emphasize in the
SSP, the master’s overriding authorityin safety and security matters
– (sec 6.2) give the necessary support
to CSO, master, and SSO
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
6/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
some good reasons for having a ship security plan
•Moral
•Practical•Legal
•Commercial
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
7/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
isps code: company requirements
• International Ship SecurityCertificate (ISSC) for each ship
• ISSC to be available onboard forinspection at all times
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
8/49
COMPANY
CSO
SECURITY
SYSTEM
ISSCproof of compliance with
XI-2 and ISPS Code
XI-2
reqmts
sec
eqpt
SSO
each
ship
securityprocedures
SHIP
SECURITY
PLAN
ship security
assessment
on-scenesecurity
survey
available for
inspection at
all times
VERIFICATION BY
ADMINISTRATION
master's overridingauthority
support & resources marad approval
sec drills
&
exercises
Max Mejia, WMU
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
9/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
cso: definition
• (sec 2.1.7) Company security officermeans the person designated bythe Company for ensuring that –
– SSA is carried out– SSP is developed
• Submit for approval
• Implemented
• Maintained
– Liaison with PFSO and SSO
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
10/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
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
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
11/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
cso: duties & responsibilities
• (…cont’d)– arranging for the initial and subsequent
verifications
– address deficiencies and non-conformities
– enhance security awareness andvigilance
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
12/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
cso: duties & responsibilities
• (…cont’d)– ensure adequate training
– ensuring effective communication and
co-operation between SSO & PFSO– balance between security and safety
– ship-specific information
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
13/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
cso
In other words –e nsure tha t som eone in the sho re
m a na g em en t te a m is d e sig na te d
sp e c if ic a lly to m a ke sure tha te ve ry th ing tha t ha s a ny th ing to d o
w ith se c urity (re a d “ISPS Cod e ”) g e ts
d o n e
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
14/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
cso: ship security assessment
• Who should carry out the ship securityassessment?
– persons with appropriate skills (sec 8.2)• What to do with SSA once it’s done?
– documented, reviewed, accepted andretained by the Company (sec 8.5)
• Individual ship / Sister ship / fleet
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
15/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
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 operationsimportant to protect
– possible threats and likelihood of occurrence
– weaknesses, including human factors in
infrastructure, policies, procedures
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
16/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
ssp: definition
• (sec 2.1.6) Ship security plan means aplan developed to ensure theapplication of measures on board the
ship designed to –– protect persons on board, cargo, cargo
transport units, ship’s stores or the shipfrom the risks of a security incident
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
17/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
• shall be written in the workinglanguage(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, flagstate
• available onboard at all times• must be implemented
SSP
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
18/49
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
19/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
other company responsibilities
• designate SSO on each ship• ensure that security drills and exercises
are carried out
• provide support and resources to theship vis-à-vis security plan
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
20/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
sso: definition
• (sec 2.1.6) Ship security officermeans the person, accountable tothe Master, designated by the
Company as responsible for –– security of the ship
– implementation & maintenance of SSP
– liaison with CSO and PFSO
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
21/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
sso: duties & responsibilities
• Duties & responsibilities (sec 12)– regular security inspections of the ship
– implement of the SSP
– co-ordinate the security aspects of thecargo handling and ship’s stores withshipboard & port facility personnel
– propose modifications to the ship securityplan
– report to the CSO any deficiencies andnon-conformities
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
22/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
sso: duties & responsibilities
• (…cont’d)– enhance security awareness and
vigilance
– ensure training is given to shipboard
personnel– report all security incidents
– co-ordinate implementation of SSO withthe CSO & PFSO
– ensure that security equipment is properlyoperated, tested, calibrated, maintained
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
23/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security equipment
• AIS• Ship Security Alert
System
• Locks
• Lighting
• Handheld radios
• GMDSS eqpt
• CCTV
• Metal detectors
• Explosivedetectors
• Burglar alarm(auto intrusion
detection device)• Baggage
screening eqpt
• Container x-raydevices
• General alarm
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
24/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security equipment
• Operation• Testing, Calibration, Maintenance
• Changes (sec. 19.1, part A)
• Failure (para. 9.6, part B)
• CSO
• SSO
• PFSO
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
25/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security procedures
• At sea• Ship/port interface
– the interactions that occur when a ship is
directly and immediately affected byactions involving the movement ofpersons, goods or the provisions of portservices to or from the ship
• Security levels
• Declaration of security
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
26/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security levels
• Security level– the qualification of the degree of risk that
a security incident will be attempted orwill occur
• Who sets security levels?
• Different levels?
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
27/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security levels• Security level 1
– ”normal” : level at which ships and portfacilities 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 ofa security incident.
• Actions to be taken– Sec 7, 9, 14, 16 + Para 9, 16
• Protocol when ship and port securitylevels vary
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
28/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
declaration of security
• Why?– make sure a ship and either a port facility
or another ship see “eye-to-eye” onnecessary security measures
• When? (sec 5.2)
• Who? (sec 5.4)
• Mandatory?– (Reg 10.3, sec 4.3, sec 5, part A)
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
29/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
training requirements
(sec 13.1) The company securityofficer and appropriate shore-basedpersonnel shall have knowledge and
have received training, taking intoaccount the guidance given in part B(numbered also 13.1) of this Code.
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
30/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security drills & exercises
(sec 13.5) The CSO shall ensure theeffective coordination andimplementation of ship security plans
by participating in exercises atappropriate intervals, taking intoaccount the guidance given in part B(13.5 – 13.8) of this Code.
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
31/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security drills & exercises
• 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
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
32/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security drills & exercises
• Exercises: how often?• Different types
– Full scale or live
– Tabletop simulation/seminar– In combo with other exercises (SAR,
emerg resp)
• Assessment of security drills andexercises – SSO to info CSO
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
33/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
security audits / review
• Who?– Someone not involved in the activity
• How often?
– Either “periodic” or “regular”...– See Sec 9.4, Para 9.53
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
34/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
nonconformities
• Must be recorded and reportedby the SSO
• Must be addressed and dealtwith by the CSO/Company
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
35/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
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 shipsecurity
• (para 18) Training, drills and exercises on
port facility security
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
36/49
COMPANY
CSO
SECURITY
SYSTEM
ISSCproof of compliance with
XI-2 and ISPS Code
XI-2
reqmts
sec
eqpt
SSO
each
ship
securityprocedures
SHIP
SECURITY
PLAN
ship securityassessment
on-scene
securitysurvey
available for
inspection at
all times
VERIFICATION BY ADMINISTRATION
master's overriding
authority support & resources
sec drills
&
exercises
XI-1
reqmts
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
37/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
a simplified prescription for compliance?
- Take ISM sec 7&8
- Shake it 3 times
(i.e., once for each security level)
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
38/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
7 DEVELOPMENT OF PLANS FORSHIPBOARD OPERATIONS
The Company should establish proceduresfor the preparation of plans and
instructions, including checklists asappropriate, for key shipboard operationsconcerning the safety of the ship and theprevention of pollution. The various tasks
involved should be defined and assignedto qualified personnel.
ism code
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
39/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
ism code
8 EMERGENCY PREPAREDNESS
8.1 The Company should establishprocedures to identify, describe andrespond to potential emergencyshipboard situations.
8.2 The Company should establishprogrammes for drills and exercises toprepare for emergency actions.8.3 The safety management system should
provide for measures ensuring that theCompany's organization can respond atany time to hazards, accidents andemergency situations involving its ships.
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
40/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
issc validity
• Validity– up to the Administration but no more than
5 years
• Intermediate verification
– between 2nd and 3rd anniversary
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
41/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
which documents/records need tobe 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-relatedemployment issues
• Carry information on board other securityrelated information (Reg XI-2 / 9.2 + ISPSCode Part A Sec 10), such as…
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
42/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
control & compliance measureschapter XI-2, reg 9
– any special or additional securitymeasures taken in 10 previous ports
– appropriate ship security proceduresmaintained during any ship to ship activityin 10 previous ports
– other practical security related
information other than SSP details– see also sec 10 in part A
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
43/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
which documents/records need to becarried 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 employmentissues
• Carry information on board other securityrelated information (Reg XI-2 / 9.2 + ISPSCode Part A Sec 10)
• Continuous synopsis record (Reg XI-1 / 5)
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
44/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
what additional equipment need tobe carried on board?
• AIS (Reg V / 19)
• Ship ID number (Reg XI-1 / 3)
• Ship security alert system (Reg XI-2/6)
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
45/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
ship security alert systemchapter XI-2, reg 6
The ship security alert system, when activated, shall:
• initiate and transmit a ship-to-shore security alert toa competent authority designated by the
Administration,
– identifying the ship and its location
– Indicating that the security of the ship is under threat or ithas 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
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
46/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
ship security alert systemchapter XI-2, reg 6
The ship security alert system shall:
• be capable of being activated from
the navigation bridge and in at leastone other location
• conform to performance standardsnot inferior to those adopted bythe Organization.
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
47/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
ship security alert system: scenario 1
• UK flagged ship off Limassol pressesbutton
• Ministry of Defence receives signal
• Special Boat Squadron commandosarrive and neutralize terrorists
• Everybody gets home in time for
England-Bangladesh cricket matchand medals!!!
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
48/49
Assoc . Prof. Maximo Q. Mejia J r. Lund LLM Maritime Law J ASN05 Regulatory Shipping Law 4-5 October 2011
• 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...
ship security alert system: scenario 2
8/9/2019 Maritime Secxcurity - IsPS Code Intro Ppt
49/49
Lloyd’s list 2003.05.07 “insight and opinion”
SECURITY IS NOT SAFETYA m od e rn m e rc ha nt sh ip is a m a ste rp ie c e o f sa fe ty ,
tha nks la rg e ly to the e ffo rts, o ve r the p a st tw o c enturie s,
o f se am en, eng ine e rs, na va l a rc hite c ts, ship b uild e rs a nd ,
a b o ve a ll, o f the c la ssif ic a t io n so c ie t ie s. Ac c id e nts
ha p p e n, b u t they a re very m uc h less f req uent tha t theyw ere , b ec a use so m a ny p o te n t ia l a c c id en ts ha ve b ee n
d e sig ne d o ut o f the ship , a s a system . The sam e ship ,
c o nsid e re d from the p o int o f view o f se c urity, is a d isa ste r
a re a . The c rew is to o sm a ll a nd to o b usy to o ffer a ny so rt
o f re a list ic p ro te c t io n a g a inst a hum a n in te llig e nc ea c t ive ly se e king to sub ve rt th e ship to its w ic ke d
purpose.
Top Related