Appendix - Voluntary Self-assessment Tool for Companies and Company Security Officers (CSOs) for Ship Security
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Statutory Documents - IMO Publications and Documents - Circulars - Maritime Safety Committee - MSC.1/Circular.1217 – Interim Guidance on Voluntary Self-assessment by Companies and Company Security Officers (CSOs) for Ship Security – (14 December 2006) - Annex - Interim Guidance on Voluntary Self-assessment by Companies and Company Security Officers (CSOs) for Ship Security - Appendix - Voluntary Self-assessment Tool for Companies and Company Security Officers (CSOs) for Ship Security

Appendix - Voluntary Self-assessment Tool for Companies and Company Security Officers (CSOs) for Ship Security

 This Voluntary self-assessment tool for Companies and CSOs for ship security (Voluntary self-assessment tool) can be used to examine the status of implementation SOLAS chapter XI-2 and the ISPS Code by Companies.

 This Voluntary self-assessment tool will help to identify any aspects of SOLAS chapter XI-2 and the ISPS Code that the company and CSO can address to enhance the SOLAS chapter XI-2 and ISPS Code implementation process.

 SOLAS chapter XI-2 and part A of the ISPS Code, establish mandatory requirements for the implementation of the ISPS Code by Companies.

 When using this Voluntary self-assessment tool, the person conducting the voluntary self-assessment should consider SOLAS chapter XI-2, ISPS Code part A and part B, as applicable in accordance with national legislation, and the related guidance developed by the Organization.

 The following section should be completed prior to completing the tool. It can be used by the Company and its CSO(s) and will help to establish an overview of their performance in ship(s) security implementation.

 Sufficiently detailed answers will prevent the drawing of erroneous conclusions when undertaking subsequent voluntary self assessments. It will also assist in the resolution of any doubts when subsequent self assessments are conducted by different persons.

Name of Company Address of the Company
Name(s) of the CSO(s)  
Complete separate table for each CSO as appropriate
Name of CSO  
Does the CSO hold an appropriate training certificate?  
Was this training certificate submitted to the Administration for recognition?  
List of ship(s)
Name of the ship IMO Number Type Flag SSP approved by, on ISSC issued by, on
1)          
2)          
3)          
4)          
5)          
6)          
7)          
8)          
9)          

  Guidance for using the Voluntary self-assessment tool:

 - Not all of the questions on the Voluntary self-assessment tool apply, or are relevant, to all types or sizes of ships. Some of these apply only in relation to specific types of ships. In such cases, the non-applicability of the particular question should be recorded in the ‘Comments’ box.

 - When completing the Voluntary self-assessment tool, the ‘Comments’ box provides space for amplification where the ‘Other’ option is selected. However, experience has shown that it is also helpful to use ‘Comments’ box in cases where a ‘No’ answer has been recorded, thus giving an explanation of why not and details of any measures or procedures in place. Suggested actions should be recorded in the ‘Recommendations’ section of the Voluntary self-assessment tool.

 - For the questions which have multiple options (for example questions 4.1 and 4.4), the ‘Yes/No/Other’ tick boxes should be replaced by a single column of boxes, which should be ticked as appropriate. This will be of benefit in cases where a ‘No’ answer may erroneously be taken as indicative of a non-compliance. Further explanation of any measures and procedures in place should be given in the ‘Comments’ box and any suggested actions should be recorded in the ‘Recommendations’ section of the Voluntary self-assessment tool.

 - Ensure that one of the boxes is ticked for each question.

 - If you ticked ‘Yes’, but the measures/procedures are not documented in the SSP(s) of the ship(s) being assessed, please enter a short description of them in the ‘Comments’ box.

 - If you ticked the ‘No’ response against Part A questions, please describe the reason in the ‘Comments’ box.

 - If you ticked ‘Other’ against Part B questions, please enter a short description in the comment box. ‘Other’ could include instances where alternative agreements or equivalent arrangements have been implemented.

 - Please tick ‘Other’ if the question is not applicable and add ‘n/a’ in the ‘Comments’ box.

 - If alternative measures/procedures from those listed in the ISPS Code are used, please enter a short description in the ‘Comments’ box.

 - If work to implement the measures outlined in Part B or any alternative solutions is still in progress, a work schedule should be entered into the ‘Comments’ box.

 - If there is not enough space in the comment box, assessors should continue the answer on a separate page. The relevant question number should be added in these circumstances as a reference aid.

 - ‘Recommendation’ boxes should be used to record any identified deficiencies and how these could be mitigated.

 - The ‘Outcome of Voluntary Self-Assessment’ box should be used to provide a brief record of the assessment process, and along with the comments in the ‘Recommendation’ boxes, form the basis for future security planning. A schedule for the implementation of recommendations should be included.

Parent topic: Annex - Interim Guidance on Voluntary Self-assessment by Companies and Company Security Officers (CSOs) for Ship Security
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