1.1 The preamble of this Code indicates that chapter XI-2 and part
A of this Code establish the new international framework of
measures to enhance maritime security and through which ships and
port facilities can co-operate to detect and deter acts which threaten
security in the maritime transport sector.
1.2 This introduction outlines, in a concise manner,
the processes envisaged in establishing and implementing the measures
and arrangements needed to achieve and maintain compliance with the
provisions of chapter XI-2 and of part A of this Code and identifies the main
elements on which guidance is offered. The guidance is provided in paragraphs 2 through to 19. It also sets
down essential considerations, which should be taken into account
when considering the application of the guidance relating to ships
and port facilities.
1.3 If the reader's interest relates to ships
alone, it is strongly recommended that this Part of the Code is still
read as a whole, particularly the sections relating to port facilities.
The same applies to those whose primary interest are port facilities;
they should also read the sections relating to ships.
1.4 The guidance provided in the following sections
relates primarily to protection of the ship when it is at a port facility.
There could, however, be situations when a ship may pose a threat
to the port facility, e.g. because, once within the port facility,
it could be used as a base from which to launch an attack. When considering
the appropriate security measures to respond to ship-based security
threats, those completing the port facility security assessment or
preparing the port facility security plan should consider making appropriate
adaptations to the guidance offered in the following paragraphs.
1.5 The reader is advised that nothing in this
Part of the Code should be read or interpreted in conflict with any
of the provisions of either chapter XI-2 or part A of this Code and that the aforesaid
provisions always prevail and override any unintended inconsistency
which may have been inadvertently expressed in this Part of the Code.
The guidance provided in this Part of the Code should always be read,
interpreted and applied in a manner which is consistent with the aims,
objectives and principles established in chapter
XI-2 and part A of this Code.
Responsibilities of Contracting Governments
1.6 Contracting Governments have, under the provisions
of chapter XI-2 and part A of this Code, various responsibilities,
which, amongst others, include:
- setting the applicable security level;
- approving the ship security plan (SSP) and relevant amendments
to a previously approved plan;
- verifying the compliance of ships with the provisions of chapter XI-2 and part
A of this Code and issuing to ships the International Ship Security Certificate;
- determining which of the port facilities located within their
territory are required to designate a port facility security officer
(PFSO) who will be responsible for the preparation of the port facility
security plan;
- ensuring completion and approval of the port facility security
assessment and of any subsequent amendments to a previously approved
assessment;
- approving the port facility security plan (PFSP) and any subsequent
amendments to a previously approved plan;
- exercising control and compliance measures;
- testing approved plans; and
- communicating information to the International Maritime Organization
and to the shipping and port industries.
1.7 Contracting Governments can designate, or
establish, Designated Authorities within Government to undertake,
with respect to port facilities, their security duties under chapter XI-2 and part
A of this Code and allow recognized security organizations
to carry out certain work with respect to port facilities but the
final decision on the acceptance and approval of this work should
be given by the Contracting Government or the Designated Authority.
Administrations may also delegate the undertaking of certain security
duties, relating to ships, to recognized security organizations. The
following duties or activities cannot be delegated to a recognized
security organization:
- setting of the applicable security level;
- determining which of the port facilities located within the territory
of a Contracting Government are required to designate a PFSO and to
prepare a PFSO;
- approving a PGSA or any subsequent amendments to a previously
approved assessment;
- approving a PGSP or any subsequent amendments to a previously
approved plan;
- exercising control and compliance measures; and
- establishing the requirements for a Declaration of Security.
Setting the security level
1.8 The setting of the security level applying
at any particular time is the responsibility of Contracting Governments
and can apply to ships and port facilities. Part
A of this Code defines three security levels for international
use. These are:
- Security level 1, normal; the level at which ships and port facilities
normally operate;
- Security level 2, heightened; the level applying for as long as
there is a heightened risk of a security incident; and
- Security level 3, exceptional, the level applying for the period
of time when there is the probable or imminent risk of a security
incident.
1.9 Any Company operating ships to which chapter XI-2 and part
A of this Code apply has to designate a CSO for the Company
and a SSO for each of its ships. The duties, responsibilities and
training requirements of these officers and requirements for drills
and exercises are defined in part A of this Code.
1.10 The company security officer's responsibilities
include, in brief amongst others, ensuring that a ship security assessment
(SSAis properly carried out, that a SSP is prepared and submitted
for approval by, or on behalf of, the Administration and thereafter
is placed on board each ship to which part
A of this Code applies and in respect of which that person
has been appointed as the CSO.
1.11 The SSP should indicate the operational and
physical security measures the ship itself should take to ensure it
always operates at security level 1. The plan should also indicate
the additional, or intensified, security measures the ship itself
can take to move to and operate at security level 2 when instructed
to do so. Furthermore, the plan should indicate the possible preparatory
actions the ship could take to allow prompt response to the instructions
that may be issued to the ship by those responding at security level
3 to a security incident or threat thereof.
1.12 The ships to which the requirements of chapter XI-2 and part
A of this Code apply are required to have, and operated in
accordance with, a Ship Security Plan approved by, or on behalf of,
the Administration. The Company and SSO should monitor the continuing
relevance and effectiveness of the plan, including the undertaking
of internal audits. Amendments to any of the elements of an approved
plan, for which the Administration has determined that approval is
required, have to be submitted for review and approval before their
incorporation in the approved plan and their implementation by the
ship.
1.13 The ship has to carry an International Ship Security Certificate indicating
that it complies with the requirements of chapter
XI-2 and part A of this Code.
Part A of this Code includes provisions relating to the verification
and certification of the ship's compliance with the requirements on
an initial, renewal and intermediate verification basis.
1.14 When a ship is at a port or is proceeding
to a port of a Contracting Government, the Contracting Government
has the right, under the provisions of regulation
XI-2/9, to exercise various control and compliance measures
with respect to that ship. The ship is subject to port State control
inspections but such inspections will not normally extend to examination
of the SSP itself except in specific circumstances. The ship may,
also, be subject to additional control measures if the Contracting
Government exercising the control and compliance measures has reason
to believe that the security of the ship has, or the port facilities
it has served have, been compromised.
1.15 The ship is also required to have onboard
information, to be made available to Contracting Governments upon
request, indicating who is responsible for deciding the employment
of the ship's personnel and for deciding various aspects relating
to the employment of the ship.
1.16 Each Contracting Government has to ensure
completion of a PFSA for each of the port facilities, located within
its territory, serving ships engaged on international voyages. The
Contracting Government, a Designated Authority or a recognized security
organization may carry out this assessment. The completed PFSA has
to be approved by the Contracting Government or the Designated Authority
concerned. This approval cannot be delegated. Port facility security
Assessments should be periodically reviewed.
1.17 The PFSA is fundamentally a risk analysis
of all aspects of a port facility's operation in order to determine
which part(s) of it are more susceptible, and/or more likely, to be
the subject of attack. Security risk is a function of the threat of
an attack coupled with the vulnerability of the target and the consequences
of an attack.
The assessment must include the following components:
- the determination of the perceived threat to port installations
and infrastructure;
- identification potential vulnerabilities; and
- calculation of the consequences of incidents calculated.
On completion of the analysis, it will be possible to produce
an overall assessment of the level of risk. The PFSA will help determine
which port facilities are required to appoint a PFSO and prepare a
PFSP.
1.18 The port facilities which have to comply
with the requirements of chapter XI-2 and part A of this Code are required to designate
a PFSO. The duties, responsibilities and training requirements of
these officers and requirements for drills and exercises are defined
in part A of this Code.
1.19 The PFSP should indicate the operational
and physical security measures the port facility should take to ensure
that it always operates at security level 1. The plan should also
indicate the additional, or intensified, security measures the port
facility can take to move to and operate at security level 2 when
instructed to do so. Furthermore, the plan should indicate the possible
preparatory actions the port facility could take to allow prompt response
to the instructions that may be issued by those responding at security
level 3 to a security incident or threat thereof.
1.20 The port facilities which have to comply
with the requirements of chapter XI-2 and part A of this Code are required to have,
and operate in accordance with, a PFSP approved by the Contracting
Government or by the Designated Authority concerned. The PFSO should
implement its provisions and monitor the continuing effectiveness
and relevance of the plan, including commissioning internal audits
of the application of the plan. Amendments to any of the elements
of an approved plan, for which the Contracting Government or the Designated
Authority concerned has determined that approval is required, have
to be submitted for review and approval before their incorporation
in the approved plan and their implementation at the port facility.
The Contracting Government or the Designated Authority concerned may
test the effectiveness of the plan. The PFSA covering the port facility
or on which the development of the plan has been based should be regularly
reviewed. All these activities may lead to amendment of the approved
plan. Any amendments to specified elements of an approved plan will
have to be submitted for approval by the Contracting Government or
by the Designated Authority concerned.
1.21 Ships using port facilities may be subject
to the port State control inspections and additional control measures
outlined in regulation XI-2/9. The
relevant authorities may request the provision of information regarding
the ship, its cargo, passengers and ship's personnel prior to the
ship's entry into port.There may be circumstances in which entry into
port could be denied.
Information and communication
1.22 Chapter XI-2 and part A of this Code require Contracting
Governments to provide certain information to the International Maritime
Organization and for information to be made available to allow effective
communication between Contracting Governments and between company/ship
security officers and the port facility security officers.