Mid-Atlantic Maritime Academy Š 2009
2.6
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
INTERNATIONAL SHIP AND PORT FACILITY SECURITY CODE (ISPS Code)
The International Ship and Port Facility Security (ISPS) Code sets new standards for security for ships at sea as well as port facilities around the world. It aim s to m ake shipping activities m ore secure against threats of terrorism , piracy and sm uggling. Security at sea has been a concern to governm ents, shipping lines, port authorities and im porters and exporters for years. The terrorist attacks of Septem ber 11, 2001, however, provided the catalyst for form alizing tough new security m easures. In Decem ber of 2002, the International Maritim e Organization (IMO) a specialized agency of the United Nations (UN) organized a conference to discuss issues related to security at sea. At this conference, representatives from 150 nations (the Contracting Governm ents) participated in drafting am endm ents to the Safety of Life at Sea (SOLAS) Convention, and the ISPS Code was adopted. Changes to the SOLAS Convention include am endm ents to Chapters V and XI, and Chapter XI was divided into Chapters XI-1 and XI-2. The new Chapter XI-2 provides the um brella ISPS regulations. The Code itself is divided into two parts. Part A presents m andatory requirem ents, Part B contains guidance regarding the provisions of Chapter XI-2 of the Convention and part A of the Code.
ISPS Code Overview The Code aim s, am ong other things, to establish an international fram ework for co-operation between Contracting Governm ents, governm ent agencies, local adm inistrations and the shipping and port industries to detect security threats and take preventive m easures against security incidents affecting ships or port facilities used in international trade and to establish relevant roles and responsibilities at the national and international level. ISPS provisions relating to port facilities relate solely to the ship/port interface. Also, ISPS provisions do not extend to the actual response to attacks or to any necessary clear-up activities after such an attack. In addition, for each ship and port authority affected, the ISPS Code requires: ! ! ! ! ! ! !
The The The The The The The
im plem entation of a Ship Security Plan (SSP), im plem entation of a Port Facility Security Plan (PFSP), appointm ent of a Ship Security Officer (SSO), appointm ent of a Com pany Security Officer (CSO), appointm ent of a Port Facility Security Officer (PFSO), installation of ship alarm s, and installation of shipboard Autom atic Identification System s (AIS).
The ISPS Code went into effect on July 1, 2004. The ISPS Code applies to ships and ports of signatory nations to the SOLAS Convention as well as ships that call upon ports of contracting nations: Specifically: ! ! ! ! !
Ships engaged on international voyages including: Passenger ships, including high-speed passenger craft Cargo ships, including high-speed craft, of 500 gross tonnage and upwards Mobile offshore drilling units Port facilities serving such ships engaged on international voyages.
-90-
Mid-Atlantic Maritime Academy Š 2009
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
U.S. LAW (33 CFR 104) Maritim e Transportation Security Act of 2002 (MTSA) authorized dom estic security-oriented regulations sim ilar to the ISPS Code. Like ISPS, regulations issued under MTSA created cooperation between facility and vessel owners and operators, security personnel, crew, and the U.S. Coast Guard (USCG). The USCG is responsible for verifying that each affected vessel com plies with the regulations authorized by MTSA. Vessels that are not specifically regulated under 33 CFR 104, Vessel Security, m ust com ply with 33 CFR 103, Area Maritim e Security, which is addressed in separate guidance. The regulations also closely m irror the requirem ent found in the ISPS Code. Com pliance with the m aritim e security regulations satisfy the requirem ents for ISPS as well. Regulations issued under MTSA require the owner of each vessel covered by regulation to com ply with an approved Vessel Security Plan (VSP). (SOLAS vessels m ust com ply with a sim ilar plan called a Ship Security Plan (SSP).) To ensure vessels subject to MTSA and/or ISPS are in com pliance, the Coast Guard conducts annual security plan verification (SPV) exam s on all U.S. flag inspected and uninspected vessels and on board foreign vessels operating in U.S. waters. In verifying com pliance with this plan, the inspector has three tasks: ensure that the vessel or facility com plies with the approved plan, ensure that the plan and assessm ent adequately addresses the security vulnerabilities, and verify that the m easures accom plish the intended function. The Coast Guard conducts SPV exam s on inspected vessels during the vessel’s norm al inspection process. After the initial SPV exam , uninspected vessels subject to MTSA undergo subsequent SPV exam s once every 5 years, while vessels subject to both MTSA and ISPS undergo subsequent exam s twice every 5 years, to align with the requirem ents for the International Ship Security Certificate (ISSC). The Coast Guard conducts SPV exam s on foreign vessels under its Port State Control program .
Vessel Security Plan (VSP) FORMAT A vessel owner or operator m ust ensure that the VSP consists of the sections listed in below. The VSP m ust describe in detail how the requirem ents will be m et. If the VSP does not follow the order as it appears in the list, the vessel owner or operator m ust ensure that the VSP contains an index identifying the location of each of the following sections: ! ! !
Security organization of the vessel; Personnel training; Drills and exercises;
-91-
Mid-Atlantic Maritime Academy © 2009
! ! ! ! ! ! ! ! ! ! ! ! ! !
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
Records and docum entation; Response to change in MARSEC Level; Procedures for interfacing with facilities and other vessels; Declarations of Security (DoS); Com m unications; Security system s and equipm ent m aintenance; Security m easures for access control, including designated passenger access areas and em ployee access areas; Security m easures for restricted areas; Security m easures for handling cargo; Security m easures for delivery of vessel stores and bunkers; Security m easures for m onitoring; Security incident procedures; Audits and Vessel Security Plan (VSP) am endm ents; and Vessel Security Assessm ent (VSA) Report.
PERSONNEL !
Master (§ 104.205) "
No requirem ent can restrict the Master from taking or executing any decision which, in the professional judgm ent of the Master, is necessary to m aintain the safety and security of the vessel. A conflict between any safety and security requirem ents applicable to the vessel arises during its operations, the Master m ay give precedence to m easures intended to m aintain the safety of the vessel, and take such tem porary security m easures as seem best under all circum stances. In such cases:
"
The Master m ust, as soon as practicable, inform the nearest COTP of actions taken above. If the vessel is on a foreign voyage, the Master m ust prom ptly inform the Coast Guard via the NRC at 1–800–424–8802 or e-m ail at lst-nrcinfo@ com dt.uscg.m il and if subject to the jurisdiction of a foreign governm ent, the relevant m aritim e authority of that foreign governm ent;
"
The tem porary security m easures m ust, to the highest possible degree, be com m ensurate with the prevailing Maritim e Security (MARSEC) Level; and
! Vessel Security Officer (VSO) (§ 104.215) A VSO m ay perform other duties within the owner's or operator's organization, provided he or she is able to perform the duties and responsibilities required of the VSO for each such vessel. "
Must have general knowledge, through training or job experience, in: — — — — — —
Those item s listed for Com pany Security Officer (CSO) qualifications; Vessel layout; The VSP and related procedures, including scenario-based response training; Crowd m anagem ent and control techniques; Operations of security equipm ent and system s; and Testing and calibration of security equipm ent and system s, and their
-92-
Mid-Atlantic Maritime Academy © 2009
— "
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
m aintenance while at sea. Transportation W orker Identification Credential (TW IC)
Job requirem ents are listed in the above CFR section.
! Vessel Security Personnel (§ 104. 220) Com pany and vessel personnel responsible for security duties m ust m aintain a TW IC, and m ust have knowledge, through training or equivalent job experience, in the following, as appropriate: " " " " " " " " " " " " " "
Knowledge of current security threats and patterns; Recognition and detection of dangerous substances and devices; Recognition of characteristics and behavioral patterns of persons who are likely to threaten security; Techniques used to circum vent security m easures; Crowd m anagem ent and control techniques; Security related com m unications; Knowledge of em ergency procedures and contingency plans; Operation of security equipm ent and system s; Testing and calibration of security equipm ent and system s, and their m aintenance while at sea; Inspection, control, and m onitoring techniques; Relevant provisions of the Vessel Security Plan (VSP); Methods of physical screening of persons, personal effects, baggage, cargo, and vessel stores; and The m eaning and the consequential requirem ents of the different Maritim e Security (MARSEC) Levels. Relevant aspects of the TW IC program and how to carry them out.
! Security training for all other vessel personnel (§ 104.225) All other vessel personnel, including contractors, whether part-tim e, full-tim e, tem porary, or perm anent, m ust have knowledge of, through training or equivalent job experience in the following, as appropriate: " "
" " " "
Relevant provisions of the Vessel Security Plan (VSP); The m eaning and the consequential requirem ents of the different M aritim e Security (MARSEC) Levels, including em ergency procedures and contingency plans; Recognition and detection of dangerous substances and devices; Recognition of characteristics and behavioral patterns of persons who are likely to threaten security; and Techniques used to circum vent security m easures. Relevant aspects of the TW IC program and how to carry them out.
! Security measures for newly hired employees (§ 104.267) Newly-hired vessel em ployees m ay be granted entry to secure areas of the vessel for up to 30 consecutive calendar days prior to receiving their TW IC provided all of
-93-
Mid-Atlantic Maritime Academy © 2009
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
the requirem ents in paragraph (b) of this section are m et, and provided that the new hire is accom panied by an individual with a TW IC while within the secure areas of the vessel. If TSA does not act upon a T W IC application within 30 days, the cognizant Coast Guard COTP m ay further extend access to secure areas for another 30 days. The Coast Guard will determ ine whether, in particular circum stances, certain practices m eet the condition of a new hire being accom panied by another individual with a TW IC. The Coast Guard will issue guidance for use in m aking these determ inations. Newly-hired vessel em ployees m ay be granted the access provided for in this section only if: "
The new hire has applied for a TW IC in accordance with requirem ents and is not currently engaged in a waiver or appeal process. The vessel owner or operator or Vessel Security Officer (VSO) m ust have the new hire sign a statem ent affirm ing this, and m ust retain the signed statem ent until the new hire receives a TW IC;
"
The vessel owner or operator or the VSO enters required inform ation on the new hire into the USCG Hom eport website ( http://hom eport.uscg.m il ).
"
The new hire presents an identification credential that meets the requirem ents;
"
There are no other circum stances that would cause reasonable suspicion regarding the new hire's ability to obtain a TW IC, and the vessel owner or operator or VSO have not been inform ed by the cognizant COTP that the new hire poses a security threat; and
"
There would be an adverse im pact to vessel operations if the new hire is not allowed access.
! Drill and exercise requirements "
GENERAL —
—
"
Drills and exercises m ust test the proficiency of vessel personnel in assigned security duties at all Maritim e Security (MARSEC) Levels and the effective im plem entation of the Vessel Security Plan (VSP). They m ust enable the Vessel Security Officer (VSO) to identify any related security deficiencies that need to be addressed. A drill or exercise required by this section m ay be satisfied with the im plem entation of security m easures required by the Vessel Security Plan as the result of an increase in the MARSEC Level, provided the vessel reports attainm ent to the cognizant COTP.
DRILLS —
The VSO m ust ensure that at least one security drill is conducted at least every 3 m onths, except when a vessel is out of service due to repairs or seasonal suspension of operation provided that in such cases a drill m ust be conducted within one week of the vessel's reactivation. Security drills m ay be held in conjunction with non-security drills where appropriate.
—
Drills m ust test individual elem ents of the VSP, including response to
-94-
Mid-Atlantic Maritime Academy © 2009
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
security threats and incidents. Drills should take into account the types of operations of the vessel, vessel personnel changes, and other relevant circum stances. Exam ples of drills include unauthorized entry to a restricted area, response to alarm s, and notification of law enforcem ent authorities.
"
—
If the vessel is m oored at a facility on the date the facility has planned to conduct any drills, the vessel m ay, but is not required to, participate in the facility's scheduled drill.
—
Drills m ust be conducted within one week from whenever the percentage of vessel personnel with no prior participation in a vessel security drill on that vessel exceeds 25 percent.
—
Not withstanding paragraph (b)(4) of this section, vessels not subject to SOLAS m ay conduct drills within 1 week from whenever the percentage of vessel personnel with no prior participation in a vessel security drill on a vessel of sim ilar design and owned or operated by the sam e com pany exceeds 25 percent.
EXERCISES — —
—
— —
Exercises m ust be conducted at least once each calendar year, with no m ore than 18 m onths between exercises. Exercises m ay be: (1) Full scale or live; (2) Tabletop sim ulation or sem inar; (3) Com bined with other appropriate exercises; or (4) A com bination of the elem ents listed above. Exercises m ay be vessel-specific or part of a cooperative exercise program to exercise applicable facility and vessel security plans or com prehensive port exercises. Each exercise m ust test com m unication and notification procedures, and elem ents of coordination, resource availability, and response. Exercises are a full test of the security program and m ust include the substantial and active participation of relevant com pany and vessel security personnel, and m ay include facility security personnel and governm ent authorities depending on the scope and the nature of the exercises.
-95-
Mid-Atlantic Maritime Academy © 2009
SHIP MANAGEMENT AND MARITIME LAW (Management Level)
! Vessel recordkeeping requirements The Vessel Security Officer m ust keep records of the activities as set out below for at least 2 years and m ake them available to the Coast Guard upon request. Records required by this section m ay be kept in electronic form at. If kept in an electronic form at, they m ust be protected against unauthorized deletion, destruction, or am endm ent. Any records required by this part m ust be protected from unauthorized access or disclosure. The following records m ust be kept: "
Training. For training of non-security crewm em bers, the date of each session, duration of session, a description of the training, and a list of attendees;
"
Drills and exercises. For each drill or exercise, the date held, description of drill or exercise, list of participants; and any best practices or lessons learned which m ay im prove the Vessel Security Plan (VSP);
"
Incidents and breaches of security. Date and tim e of occurrence, location within the port, location within the vessel, description of incident or breaches, to whom it was reported, and description of the response;
"
Changes in Maritim e Security (MARSEC) Levels. Date and tim e of notification received, and tim e of com pliance with additional requirem ents;
"
Maintenance, calibration, and testing of security equipm ent. For each occurrence of m aintenance, calibration, and testing, the date and tim e, and the specific security equipm ent involved;
"
Security threats. Date and tim e of occurrence, how the threat was com m unicated, who received or identified the threat, description of threat, to whom it was reported, and description of the response;
"
Declaration of Security (DoS). Manned vessels m ust keep on board a copy of the last 10 DoSs and a copy of each continuing DoS for at least 90 days after the end of its effective period; and
"
Annual audit of the VSP. For each annual audit, a letter certified by the Com pany Security Officer or the VSO stating the date the audit was com pleted.
STUDENTS ARE HELD ACCOUNTABLE FOR READING THE MATERIAL IN APPENDIX E (33 CFR 104) — it’s testable!
-96-