What is the ISPS Code?

Who has to comply with the ISPS Code?

Is there a black list of countries not in compliance with the ISPS code?
Are all IMO Member States obliged to comply with the ISPS Code?
What are the different security leels referred to in the ISPS Code?
Where can I get a copy of the ISPS Code?
What are the other measures adopted in addition to the ISPS Code?
What are the latest data!information on the implementation of the re"uirements of SO#AS chapter $I%& and the
ISPS Code?
What about compliance?
What has changed since ' (uly &))*?
What does implementing the ISPS Code inole?
Will the new security measures be effectie?
What would happen to ships if they do not comply with the ISPS Code re"uirements and if they do not hae the
Certificate?
What would happen to ships+ haing isited ports where the ISPS Code is not implemented properly+ when they
intend to enter ports where the ISPS Code is implemented igorously?
,ow can I find out if a ship or port is compliant?
What are ma-or security concerns and potential threats? Are they real or imaginary?
What additional!specific security measures and actions would be re"uired at local!regional leel to further raise
the defence against threats?
Will the new security measures imposed after ' (uly &))* will help reduce the piracy and armed robbery
incidents?
What are the security concerns and potential threats to oil tankers naigating in narrow straits?
,ow will the code specifically affect ports and shipping in different regions of the world?
.o these measures go far enough for port and shipping security?
Who has to implement the ISPS Code?
What penalties will there be on any /oernments who do not ensure compliance with the ISPS Code?
What guidelines are there for dealing with ships!ports that are not compliant after ' (uly &))*?
Why isn0t the IMO directly responsible for the ISPS code and its implementation?
Will the ISPS Code be a big hindrance to international trade and shipping?
Why did the IMO leae so much of ISPS open to interpretations?
What about the issue of master as a ship security officer?
What has IMO done to help deeloping countries implement the ISPS Code?
Which maritime security model courses are aailable?
What led to the deelopment of the ISPS Code?
What maritime security measures e1isted before the ISPS Code and other measures were adopted?
What issues are under discussion at the #egal Committee with a iew to amending the S2A Conention?
What measures hae been adopted in the security communication field?
What role would AIS and ship security alert system play?
Should IMO should be worried about the implications of terrorists or criminals using AIS deried information to
target essels?
When do ordinary container ships and ro!ros hae to fit AIS?
What is the current situation at WCO in relation to container security?
What about seafarers identification documents?
Where can I find more information on maritime security?
What is the ISPS Code?
3he International Ship and Port 4acility Security Code 5ISPS Code6 is a comprehensie set of measures to
enhance the security of ships and port facilities+ deeloped in response to the perceied threats to ships and port
facilities in the wake of the 7!'' attacks in the 2nited States8
3he ISPS Code is implemented through chapter $I%& Special measures to enhance maritime security in the
International Conention for the Safety of #ife at Sea 5SO#AS68 3he Code has two parts+ one mandatory and one
recommendatory8
In essence+ the Code takes the approach that ensuring the security of ships and port facilities is a risk
management actiity and that+ to determine what security measures are appropriate+ an assessment of the risks
must be made in each particular case8
3he purpose of the Code is to proide a standardised+ consistent framework for ealuating risk+ enabling
/oernments to offset changes in threat with changes in ulnerability for ships and port facilities through
determination of appropriate security leels and corresponding security measures8
Who has to comply with the ISPS Code?
3he ISPS Code is part of SO#AS so compliance is mandatory for the '*9 Contracting Parties to SO#AS % see
Status of Conentions complete list for list of SO#AS Contracting /oernments8
Is there a black list of countries not in compliance with the ISPS code?
:o8 IMO does not issue a ;black list; of any kind8 3here is no IMO list of ports or flag States which are not in
compliance8
3he ISPS Code database contains the information re"uired by SO#AS regulation $I%&!'< as supplied by
Contracting /oernments8 #ack of inclusion in the database should not be construed automatically as failure to
comply with the re"uirements in SO#AS8
Are all IMO Member States obliged to comply with the ISPS Code?
:o8 Only States who are Contracting /oernments to SO#AS hae a legal obligation to comply with the
re"uirements of the ISPS Code and to submit information to IMO8
What are the different security leels referred to in the ISPS Code?
Security leel != normal+ the leel at which the ship or port facility normally operates8 Security leel ' means
the leel for which minimum appropriate protectie security measures shall be maintained at all times8
Security leel "= heightened+ the leel applying for as long as there is a heightened risk of a security incident8
Security leel & means the leel for which appropriate additional protectie security measures shall be maintained
for a period of time as a result of heightened risk of a security incident8
Security leel #= e1ceptional+ the leel applying for the period of time when there is the probable or imminent
risk of a security incident8
Security leel < means the leel for which further specific protectie security measures shall be maintained for a
limited period of time when a security incident is probable or imminent+ although it may not be possible to
identify the specific target8
Setting security leel < should be an e1ceptional measure applying only when there is credible information that a
security incident is probable or imminent8 Security leel < should only be set for the duration of the identified
security threat or actual security incident8 While the security leels may change from security leel '+ through
security leel & to security leel <+ it is also possible that the security leels will change directly from security
leel ' to security leel <8
Where can I get a copy of the ISPS Code?
>ou can purchase the ISPS Code from IMO Publications8
What are the other measures adopted in addition to the ISPS Code?
3he measures adopted in &))& include=
Modifications to SO$AS Chapter % &Safety of Navigation' contain a new timetable for the fitting of
Automatic Information Systems 5AIS68 Ships+ other than passenger ships and tankers+ of <)) gross tonnage and
upwards but less than ?)+))) gross tonnage+ will be re"uired to fit AIS not later than the first safety e"uipment
surey after ' (uly &))* or by <' .ecember &))*+ whicheer occurs earlier8 Ships fitted with AIS shall maintain
AIS in operation at all times ;e1cept where international agreements+ rules or standards proide for the
protection of naigational information8;
3he e1isting SO#AS Chapter $I 5Special measures to enhance maritime safety6 has been re%numbered as Chapter
$I%'8 @egulation $I%'!< is modified to re"uire ships0 identification numbers to be permanently marked in a isible
place either on the ship0s hull or superstructure8 Passenger ships should carry the marking on a horiAontal surface
isible from the air8 Ships should also be marked with their I. numbers internally8
A new regulation $I%'!? re"uires ships to be issued with a Continuous Synopsis (ecord &CS(' which is
intended to proide an on%board record of the history of the ship8 3he CS@ shall be issued by the Administration
and shall contain information such as the name of the ship and of the State whose flag the ship is entitled to fly+
the date on which the ship was registered with that State+ the ship0s identification number+ the port at which the
ship is registered and the name of the registered owner5s6 and their registered address8 Any changes shall be
recorded in the CS@ so as to proide updated and current information together with the history of the changes8
)ew Chapter *I+" &Special measures to enhance maritime security'
A new Chapter $I%& 5Special measures to enhance maritime security6 is added after the renumbered Chapter $I%
'8
3his chapter applies to passenger ships and cargo ships of ?)) gross tonnage and upwards+ including high speed
craft+ mobile offshore drilling units and port facilities sering such ships engaged on international oyages8
@egulation $I%&!& of the new chapter enshrines the International Ship and Port 4acilities Security Code 5ISPS
Code68 Part A of this Code is mandatory and part B contains guidance as to how best to comply with the
mandatory re"uirements8
@egulation $I%&!< re"uires Administrations to set security leels and ensure the proision of security leel
information to ships entitled to fly their flag8 Prior to entering a port+ or whilst in a port+ within the territory of a
Contracting /oernment+ a ship shall comply with the re"uirements for the security leel set by that Contracting
/oernment+ if that security leel is higher than the security leel set by the Administration for that ship8
@egulation $I%&!9 confirms the role of the Master in e1ercising his professional -udgement oer decisions
necessary to maintain the security of the ship8 It says he shall not be constrained by the Company+ the charterer
or any other person in this respect8
@egulation $I%&!C re"uires all ships to be proided with a ship security alert system+ according to a strict
timetable that will see most essels fitted by &))* and the remainder by &))C8 When actiated the ship security
alert system shall initiate and transmit a ship%to%shore security alert to a competent authority designated by the
Administration+ identifying the ship+ its location and indicating that the security of the ship is under threat or it
has been compromised8 3he system will not raise any alarm on%board the ship8 3he ship security alert system
shall be capable of being actiated from the naigation bridge and in at least one other location8
@egulation $I%&!') coers re"uirements for port facilities+ proiding among other things for Contracting
/oernments to ensure that port facility security assessments are carried out and that port facility security plans
are deeloped+ implemented and reiewed in accordance with the ISPS Code8
Other regulations in this chapter coer the proision of information to IMO+ the control of ships in port 5including
measures such as the delay+ detention+ restriction of operations including moement within the port+ or e1pulsion
of a ship from port6+ and the specific responsibility of Companies
What are the latest data,information on the implementation of the re-uirements of SO$AS chapter
*I+" and the ISPS Code?
Please see the latest ISPS Code status update8
Please see also the ISPS Code .atabase8
What about compliance with the re-uirements?
Please see the latest ISPS Code status update8
Please see also the ISPS Code .atabase8
What has changed since ! .uly "//0?
3he biggest change is that the Contracting /oernments to the '7D* SO#AS Conention are able to formally
e1ercise of control oer ships in accordance with the proisions of chapter $I%& and of the ISPS Code8
At the same time+ the Contracting /oernments are obliged to address all the ob-ecties and functional
re"uirements of the ISPS Code and to ensure that appropriate security measures and procedures are in place in
the port facilities and waterways located within their territory8
3he new re"uirements form the international framework through which /oernments+ ships and port facilities can
co%operate to detect and deter acts which threaten security in the maritime transport sector8
3he new regulatory maritime security regime will hae a huge impact for those port facilities and ship operators
who had not already taken on board the increased threat to maritime security in the current climate8 3hey will
need to catch up+ according to the rules and guidelines in the ISPS Code8
4or those /oernments and ship operators who hae already implemented enhanced security regimes+ the ISPS
Code formalises and standardises globally the security measures8
3he point is that there is a ery real threat8 We hae already seen attacks on maritime infrastructures elsewhere
5such as >emen and Ira"68
3he whole idea of the ISPS Code is to reduce the ulnerability of the industry to attack+ thus countering the
threat and reducing the risk8
3here are potential commercial benefits to the maritime industry in implementing the Code8 It seems clear that+
in the long run+ implementation of the Code should proide considerable cost%benefit for the port industry as a
whole and for indiidual ports8 By putting in place an effectie and compliant security regime+ ports will be able to
continue to participate fully in global trade and+ of course+ the potential economic conse"uences of a ma-or
security breach+ which might result in disruption or een port closure+ are serious indeed8
What does implementing the ISPS Code inole?
Ship and port facility security is a risk management actiity8 As with all risk management efforts+ the most
effectie course of action is to eliminate the source of the threat8 Eliminating the source of the threat+ which in
this case is those that would commit acts of terrorism or otherwise threaten the security of ships or of the port
facilities+ is essentially a /oernment function8 '))F security is an aim but cannot be guaranteed % hence the
risk reduction approach to lessen possibilities to the lowest practicable
In order to determine what security measures are appropriate+ /oernments must assess the threat and ealuate
the risk of a potential unlawful act8 3he ISPS Code proides a standardiAed+ consistent framework for managing
risk and permitting the meaningful e1change and ealuation of information between Contracting /oernments+
companies+ port facilities+ and ships8
Because each ship and each port facility is sub-ect to different threats+ the method by which they will meet the
specific re"uirements of this ISPS Code will be determined and eentually be approed by the Administration or
Contracting /oernment+ as the case may be8
In order to communicate the threat at a port facility or for a ship and to initiate the appropriate response actions
the Contracting /oernment must set the appropriate security leel8 3he security leel creates a link between the
ship and the port facility+ since it triggers the implementation of appropriate security measures for the ship and
for the port facility8
As threat increases+ the only logical counteraction is to reduce ulnerability8 3his ISPS Code proides seeral
ways to reduce ulnerabilities8 Each ship and each port facility will hae to determine the measures needed to
intensify its security measures to appropriately offset the threat by reducing its ulnerability8
After ' (uly &))* ships and port facilities will be re"uired to demonstrate that they are implementing proper and
standardiAed risk management procedures8
Are the new security measures be effectie?
It has to be remembered that the new security re"uirements are part of a wider 2nited :ations strategy for
combating terrorism and should not be seen in isolation8
As with all other aspects of shipping regulated through multilateral treaty instruments the effectieness of the
agreed re"uirements is dependant on how the releant proisions are implemented and enforced8 3hus+ the
matter is in the hands of /oernments and the industry8 If the special measures to enhance maritime security
are implemented and enforced effectiely we will be successful in protecting ships and ports facilities from
unlawful acts8
It may take some time before someone may be able to argue and conince that a deep rooted comprehensie
and effectie security net is in place8 Although a ship or a port facility may operate in accordance with an
approed security plan+ unless all Contracting /oernments put in place and maintain the necessary
arrangements to address all the ob-ecties and the functional re"uirements of the ISPS Code+ the actual leel of
security will not be enhanced8
3he ISPS Code re"uires /oernments to gather and assess information with respect to security threats and
e1change such information with other Contracting /oernments8 Shipboard and port facility personnel need to be
aware of security threats and needs to report security concerns to the appropriate authorities for their
assessment8 /oernments need to communicate security related information to ships and port facilities8
3herefore+ in effect we are talking about establishing an entirely new culture amongst those inoled in the day%
to%day running of the shipping and port industry8
What would happen to ships if they do not comply with the ISPS Code re-uirements and if they do not
hae the Certificate?
3hose ships+ which do not comply with the aforesaid re"uirements+ should not be issued with International Ship
Security Certificates 5or after the ' (uly &))*+ if they "ualify+ with an Interim International Ship Security
Certificate68
In the strict legal sense and bearing in mind that we are talking about security+ all Contracting /oernments
should direct those ships flying their flag and which are re"uired to comply with the re"uirements of chapter $I%&
and the ISPS Code and which hae not been issued with the re"uired certificate by the ' (uly &))* to
immediately discontinue operations until they hae been issued with the re"uired certificate8
A ship+ which is re"uired to comply with the re"uirements of chapter $I%& and the ISPS Code+ is sub-ect to
control and compliance measures when in a port of another Contracting /oernment by officers duly authorised
by that /oernment8 IMO has issued MSC!Circ8'''' /uidance relating to the implementation of SO#AS chapter
$I%& and the ISPS Code
3his circular includes=
A::E$ ' /2I.A:CE @E#A3I:/ 3O 3,E IMP#EME:3A3IO: O4 SO#AS C,AP3E@ $I%& A:. 3,E ISPS
CO.E
A::E$ & @ESO#23IO: MSC8'?75D96 I:3E@IM /2I.A:CE O: CO:3@O# A:. COMP#IA:CE MEAS2@ES
3O E:,A:CE MA@I3IME SEC2@I3>
In simple terms+ if a ship does not hae a alid certificate that ship may be detained in port until it gets a
certificate8 Of course+ the port State has arious other options aailable at its disposal if a ship does not hae a
certificate8 It may e1pel the ship from port+ it may refuse the entry of the ship into port+ it may curtail the
operations of the ship8 In effect the measures which are in place hae been designed in such a way to ensure
that those ships which do not hae certificates find themseles out of the market in the shortest possible time8
3he conse"uences of either initially failing to comply or of failing to maintain continuous compliance with IMO0s
special measures to enhance maritime security will be serious and far reaching8 It should come as no surprise if+
after (uly 'st+ we see /oernments e1ercising+ in the interest of their own national security and in order to
protect the business operations of their ports and thus their trade+ the rights laid down within the framework of
the control and compliance measures established in chapter $I%& and the ISPS Code8 ,ence+ /oernments may
refuse entry into their ports to those ships which hae failed to comply with the ISPS Code8 In addition and for
the same reasons+ ships which call at port facilities which hae failed to comply with the ISPS Code+ although
they may hold a alid International Ship Security Certificate+ may be faced with additional security re"uirements
at subse"uent ports of call+ leading to delays and possibly denial of port entry8
With such possible scenarios looming on the horiAon+ owners and charterers may decide to instruct ships not to
proceed to port facilities which hae not complied with the re"uirements of the ISPS Code+ primarily because of
the problems such ships may encounter at subse"uent ports of call8 While failure to ensure compliance may hae
catastrophic conse"uences on human life and the enironment+ it will also damage the commercial interests of
the countries concerned+ will hae harmful repercussions on international trade and will negatiely impact the
world economy8
3errorism is not a matter of concern to one country or a group of countries % it is a global issue and we should
address it as such8 3he Secretary%/eneral of the 2nited :ations+ Mr8 G8 Annan+ has put it in similar terms=
;3errorism is a global scourge with global effects8; In this particular case+ maybe more than in others+ preention
is better+ much better+ than cure8 3he comforting yet complacent argument that some of us may hope neer to
become ictims of a terrorist act is of no alue here8 With the interdependence of the world0s economies today+
the chain reaction that such an act may trigger will hae a ma-or negatie impact on trade and the global
economy % we will all be ictimsH as we would certainly hae been if the attack on the Basra oil terminal had not
been foiled and we would now suffer the repercussions of the ma-or impact it would hae on oil pricing% more
than it has already had8
What would happen to ships1 haing isited ports where the ISPS Code is not implemented properly1
when they intend to enter ports where the ISPS Code is implemented igorously?
3o address this "uestion one has to e1amine two possible scenarios8
3he first scenario presupposes that the /oernment at the ne1t port of call has reliable information that the
security measures at a particular port facility are inade"uate8 In such a case a responsible approach will be for
the two /oernments to communicate and to resole the issues of concern8
3he second scenario+ assumes that+ during the stay of a ship at a particular port facility+ the ship and!or someone
representing the port facility or the /oernment where the ship is to proceed ne1t are able to assess the security
measures which the particular port facility was implementing during the stay of the ship8 In this respect+ one has
to bear in mind that in a lot of case the security measures in place may be of a coert nature and a third party
may not be able to identify or to appreciate them8
MSC D9 has considered the issue of security concerns+ where a ship has concerns about the security of a port
facility+ which is supposed to operate in accordance with an approed Port 4acility Security Plan8 In this respect
the Committee decided to draw the attention to the fact that certain of the security measures may be of a coert
nature and may not be easily identified8 3hus+ the Committee recommended that the ship+ as a first step+ should
contact the port facility security officer 5P4SO6 and discuss the matter8 If no remedial action is agreed then the
ship should contact the authorities of its flag State and raise the matter with them for their consideration and
action8
In any case+ if a ship has concerns about the security measures in places at a particular port facility and the ship
has not been able to resole such concerns with the particular P4SO+ the ship should establish appropriate
security measures and procedures and should document them8 When asked at any subse"uent port of call+ the
master of the ship should presented the record it has kept on the matter for the consideration of the releant
authorities8
Of course in all cases the ship is sub-ect to control and compliance measures at subse"uent ports of call and what
might happened to a ship is dependant on the attitude the particular /oernment might take on the matter
depending on the merits of each case8 3his may range from a re"uirement for inspection prior to entry into port
to an outright refusal of entry into port8
See also MSC!Circ8'''' /uidance relating to the implementation of SO#AS chapter $I%& and the ISPS Code
3his circular includes=
A::E$ ' /2I.A:CE @E#A3I:/ 3O 3,E IMP#EME:3A3IO: O4 SO#AS C,AP3E@ $I%& A:. 3,E ISPS
CO.E
A::E$ & @ESO#23IO: MSC8'?75D96 I:3E@IM /2I.A:CE O: CO:3@O# A:. COMP#IA:CE MEAS2@ES
3O E:,A:CE MA@I3IME SEC2@I3>
2ow can I find out if a ship or port is compliant?
A ship that is compliant should hae an International Ship Security Certificate 5ISSC68
3he ;ISPS Code .atabase;+ which forms an integral part of the OrganiAation0s /lobal Integrated Shipping
Information System 5/ISIS6+ contains the information re"uired by SO#AS regulation $I%&!'< as supplied by
Contracting /oernments+ including national maritime security contact points8 3he ISPS Code database has a
section listing ports including whether or not they hae an approed port facility security plan 5P4SP68
What are ma3or security concerns and potential threats? Are they real or imaginary?
3he threat of terrorist acts against the shipping and port industry are real and not imaginary8 It is for these
reasons the Assembly of IMO+ in :oember &))'+ decided that the OrganiAation should reiew measures and
procedures to preent acts of terrorism which threaten the security of passengers and crew and the safety of
ships8 It is also obious that the Contracting /oernments to the '7D* SO#AS Conention+ when they adopted
the special measures to enhance maritime security in .ecember &))&+ were well aware of potential threats8
Chapter $I%& and the ISPS Code proide a methodology of addressing security threats and managing potential
risks which ships and ports inoled in the international trade may face8 IMO is of the iew they are ade"uate to
protect the shipping and the port industry if implemented and enforced wisely and effectiely in con-unction with
the wider 2nited :ations counter terrorism strategy8 Ships engaged on domestic oyages and ports which sere
such ships need to be addressed by each /oernment indiidually and each /oernment needs to put in place
appropriate security measures and procedures to this end based their assessment of the security threats8
Security threats change from day%to%day8 /oernments need to monitor changes and to offset them+ as they
occur+ by communicating appropriate information and guidance to ships and port facilities8 Security is not a static
issue and re"uires continuous awareness+ igilance and prompt response8
3he IMO has proided a methodology in addressing the matter by introducing a global minimum standard8
Indiidual /oernments can use these as a basis for e1pansion as appropriate8
What additional,specific security measures and actions would be re-uired at local,regional leel to
further raise the defence against threats?
All appropriate measures should be taken in accordance with the perceied local needs8
Some e1amples might include regular and intensie patrolling at the local leel in identified ulnerable sea!port
areas8 In addition+ -oint patrolling and e1change of real time intelligence and threat perception among countries
at a regional leel would hae a meaningful impact in preenting incidents of piracy and armed robbery against
ships8
4or measures to be applied for container security+ it is important to put in place the necessary measures for
shippers and container packers to secure the ;real content; of containers8 3his area is beyond the scope of IMO
and necessary measures hae been under consideration at the World Customs OrganiAation 5WCO68
Will the new security measures imposed after ! .uly "//0 will help reduce the piracy and armed
robbery incidents?
#ogically it should be so8 In the months leading up to the ' (uly &))* deadline of the ISPS Code+ there has been
a reduction in the number of incidents reported to hae occurred during the first "uarter of &))*8 3here could be
a possible correlation between the two but only a careful monitoring oer a longer period would gie a firm
indication of the long%term trend in this respect8
Chapter $I%& includes a regulation addressing threats to ships at sea8 3his regulation re"uires /oernments to
set security leels and ensure the proision of security leel information to ships operating in their territorial sea
or haing communicated an intention to enter their territorial sea8
Where a risk of attack has been identified+ the /oernment concerned shall adise the ships concerned and their
flag State of the current security leelH of any security measures that should be put in place by the ships
concerned to protect themseles from attackH and of the security measures that the coastal State has decided to
put in place8
3hus+ at least the international framework has been put in place to address the matter8 :ow is up to
/oernments to implement it8
What are the security concerns and potential threats to oil tankers naigating in narrow straits?
IMO Secretary%/eneral Mr8 Efthimios Mitropoulos has stressed the importance of ensuring that strategically
important international shipping lanes are protected from the threat of terrorism and remain open for trade at all
times and has emphasiAed the need to ensure that shipping lanes+ particularly those of strategic significance and
importance+ are kept open under all circumstances8
Maritime security e1perts hae identified a number of scenarios= loaded oil tankers could well be hi-acked and
grounded at enironmentally sensitie sea areas to cause pollution or run aground intentionally in narrow
channels to block naigation channels8 In addition+ loaded oil tankers could be used as potential incendiary
deices by terrorists near ports and large anchorage areas8
SO#AS regulation $I%&!D relating to threats to ships at sea re"uires littoral States to adise the ships concerned
and their flag State of the current security leelH of any security measures that should be put in place by the
ships concerned to protect themseles from attackH and of the security measures that the coastal State has
decided to put in place8
2ow will the code specifically affect ports and shipping in different regions of the world?
3he ISPS Code is applicable in the same way to all shipping nations % flag States and port States % globally and
uniersally8 All '*9 Parties to SO#AS must ensure their ships and port facilities comply with the re"uirements8
4o these measures go far enough for port and shipping security?
3he maritime security proisions of SO#AS chapter $I%& and the ISPS Code are part of a wider initiatie to
counter terrorism+ including action by the Counter 3errorist Committee of the 2: Security Council through
resolution '<D<+ co%operation with the WCO on container security+ -oint initiaties with the I#O on port security
and identification documents etc8
It is better to hae a tool that we can refine and improe oer time+ than nothing at all8 After all+ those who
would wish to spread terror+ should they choose to launch an attack against shipping+ would surely look to strike
where they detect the greatest weakness8
3he Maritime Safety Committee and its subsidiary bodies are continuously working on additional elements of and
guidance for the mandatory re"uirements+ i8e8 Ship Security Alert Systems 5SSAs6+ long%range identification and
tracking 5#@I36 of ships+ control and compliance measures+ training and certification of security officers+ etc8
Who has to implement the ISPS Code?
It is for the SO#AS Contracting /oernments to implement the measures % detailed implementation of the Code is
a matter for indiidual national goernments8
We are all aware of the changing world around us and the threat to the maritime industry as demonstrated by
the attacks on maritime infrastructure which hae taken place8 We cannot afford to be complacent8
3he ISPS Code was adopted in .ecember &))& % but IMO had already initiated its regional awareness seminars %
seen regional seminars during &))& % so the idea of security was out there8 Although all parties concerned knew
that the time frame was ery tight+ the industry and /oernments had sufficient time to prepare8 3here is no
leeway in SO#AS for e1tensions of the deadline8
What penalties will there be on any 5oernments who do not ensure compliance with the ISPS Code?
IMO will not impose any penalties % it is not within its remit to do so8
It is to be anticipated that market forces and economic factors will drie compliance8
But the conse"uences of either initially failing to comply or of failing to maintain continuous compliance with
IMO0s special measures to enhance maritime security+ could be serious and far reaching8
What guidelines are there for dealing with ships,ports that are not compliant after ! .uly "//0?
3he Maritime Safety Committee 5MSC6 at its D9th session adopted /uidelines on Control and Compliance
Measures to Enhance Maritime Security % MSC!Circ8'''' /uidance relating to the implementation of SO#AS
chapter $I%& and the ISPS Code includes=
A::E$ ' /2I.A:CE @E#A3I:/ 3O 3,E IMP#EME:3A3IO: O4 SO#AS C,AP3E@ $I%& A:. 3,E ISPS
CO.E
A::E$ & @ESO#23IO: MSC8'?75D96 I:3E@IM /2I.A:CE O: CO:3@O# A:. COMP#IA:CE MEAS2@ES
3O E:,A:CE MA@I3IME SEC2@I3>
Why isn6t the IMO directly responsible for the ISPS code and its implementation?
3he ISPS Code and other security amendments were adopted under the SO#AS Conention8 3he Conention itself
does not allow for IMO as a body to impose penalties8 It proides for indiidual Contracting /oernments to adopt
the rules into their own national legislation8 So there is no remit under the Conention for IMO as a body to
monitor compliance or to go beyond the role set out for it under the Conention8
Is the ISPS Code be a big hindrance to international trade and shipping?
3he conse"uences of either initially failing to comply or of failing to maintain continuous compliance with IMO0s
special measures to enhance maritime security will be serious and far reaching8 But IMO0s goal remains the
efficiency of shipping8
@egulation $I%&!7 on Control and compliance measures states that when Contracting /oernments e1ercise
control=
' all possible efforts shall be made to aoid a ship being unduly detained or delayed8 If a ship is thereby
unduly detained+ or delayed+ it shall be entitled to compensation for any loss or damage sufferedH and
& necessary access to the ship shall not be preented for emergency or humanitarian reasons and for
security purposes8
Why did the IMO leae so much of ISPS open to interpretations?
3he ISPS Code is a ery detailed document8 It includes a mandatory part and a recommendatory part8 3he
recommendatory part is intended to address those areas where ery specific characteristics of a ship or port
facility may mean that ;one siAe; does not ;fit all;8
What about the issue of master as a ship security officer?
3he Maritime Safety Committee 5MSC6 has confirmed that neither the drafting of the definition of the SSO nor the
proisions of the ISPS Code relating to his responsibilities+ training etc8 were aimed at preenting the master
from being designated as SSO8
According to the ISPS Code+ it is the responsibility of the Company and the Company Security Officer to appoint
the SSO8 3his naturally has to be endorsed by the Administration of the flag State and!or the @ecogniAed Security
OrganiAation through the approal of the Ship Security Plan and issuing of the International Security Shipping
Certificate and!or the releant training certificate by the Administration as appropriate8
3he definition of the SSO should be iewed in con-unction with SO#AS regulation $I%&!9 on ;Master0s discretion
for ship safety and security;+ which makes it clear that the master has ultimate responsibility for safety and
security8
3he phrase ;accountable to the master; in the definition of SSO is intended to coer those situations+ for e1ample
on large passenger ships+ where the SSO is not the master+ by reaffirming that the master has oerall
responsibility for security8 3here is implicitly no intention of preenting the master from assuming the duties of
SSO+ as this would be inconsistent with SO#AS regulation $I%&!98
It is+ of course+ for the national Administrations to decide if they wish to impose particular restrictions on who
may sere as SSOs on ships flying their flag8 3his should+ howeer+ not be imposed by national Administrations
on ships not flying their flag through port State control measures+ since this is clearly the prerogatie of the
Contracting /oernment of the flag State concerned8
What has IMO done to help deeloping countries implement the ISPS Code?
In &))&+ IMO initiated a ma-or programme under its Integrated 3echnical Co operation Programme 5I3CP6 to
assist deeloping countries to contribute to the global effort to protect shipping from terrorist attacks8 A sum of
2SI&+'*?+))) was set aside in the I3CP for &))&%&))< with a further 2SI?))+))) allocated in &))*%&))? to
undertake the work inoled8
More than C) regional and national seminars and workshops on maritime security+ together with a number of
adisory and assessment missions+ hae already been undertaken and more are planned8 A Maritime Security
3rust 4und has been established and financial support and pledges from a number of Member /oernments hae
been receied8
Which maritime security model courses are aailable?
IMO has deeloped the following Model Courses=
ISPS + Company Security Officer1 "//# edition
3his model course aims to proide knowledge to those who may be designated to perform the duties and
responsibilities of a Company Security Officer 5CSO68
ISPS + Port 7acility Security Officer1 "//# edition
3his model course aims to proide knowledge to those who may be designated to perform the duties and
responsibilities of a Port 4acility Security Officer 5P4SO68
ISPS + Ship Security Officer1 "//# edition
3his model course aims to proide knowledge to those who may be designated to perform the duties and
responsibilities of a Ship Security Officer 5SSO68
What led to the deelopment of the ISPS Code?
In :oember &))'+ two months after the ;7!''; attacks+ IMO0s &&nd Assembly adopted resolution A87&*5&&6
@eiew of measures and procedures to preent acts of terrorism which threaten the security of passengers and
crews and the safety of ships+ which called for a thorough reiew of all e1isting measures already adopted by IMO
to combat acts of iolence and crime at sea8
3he Assembly agreed to hold a diplomatic conference on maritime security in .ecember &))&+ to adopt any new
regulations that might be deemed necessary to enhance ship and port security and preent shipping from
becoming a target of international terrorism and it also agreed to a significant boost to the OrganiAation0s
technical co%operation programme of J'8? million+ to help deeloping countries address maritime security issues8
3he ISPS Code and other maritime security measures were deeloped by IMO0s Maritime Safety Committee
5MSC6 and its Maritime Security Working /roup before being adopted by a Conference n Maritime Security in
.ecember &))&+ with entry into force set for ' (uly &))*8
What maritime security measures e8isted before the ISPS Code and other measures were adopted?
3he e1isting measures prior to the adoption of the ISPS Code included guidelines adopted following the '79?
Achille #auro incident+ in which Palestinian terrorists hi-acked an Italian cruiseship and killed a passenger before
agreeing terms to end their siege8
Assembly resolution A8?9*5'*6 on Measures to prevent unlawful acts which threaten the safety of ships
and the security of their passengers and crew+ adopted in '79?+ inited the MSC to deelop detailed and
practical technical measures to ensure the security of passengers and crews on board ships+ taking into account
the work of the International Ciil Aiation OrganiAation in the deelopment of standards and recommended
practices for airport and aircraft security8 In .ecember '79?+ the 2nited :ations /eneral Assembly called on the
IMO to study the problem of terrorism aboard or against ships with a iew to making recommendations on
appropriate measures8
In '79C+ IMO issued MSC!Circ8**< on Measures to prevent unlawful acts against passengers and crews on board
ships gae guidelines on the steps that should be taken+ with particular reference to passenger ships engaged on
international oyages of &* hours or more and the port facilities which serice them8
In :oember '79C+ work began in IMO0s #egal Committee on the preparation of a conention on unlawful acts
against the safety of maritime naigation8 In March '799 a conference in @ome adopted the Conention for the
Suppression of 2nlawful Acts Against the Safety of Maritime :aigation+ '799 and the Protocol for the
Suppression of 2nlawful Acts Against the Safety of 4i1ed Platforms #ocated on the Continental Shelf+ '7998
In '77C the MSC adopted MSC!Circ8D?* on Passenger ferry security8
What issues are under discussion at the $egal Committee with a iew to amending the S9A
Conention?
3he #egal Committee at it last session in April &))* continued its consideration of a draft protocol to the S2A
Conention and Protocol
Most delegations stated their support for the reision and strengthening of the S2A Conention in order to
proide an answer to the increasing risks posed by terrorism to maritime naigation8 :eertheless+ seeral
delegations referred to the need to ensure that the prospectie S2A Protocols do not -eopardiAe the principle of
freedom of naigation and the right of innocent passage which are guaranteed by the '79& 2nited :ations
Conention on the #aw of the Sea 52:C#OS6+ as well as basic principles of international law and the operation of
international commercial shipping8
What measures hae been adopted in the security communication field?
In order to achiee its ob-ecties+ the ISPS Code embodies a number of functional re"uirements8 3hese include+
amongst others+ a re"uirement for the maintenance of communication protocols for ships and port facilities and
re"uirement for means for raising the alarm in reaction to security threats or security incidents8
:either chapter $I%& nor the ISPS Code e1pand+ for good reasons+ on security communications and the matter is
left to the discretion of /oernments8
What role would AIS and ship security alert system play?
Ship Security Alert System &SSAS'
3he ship security alert system is designed to raise the alarm ashore in reaction to security threats or security
incidents by notifying the flag State of the ship without alerting ships or coastal States in the icinity or giing
any indication on board8 2se of the ship security alert system is a recognition that security is political and
re"uires different response to a distress or emergency situation on board8
AIS
Operation of AIS in certain sea areas would cause security concern because information broadcast through AIS
could be collected by pirates or terrorists8 Because of this concern+ the last Assembly adopted resolution A
7?C5&<6 which allow ship masters to switch off the AIS in specific areas where threat of attack by pirates or
terrorists are imminent8 IMO has taken an action to coer this area of concern8
Should IMO should be worried about the implications of terrorists or criminals using AIS deried
information to target essels?
IMO has taken an action to coer this area of concern+ i8e8 that operation of AIS in certain sea areas would cause
security concern because information broadcasted through AIS could be collected by pirates or terrorists8
Because of this concern+ the last Assembly in :oember &))< adopted resolution A 7?C5&<6 Amendments to the
/uidelines for the onboard operational use of shipborne automatic identification systems 5AIS6 resolution
A87'D5&&6 which allows ship masters to switch off the AIS in specific areas where threat of attack by pirates or
terrorists are imminent8
AIS is the broadcasting deice and information will be made aailable for eeryone without any discrimination8
3hat information will be aailable for the coast safety agencies and authorities and could e"ually be aailable for
ill%minded people8 AIS itself is a tool used in an information collection system and we can not preent people
misusing that information8
,oweer+ AIS is also useful for monitoring the situation oer any particular sea area by the security authorities
within the security system established by those security authorities8
Concern oer the security implication of the operation of AIS can only be oercome by tightening the security
control measures to be enforced by the coastal security authorities8
When do ordinary container ships and ro,ros hae to fit Ship Security Alert Systems?
:ew container ships and new ro%ro cargo ships 5i8e8 container and ro%ro cargo ships constructed on or after ' (uly
&))*6 are re"uired to comply with the re"uirements of regulation $I%&!C on ship security alert systems on the
date they enter serice8
E1isting container ships and e1isting ro%ro cargo ships 5i8e8 container and ro%ro cargo ships constructed before '
(uly &))*6 are considered+ for the purpose of regulation $I%&!C+ as other cargo ships and are re"uired to comply
with the re"uirements for ship security alert system not later than the first surey of their radio installation after
' (uly &))C8
Passenger ships includes ro%ro passenger ships8 3hus+ new ro%ro passenger ships 5i8e8 ro%ro passenger ships
constructed on or after ' (uly &))*6 are re"uired to comply with the re"uirements of regulation $I%&!C on ship
security alert systems on the date they enter serice8 E1isting ro%ro passenger ships 5i8e8 ro%ro passenger ships
constructed before ' (uly &))*6 are re"uired to comply with the re"uirements for ship security alert system not
later than the first surey of their radio installation after ' (uly &))*8
@egulation I!<5a65i6 states that the present regulation 5the term regulation is defined in regulation I!&5a6 as
meaning the regulations contained in the anne1 to the '7D* SO#AS Conention6+ unless e1pressly proided
otherwise+ do not apply to fishing essels8 @egulation $I%&!&8' indicates the classes of ships to which the special
measures to enhance maritime security apply and does not include fishing essels8 3hus+ fishing essels+
irrespectie of their siAe+ are not re"uired to be proided with ship security alert systems8 ,oweer+ nothing
prohibits a State re"uiring the fishing essels flying its flag to be proided with ship security alert systems8
3he Maritime Safety Committee has recogniAed that in a number of occasions certain container ships may meet+
in terms of speed+ the definition of a high%speed craft8 ,oweer+ such container ships should be treated as cargo
ships and not a high%speed crafts falling under the scope of the ,igh Speed Craft Codes8
What is the current situation at WCO in relation to container security?
When adopting the amendments to the '7D* SO#AS Conention and the new ISPS Code concerning special
measures to enhance maritime security in &))&+ the SO#AS Conference+ being aware of the competencies and
work of the World Customs OrganiAation 5WCO6+ also adopted a resolution 5Conference resolution 76+ which+
inter%alia+ inites the WCO to consider+ urgently+ measures to enhance security throughout international
moements of closed cargo transport units 5C32s68 In response to the call for action from the /roup of eight 5/96
and IMO+ the WCO adopted the @esolution on Supply Chain Security and 3rade 4acilitation in &))&+ which
addresses a series of steps to protect the international trade supply chain from acts of terrorism8 Since the
adoption of the resolution+ the WCO 3ask 4orce was established and deeloped a package of measures+ including=
an amended WCO data Model and a list of &D essential data elements for identification of high risk
consignmentsH
Customs guidelines for Adance Cargo Information 5ACI /uidelines6 to enable the adance 5pre arrial6
electronic transmission of customs data 53itle of these guidelines has recently been changed to
;Integrated Supply Chain Management /uidelines; 5ISCM /uidelines6H
WCO ,igh #eel /uidelines for Co%operatie Arrangements between Members and priate industry to
increase supply chain security and facilitate the flow of international tradeH and
a new International Conention on Mutual Administratie Assistance in Customs Matters to assist
Members in deeloping a legal basis to enable the adance electronic transmission of customs data8
WCO is currently working on further deelopment of supplementary instruments for the implementation of the
aboe mentioned ma-or WCO instruments+ with a iew to finaliAing them by the end of &))*8
Measures to be taken by all parties in the supply chain 5e8g8 shipper+ consolidator+ terminal operators+ warehouse
operators etc6 for the security of closed cargo transport units 5C32s6 hae been addressed in principle in the
;WCO ,igh #eel /uidelines for Co%operatie Arrangements between Members and priate industry; and more
detailed guidelines for each business sector are currently under deelopment by WCO8
What about seafarers identification documents?
Conference resolution 9 5Enhancement of security in co-operation with the International Labour
Organization6 adopted by the &))& maritime secuirty conference inited the I#O to continue the deelopment of
a Seafarers0 Identity .ocument as a matter of urgency+ which should coer+ among other things+ a document for
professional purposesH a erifiable security documentH and a certification information document+ and inited IMO
and the I#O to establish a -oint I#O!IMO Working /roup to undertake more detailed work on comprehensie port
security re"uirements8
3he Seafarers0 Identity .ocuments Conention 5@eised6+ &))< was adopted in (une &))< and it becomes
effectie as from 7 4ebruary &))?8
Where can I find more information on maritime security?
Information @esources on International Maritime Security and ISPS Code
IMO #atest :ews
(:$A;:4 MA;:(IA$
Assembly resolutions
@esolution A87??5&<6 Amendments to the Principles on Safe Manning 5@esolution A897)5&'66
@esolution A87?C5&<6 Amendments to the /uidelines for the onboard operational use of ship borne automatic
identification systems 5AIS6 5@esolution A87'D5&&66
@esolution A87?75&<6 4ormat and guidelines for the maintenance of the Continuous Synopsis @ecord 5CS@6
MSC (esolutions
@esolution MSC8'<C5DC6 Performance standards for a ship security alert system
@esolution MSC8'*D5DD6 Adoption of the @eised performance standards for a ship security alert system
@esolution MSC8'?75D96 Interim guidance on control and compliance measures to enhance maritime security
MSC Circulars
MSC!Circ8')CD Early implementation of the special measures to enhance maritime security
MSC!Circ8')D& /uidance on proision of ship security alert systems
MSC!Circ8')D< .irecties for Maritime @escue Co ordination Centres 5M@CCs6 on acts of iolence against ships
MSC!Circ8')D* Interim /uidelines for the authoriAation of @SOs acting on behalf of the Administration and!or
.esignated Authority of a Contracting /oernment
MSC!Circ8')7D /uidelines for the implementation of SO#AS chapter $I%& and the ISPS Code
MSC!Circ8 '')* Implementation of SO#AS chapter $I%& and the ISPS Code
MSC!Circ8 '')C Implementation of SO#AS chapter $I%& and the ISPS Code to port facilities
MSC!Circ8 '')7 4alse security alerts and distress!security double alerts
MSC!Circ8 ''') Matters related to SO#AS regulations $I%&!C and $I%&!D
MSC!Circ8 '''' /uidance relating to the implementation of SO#AS chapter $I%& and the ISPS Code
MSC!Circ8 '''& Shore leae and access to ships under the ISPS Code
MSC!Circ8'''< /uidance to port State control officers on the non%security related elements of the &))& SO#AS
amendments
Model Courses
IMO Model Course <8'7 Ship Security Officer
IMO Model Course <8&) Company Security Officer
IMO Model Course <8&' Port 4acility Security Officer
Circular $etters
Circular #etter :o8 &?'* Information re"uired from SO#AS Contracting /oernments under the proisions of
SO#AS regulation $I%&!'<
Circular #etter :o8 &?&7 Information re"uired from SO#AS Contracting /oernments under the proisions of
SO#AS regulation $I%&!'<8'8' on communication of a single national contact point