Oral Notes By Rohan ISPS CODE

ISPS CODE
OBJECTIVES:
 To establish an international framework involving co-operation to detect security
threats and take preventive measures against security incidents.
 To establish the respective roles and responsibilities for ensuring maritime security.
 Early and efficient collection and exchange of security-related information.
 To provide a methodology for security assessments.
 To ensure adequate maritime security measures are in place.

FUNCTIONAL REQUIREMENTS:
 Gathering, assessing and exchanging information with respect to security threats
 Maintenance of communication protocols for ships and port facilities;
 Preventing unauthorized access to ships, port facilities and their restricted areas;
 Preventing the introduction of unauthorized weapons or explosives
 Providing means for raising the alarm in reaction to security threats
 Requiring ship and port facility security plans based upon security assessments
Requiring training, drills and exercises to ensure familiarity with security plans and
procedures.

SECURITY LEVELS:
Security level 1 means the level for which minimum appropriate protective security
measures shall be maintained at all times.
Security level 2 means level for which appropriate additional protective security measures
shall be maintained for a period of time as a result of heightened risk of security incident.
Security level 3 means the level for which further specific protective 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 target.

APPLICATION
This Code applies to following types of ships engaged on international voyages:
1. passenger ships, including high-speed passenger craft
2. cargo ships, including high-speed craft of 500 GRT and upwards
3. mobile offshore drilling units
4. port facilities serving such ships engaged on international voyages.

This Code does not apply to warships, naval auxiliaries or other ships owned or operated
by a Contracting Government and used only on Government non-commercial service.
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RESPONSIBILITIES OF CONTRACTING GOVERNMENTS

 Contracting Governments shall set security levels and provide guidance for
protection from security incidents. Factors to be considered in setting the appropriate
security level include:
1. the degree that the threat information is credible;
2. the degree that the threat information is corroborated;
3. the degree that the threat information is specific or imminent; and
4. the potential consequences of such a security incident.
 Contracting Governments, when they set security level 3, shall issue appropriate
instructions and shall provide security related information to the ships and port
facilities that may be affected.
 Contracting Governments may delegate to a recognized security organization (RSO)
certain of their security related duties except the following
1. Setting of the applicable security level;
2. Approving a PFSA and PFSP and subsequent amendments
3. Determining the port facilities which will be required to designate a PFSO
4. Establishing the requirements for a Declaration of Security.
 Contracting Governments shall test the effectiveness of the SSP, PFSP, or of
amendments to such plans they have approved, or in the case of ships, of plans which
have been approved by RSO on their behalf.

DECLARATION OF SECURITY (DOS)

 Contracting Governments shall determine when a DOS is required by assessing the
risk the ship/port interface or STS activity poses to persons, property or environment.
 A ship can request completion of a Declaration of Security when:
1. the ship is operating at a higher security level than port facility or another ship.
2. there is an agreement on a DOS between Contracting Governments.
3. there has been a security threat or incident involving the ship or port facility.
4. the ship is at a port which is not required to have and implement PFSP.
5. the ship is conducting STS activities with a ship not required to have SSP.
 Requests for the completion of a DOS shall be acknowledged by the applicable port
facility or ship.
 The DOS shall be completed by the master/SSO or PFSO.
 The DOS shall address the security requirements that could be shared between a port
facility and a ship (or between ships) and shall state the responsibility for each.
 The minimum period for which Declarations of Security is kept shall be specified for
both ships and port facilities.
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SHIP SECURITY ASSESSMENT (SSA)

 It is an essential and integral part of the process of developing and updating the SSP.
 The CSO shall ensure that the SSA is carried out by the Administration.
 A RSO may carry out the ship security assessment of a specific ship.
The SSA shall include an on-scene security survey and, at least, the following
elements:
1. identification of existing security measures, procedures and operations;
2. identification & evaluation of key ship board operations important to protect;
3. identification of possible threats to the key ship board operations and the
likelihood of their occurrence, to establish and prioritize security measures; and
4. identification of weaknesses, including human factors, in the infrastructure,
policies and procedures.
 The SSA shall be documented, reviewed, accepted and retained by the Company.

SHIP SECURITY PLAN (SSP)

 Each ship shall carry on board a SSP approved by the Administration.
 The plan shall make provisions for the three security levels.
 A RSO may prepare the SSP for a specific ship.
 The Administration may entrust the review and approval of SSP and their
amendments, to a RSO.
 The RSO doing the above function for a specific ship shall not have been involved in
either the preparation of the SSA or of the SSP, or of the amendments.
 The submission of a SSP or amendments for approval shall be accompanied by SSA.
 Such a plan shall be developed taking guidance given in part B and shall be written in
the working language of the ship. If not English, French or Spanish, a translation into
one of these languages shall be included.
 The SSP shall address, at least, the following:
1. Measures designed to prevent carriage of weapons, dangerous substances and
devices on board the ship.
2. Identification of the restricted areas (RA) and measures to prevent unauthorized
access to them
3. Measures for the prevention of unauthorized access to the ship;
4. Procedures for responding to security threats or breaches of security.
5. Procedures for responding to any security instructions Contracting Governments
may give at security level 3;
6. Procedures for evacuation in case of security threats or breaches of security;
7. Duties of shipboard personnel assigned security responsibilities
8. Procedures for auditing the security activities;
9. Procedures for training, drills and exercises associated with the plan
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10. Procedures for interfacing with port facility security activities;

11. Procedures for the periodic review of the plan and for updating;
12. Procedures for reporting security incidents;
13. Identification of the SSO, CSO including his 24 hr contact details
14. Procedures to ensure the inspection, testing, calibration, and maintenance of any
security equipment provided on board;
15. Frequency for its testing or calibration on board
16. Identification of the locations where the SSAS activation points are provided;
17. Procedures, instructions and guidance on the use of SSAS, including the testing,
activation, deactivation and resetting and to limit false alerts.
 The plan may be kept in an electronic format, but protected from unauthorized deletion,
destruction or amendment.
 The plan shall be protected from unauthorized access or disclosure.
 SSP is not subject to inspection. However, in case of non-compliance, limited access to
the specific sections of the plan relating to the noncompliance may be allowed, but only
with the consent of the Contracting Government/Master of the ship concerned.
 The points related to RA, SSAS, security equipments, duties of shipboard personnel and
response to security threats or security instructions at Level 3 are considered as
confidential and cannot be subject to inspection unless otherwise agreed by the
Contracting Governments concerned.

RECORDS
 Following records shall be kept on board for atleast the min. period specified by Flag
1. training, drills and exercises
2. security threats and security incidents
3. breaches of security
4. changes in security level
5. communications relating to security
6. internal audits and reviews of security activities;
7. periodic review of the SSA and SSP
8. implementation of SSP or amendments to the plan; and
9. maintenance, calibration & testing of security equipment including SSAS.
 Records shall be in working language or translation in English, French or Spanish.
 The records may be kept in an electronic format, but protected from unauthorized
deletion, destruction or amendment and from unauthorized access or disclosure.

DUTIES OF COMPANY SECURITY OFFICER (CSO)

1. Advising the level of threats likely to be encountered by the ship, using appropriate
security assessments and other relevant information.
2. Ensuring that SSA is carried out.
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3. Ensuring the development, submission for approval, and thereafter implementation

and maintenance of the SSP.
4. Ensuring that the SSP is modified as appropriate.
5. Arranging for internal audits and reviews of security activities.
6. Arranging for initial & subsequent verifications by Administration or RSO.
7. Ensuring that deficiencies and NC’s identified are promptly addressed and dealt with.
8. Enhancing security awareness and vigilance.
9. Ensuring adequate training for personnel responsible for security.
10. Ensuring effective communication and co-operation between the SSO & PFSO
11. Ensuring consistency between security requirements and safety requirements.
12. Ensuring that the plan for each ship reflects ship-specific information.

DUTES OF SHIP SECURITY OFFICER (SSO)

1. Regular security inspections to ensure appropriate security measures are maintained.
2. Maintaining and supervising implementation of the SSP.
3. Co-ordinating the security aspects of the handling of cargo and ship stores.
4. Proposing modifications to the SSP.
5. Reporting to the CSO any deficiencies and implementing corrective actions.
6. Enhancing security awareness and vigilance on board.
7. Ensuring adequate training has been provided to shipboard personnel.
8. Reporting all security incidents.
9. Co-ordinating implementation of SSP with the CSO and the relevant PFSO.
[Link] security equipments are properly operated, tested, calibrated & maintained.

PORT FACILITY SECURITY ASSESSMENT

 It is an essential and integral part of the process of developing and updating PFSP.
 It shall be carried out by the Contracting Government within whose territory the port
facility is located or a RSO may carry out the port facility security assessment.
 When the PFSA has been carried out by a RSO, the security assessment shall be
reviewed and approved for compliance by the Contracting Government.
 PFSA shall periodically be reviewed and updated.

PORT FACILITY SECURITY PLAN

 It shall be developed and maintained, on the basis of a PFSA.
 The plan shall make provisions for the three security levels.
 RSO may prepare the PFSP of a specific port facility, but shall be approved by the
Contracting Government in whose territory the port facility is located.
 The plan shall address, at least, the following:
1. measures to prevent weapons/dangerous substances not authorized.
2. measures to prevent unauthorized access to the port facility/ships moored/RA’s.
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3. procedures for responding to security threats or breaches of security.

4. procedures for responding to any security instructions given at security level 3.
5. procedures for evacuation in case of security threats or breaches of security.
6. duties of port facility personnel with respect to security.
7. procedures for interfacing with ship security activities.
8. procedures for the periodic review of the plan and updating.
9. procedures for reporting security incidents.
10. identification of the PFSO including 24-hour contact details.
11. measures to ensure the security of the information contained in the plan.
12. measures for security of cargo, cargo handling equipment at the port facility.
13. procedures for auditing the PFSP.
14. procedures for responding in case the SSAS of a ship at the port has been activated.
15. procedures for facilitating shore leave for ship’s personnel or crew changes/visitors.

DUTIES OF PORT FACILITY SECURITY OFFICER

1. conducting an initial comprehensive security survey of the port facility
2. ensuring the development and maintenance of the PFSP.
3. implementing and exercising the PFSP.
4. undertaking regular security inspections of the port facility.
5. recommending and incorporating modifications to the plan.
6. enhancing security awareness and vigilance of the port facility personnel.
7. ensuring adequate training has been provided to port facility personnel.
8. reporting to relevant authorities and maintaining records of occurrences which
threaten the security of the port facility.
9. co-ordinating implementation of the PFSP with the appropriate CSO and SSO.
10. co-ordinating with security services, as appropriate.
11. ensuring security equipments are properly operated, tested, calibrated & maintained.

VERIFICATION AND CERTIFICATION FOR SHIPS

Verifications
 Each ship to which the Code applies shall be subject to the verifications specified below:
1. an initial verification before the ship is put in service or before ISSC certificate is
issued for the first time, to verify that the security system and any associated security
equipment fully complies with the requirements of the Code, and the approved SSP is
in satisfactory condition and fit for service.
2. a renewal verification at intervals specified by the Administration, but not exceeding
five years, to verify the same as above.
3. at least one intermediate verification, between the second and third anniversary date
of the certificate, to verify that the security system and associated security equipment
remains satisfactory for the service.
4. any additional verifications as determined by the Administration.
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 The verifications of ships shall be carried out by officers of the Administration or RSO if
appointed by the administration.
 After any verification that has been completed, no changes shall be made in security
system and in any associated security equipment or the approved SSP without the
sanction of the Administration.

Certification
 An International Ship Security Certificate (ISSC) shall be issued after the initial or
renewal verification.
 Such certificate shall be issued or endorsed either by the Administration or by a RSO.
 The International Ship Security Certificate shall be in the format given in the Code.
 If the language used is not English, French or Spanish, the text shall include a
translation into one of these languages.
 It is issued for a period specified by Administration, shall not exceed five years.
 When the renewal verification is completed within three months before the expiry
date of the existing certificate, the new certificate shall be valid from the date of
completion of the renewal verification to a date not exceeding five years from the
date of expiry of the existing certificate.
 When the renewal verification is completed after the expiry date of the existing
certificate, the new certificate shall be valid from the date of completion of the
renewal verification to a date not exceeding five years from the date of expiry of the
existing certificate.
 When the renewal verification is completed more than three months before the expiry
date of the existing certificate, the new certificate shall be valid from the date of
completion of the renewal verification to a date not exceeding five years from the
date of completion of the renewal verification.
 A ISSC shall cease to be valid in any of the following cases:
1. if relevant verifications are not completed within the periods specified.
2. if the certificate is not endorsed as required
3. change of Company or transfer of Flag.
 In the case of transfer of Flag, the Contracting Government whose flag the ship was
formerly entitled to fly shall, as soon as possible, transmit to the receiving
Administration, copies of all information relating to the ISSC carried by the ship
before the transfer and copies of available verification reports.
 In case of change of Company, the previous Company shall as soon as possible,
transmit to the receiving Company, copies of any information related to the ISSC or
to facilitate the verifications for obtaining an interim certificate.

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Interim certification
 The ISSC certificate shall be issued only when the Administration issuing the
certificate is fully satisfied that the ship complies with requirements on verifications.
 However, after 1 July 2004, for a ship without a ISSC certificate on delivery, on
transfer of Flag or Company, an Interim ISSC shall be issued, until ISSC is issued.
 An Interim ISSC shall only be issued after Administration or RSO verifies that:
1. SSA has been completed.
2. SSP is on board, submitted for review & approval, implemented onboard.
3. The ship is provided with a SSAS.
4. The CSO has ensured the review of the SSP and made necessary arrangements.
5. The CSO has made arrangements for drills, exercises and internal audits.
6. Arrangements have been made for carrying out the required verifications in time.
7. The master, SSO and other ships personnel are familiar with their security duties.
8. The SSO meets the requirements of the Code.

 An Interim ISSC may be issued by the Administration or RSO on its behalf.

 It shall be valid for not more than 6 months, or till the ISSC certificate is issued.

DUTIES OF RECOGNISED SECURITY ORGANISATION:

1. Approval of SSP or amendments thereto, on behalf of Administration.
2. Verification and certification of compliance of ships on behalf of Administration
3. Conducting PFSA required by the Contracting Government.
4. Advise or provide assistance to Companies or port facilities on security matters,
including completion of a SSA, SSP, PFSA and PFSP. If an RSO has done so with a
ships SSA or SSP, that RSO should not be authorized to approve that SSP.

ISPS CODE : PART B

SECURITY LEVEL 1
 Checking the identity of all persons seeking to board the ship and confirming their
reasons for doing so by checking their joining instructions, tickets, work orders etc.
 In liaison with the port facility, the ship should ensure that designated secure areas
are established in which inspections and searching of persons, baggage, personal
effects, vehicles and their contents can take place.
 In liaison with the port facility, the ship should ensure that vehicles destined to be
loaded on board car carriers, ro-ro and other passenger ships are subjected to search
prior to loading, in accordance with the frequency required in the SSP.
 Segregating checked persons and their personal effects from unchecked persons and
their personal effects.
 Segregating embarking from disembarking passengers.
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 Identification of access points to be secured/manned to prevent unauthorized access.

 Securing, by locking or other means,
 Providing security briefings to all ship personnel .
 All those seeking to board a ship are liable to search. Frequency should be specified
in the approved SSP.
 Routine checking of cargo, cargo transport units and cargo spaces
 Checks to ensure that cargo being loaded matches the cargo documentation
 Checking of seals or other methods used to prevent tampering.
 Unaccompanied baggage is screened or searched up to and including 100 percent,
which may include use of x-ray screening.
 Adequate lighting, watch keepers, security guards, security and surveillance
equipment must be used.
SECURITY LEVEL 2
 Measures to ensure higher vigilance and tighter control.
 Assigning additional personnel to patrol deck areas during silent hours.
 Limiting the number of access points to the ship.
 Prevent waterside access to the ship, including, if required using boat patrols.
 Increasing the frequency and detail of searches.
 Escorting visitors on the ship.
Providing additional specific security briefings to all ship personnel.
 Carrying out a full or partial search of the ship.
 Detailed checking of cargo, cargo transport units and cargo spaces.
 Intensified checks to ensure that only the intended cargo is loaded
 Increased frequency and detail in checking of seals used to prevent tampering.
 Unaccompanied bagged must be checked extensively.
 Additional monitoring and surveillance measures to be applied. Such as increasing
the frequency and detail of security patrols, increasing the coverage and intensity of
lighting or the use of security and surveillance and equipment.

SECURITY LEVEL 3
 Limiting access to a single, controlled, access point.
 Granting access only to those responding to the security incident or threat thereof.
 Suspension of embarkation or disembarkation, deliveries, etc.
 Suspension of cargo handling operations and verification of the inventory of
dangerous goods and hazardous substances carried on board, if any.
 Evacuation of the ship.
 Movement of the ship.
 Preparing for a full or partial search of the ship.

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 Unaccompanied baggage must be extensively screened from at least two different

angles. Its handling may be restricted/suspended & maybe refused on board.
 Switch on all lighting onboard, illuminating the vicinity of the ship.
 Switch of all on board surveillance equipment capable of recording activities on, or in
the vicinity of the ship.
 Preparation for underwater inspection of the hull of the ship.
 Slow revolution of propellers, if practicable, to deter underwater access to the hull.
Drills and exercises
 Objective - to ensure that shipboard personnel are proficient in all assigned security
duties at all security levels and are able to identify any security related deficiencies.
 To ensure the effective implementation of the provisions of the SSP, drills should be
conducted at least once every 3 months.
 In addition, in cases where more than 25% of the crew has been changed, at any one
time, with personnel that has not previously participated in any drill on that ship,
within the last 3 months, a drill should be conducted within one week of the change.
 Various types of exercises which may include participation of CSO, PFSO, Flag as
well as SSO, should be carried out at least once each calendar year with no more than
18 months between the exercises.
 These exercises should test communications, coordination, resource availability, and
response. They maybe full scale/live, tabletop or combined with other exercises.

CONTINGENCY PLANS
Action on Bomb Threat:
(1) As much as possible, information regarding the threat must be logged and recorded.
(2) Whoever receives the call, must ask following questions noting the time of call.
- when is the bomb going to explode?
- where is the bomb? what does it look like?
- what kind of bomb is it? what will cause it to explode?
- did you place the bomb? why is the bomb placed?
- where are you calling from?
- what is your address? what is your name?
(3) Try to note the exact words of the caller and check if he/she has an accent.
(4) Determine the nature and extent of threat w.r.t. vessel, crew, cargo and environment.
(5) Notify CSO / Company / Local Authorities and co-ordinate with them.

Action on Finding a suspicious device or package

(1) Report to SSO. Do not make it a public announcement.
(2) Use the 4 C’s i.e.
- Confirm if the device is an explosive device

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- Clear the area including areas above and below the suspicious device.
- Cordon the area so no one gets access
- Control the situation until skilled help arrives
(3) No action should be taken that affects or changes the environment near the device.
(4) No attempt should be made to deal with any discovered device.
(5) Do not handle, touch, shake, open or move the device.
(6) Do not touch, pull, shake wires or switches.
(7) Do not use VHF/UHF radios within 3 mtrs of the device.
(8) Do not put water or pass metallic tools near the device.
(9) Do not run in the vicinity of the device or smoke nearby.
(10) Do not move the device away from people but move people away from the device..
(11) Evacuate the ship when necessary.

Action on Hijacking or hostile boarding

(1) Keep calm and advise the others to do the same.
(2) Do not try to resist armed boarders.
(3) Ensure the safety of the ship.
(4) Broadcast a distress message and imitate the SSAS if possible.
(5) Offer reasonable co-operation.
(6) Abuse or aggression should not be returned.
(7) Intruders are unlikely to understand how a particular sip works.
(8) Try and establish what intruders want and where they are from.

Action on Suspect boat approaching

(1) Increase speed and alter course if safe to do so.
(2) Give no opportunity to the other vessel to come alongside.
(3) Keep personnel clear of the upper deck.
(4) Note details of approaching vessel and take photographs if possible.
(5) At night, direct search lights on to that vessel.
(6) Report details to Company and government claiming authority
(7) Rig up water hoses to deter intruders scaling on to the ship.
(8) If all attempts are unsuccessful, take all crew to the citadel, lock and secure external
hatches and doors.
(9) Initiate SSAS prior to the boarding.

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