PART A

MANDATORY REQUIREMENTS REGARDING THE PROVISIONS
OF CHAPTER XI-2 OF THE INTERNATIONAL CONVENTION
FOR THE SAFETY OF LIFE AT SEA, 1974, AS AMENDED

1 GENERAL
1.1 Introduction

This part of the International Code for the Security of Ships and Port Facilities contains andatory provisions to which reference is made in chapter XI-2 of the International Convention for the Safety of Life at Sea, 1974 as amended.

1.2 Objectives

The objectives of this Code are:

.1 to establish an international framework involving co-operation between Contracting Governments, Government agencies, local administrations and the shipping and port industries to detect security threats and take preventive measures against security incidents affecting ships or port facilities used in international trade;
.2 to establish the respective roles and responsibilities of the Contracting Governments, Government agencies, local administrations and the shipping and port industries, at the national and international level for ensuring maritime security;
.3 to ensure the early and efficient collection and exchange of security-related information;
.4 to provide a methodology for security assessments so as to have in place plans and procedures to react to changing security levels; and
.5 to ensure confidence that adequate and proportionate maritime security measures are in place.

1.3 Functional requirements

In order to achieve its objectives, this Code embodies a number of functional requirements. These include, but are not limited to:

.1 gathering and assessing information with respect to security threats and exchanging such information with appropriate Contracting Governments;
.2 requiring the maintenance of communication protocols for ships and port facilities;
.3 preventing unauthorized access to ships, port facilities and their restricted areas;
.4 preventing the introduction of unauthorized weapons, incendiary devices or explosives to ships or port facilities;
.5 providing means for raising the alarm in reaction to security threats or security incidents;
.6 requiring ship and port facility security plans based upon security assessments; and
.7 requiring training, drills and exercises to ensure familiarity with security plans and rocedures.

2 DEFINITIONS

2.1 For the purpose of this part, unless expressly provided otherwise:

.1 Convention means the International Convention for the Safety of Life at Sea, 1974 as amended.
.2 Regulation means a regulation of the Convention.
.3 Chapter means a chapter of the Convention.
.4 Ship security plan means a plan developed to ensure the application of measures on board the ship designed to protect persons on board, cargo , cargo transport units, ship's stores or the ship from the risks of a security incident.
.5 Port facility security plan means a plan developed to ensure the application of measures designed to protect the port facility and ships, persons , cargo, cargo transport units and ship's stores within the port facility from the risks of a security incident.
.6 Ship security officer means the person on board the ship , accountable to the master , designated by the Company as responsible for the security of the ship, including implementation and maintenance of the ship security plan and for liaison with the company security officer and port facility security officers.
.7 Company security officer means the person designated by the Company for ensuring that a ship security assessment is carried out; that a ship security plan is developed, submitted for approval, and thereafter implemented and maintained and for liaison with port facility security officers and the ship security officer.
.8 Port facility security officer means the person designated as responsible for the development, implementation, revision and maintenance of the port facility security plan and for liaison with the ship security officers and company security officers.
.9 Security level 1 means the level for which minimum appropriate protective security measures shall be maintained at all times.
.10 Security level 2 means the level for which appropriate additional protective security measures shall be maintained for a period of time as a result of heightened risk of a security incident.
.11 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.

2.2 The term “ship”, when used in this Code, includes mobile offshore drilling units and high-speed craft as defined in regulation XI-2/1.

2.3 The term “Contracting Government” in connection with any reference to a port facility, when used in sections 14 to 18, includes a reference to the “Designated Authority” .

2.4 Terms not otherwise defined in this part shall have the same meaning as the meaning attributed to them in chapters I and XI-2.

3 APPLICATION

3.1 This Code applies to:

.1 the 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 gross tonnage and upwards; and
- 3 mobile offshore drilling units; and

.2 port facilities serving such ships engaged on international voyages.

3.2 Notwithstanding the provisions of section 3.1.2, Contracting Governments shall decide the extent of application of this Part of the Code to those port facilities within their territory which, although used primarily by ships not engaged on international voyages, are required, occasionally, to serve ships arriving or departing on an international voyage.

3.2.1 Contracting Governments shall base their decisions, under section 3.2, on a port facility security assessment carried out in accordance with this Part of the Code.

3.2.2 Any decision which a Contracting Government makes, under section 3.2, shall not compromise the level of security intended to be achieved by chapter XI-2 or by this Part of the Code .

3.3 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.

.4 Sections 5 to 13 and 19 of this part apply to Companies and ships as specified in regulation XI-2/4.

3.5 Sections 5 and 14 to 18 of this part apply to port facilities as specified in regulation XI-2/10.

3.6 Nothing in this Code shall prejudice the rights or obligations of States under international law.

4 RESPONSIBILITIES OF CONTRACTING GOVERN-MENTS

4.1 Subject to the provisions of regulation XI-2/3 and XI-2/7, Contracting Governments shall set security levels and provide guidance for protection from security incidents. Higher security levels indicate greater likelihood of occurrence of a security incident. 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.

4.2 Contracting Governments, when they set security level 3, shall issue, as necessary, appropriate instructions and shall provide security related information to the ships and port facilities that may be affected.

4.3 Contracting Governments may delegate to a recognized security organization certain of their security related duties under chapter XI-2 and this Part of the Code with the exception of:

.1 setting of the applicable security level;
.2 approving a Port Facility Security Assessment and subsequent amendments to an approved assessment;
.3 determining the port facilities which will be required to designate a Port Facility Security Officer;
.4 approving a Port Facility Security Plan and subsequent amendments to an approved plan;
.5 exercising control and compliance measures pursuant to regulation XI-2/9; and
.6 establishing the requirements for a Declaration of Security.

4.4 Contracting Governments shall, to the extent they consider appropriate, test the effectiveness of the Ship or the Port Facility Security Plans, or of amendments to such plans, they have approved, or, in the case of ships, of plans which have been approved on their behalf.

5 DECLARATION OF SECURITY

5.1 Contracting Governments shall determine when a Declaration of Security is required by assessing the risk the ship/port interface or ship to ship activity poses to persons, property or the environment.

5.2 A ship can request completion of a Declaration of Security when:

.1 the ship is operating at a higher security level than the port facility or another ship it is interfacing with;
.2 there is an agreement on a Declaration of Security between Contracting Governments covering certain international voyages or specific ships on those voyages;
.3 there has been a security threat or a security incident involving the ship or involving the port facility, as applicable;
.4 the ship is at a port which is not required to have and implement an approved port facility security plan; or
.5 the ship is conducting ship to ship activities with another ship not required to have and implement an approved ship security plan.

5.3 Requests for the completion of a Declaration of Security, under this section, shall be acknowledged by the applicable port facility or ship.

5.4 The Declaration of Security shall be completed by:

.1 the master or the ship security officer on behalf of the ship(s); and, if appropriate,
.2 the port facility security officer or, if the Contracting Government determines otherwise, by any other body responsible for shore-side security, on behalf of the port facility.

5.5 The Declaration of Security 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.

5.6 Contracting Governments shall specify , bearing in mind the provisions of regulation XI-2/9.2.3, the minimum period for which Declarations of Security shall be kept by the port facilities located within their territory.

5.7 Administrations shall specify, bearing in mind the provisions of regulation XI-2/9.2.3, the minimum period for which Declarations of Security shall be kept by ships entitled to fly their flag.

6 OBLIGATIONS OF THE COMPANY

6.1 The Company shall ensure that the ship security plan contains a clear statement emphasizing the master's authority. The Company shall establish in the ship security plan that the master has the overriding authority and responsibility to make decisions with respect to the safety and security of the ship and to request the assistance of the Company or of any Contracting Government as may be necessary.

6.2 The Company shall ensure that the company security officer, the master and the ship security officer are given the necessary support to fulfil their duties and responsibilities in accordance with chapter XI-2 and this Part of the Code.

7 SHIP SECURITY

7.1 A ship is required to act upon the security levels set by Contracting Governments as set out below.

7.2 At security level 1, the following activities shall be carried out, through appropriate measures, on all ships, taking into account the guidance given in part B of this Code, in order to identify and take preventive measures against security incidents:

.1 ensuring the performance of all ship security duties;
.2 controlling access to the ship;
.3 controlling the embarkation of persons and their effects;
.4 monitoring restricted areas to ensure that only authorized persons have access;
.5 monitoring of deck areas and areas surrounding the ship;
.6 supervising the handling of cargo and ship's stores; and
.7 ensuring that security communication is readily available.

7.3 At security level 2, the additional protective measures, specified in the ship security plan, shall be implemented for each activity detailed in section 7.2, taking into account the guidance given in part B of this Code.

7.4 At security level 3, further specific protective measures, specified in the ship security plan, shall be implemented for each activity detailed in section 7.2, taking into account the guidance given in part B of this Code.

7.5 Whenever security level 2 or 3 is set by the Administration, the ship shall acknowledge receipt of the instructions on change of the security level.

7.6 Prior to entering a port or whilst in a port within the territory of a Contracting Government that has set security level 2 or 3, the ship shall acknowledge receipt of this instruction and shall confirm to the port facility security officer the initiation of the implementation of the appropriate measures and procedures as detailed in the ship security plan, and in the case of security level 3, in instructions issued by the Contracting Government which has set security level 3. The ship shall report any difficulties in implementation. In such cases, the port facility security officer and ship security officer shall liase and co-ordinate the appropriate actions.

7.7 If a ship is required by the Administration to set, or is already at, a higher security level than that set for the port it intends to enter or in which it is already located, then the ship shall advise, without delay, the competent authority of the Contracting Government within whose territory the port facility is located and the port facility security officer of the situation.

7.7.1 In such cases, the ship security officer shall liaise with the port facility security officer and co-ordinate appropriate actions, if necessary.

7.8 An Administration requiring ships entitled to fly its flag to set security level 2 or 3 in a port of another Contracting Government shall inform that Contracting Government without delay.

7.9 When Contracting Governments set security levels and ensure the provision of security level information to ships operating in their territorial sea, or having communicated an intention to enter their territorial sea, such ships shall be advised to maintain vigilance and report immediately to their Administration and any nearby coastal States any information that comes to their attention that might affect maritime security in the area.

7.9.1 When advising such ships of the applicable security level, a Contracting Government shall, taking into account the guidance given in the part B of this Code, also advise those ships of any security measure that they should take and, if appropriate, of measures that have been taken by the Contracting Government to provide protection against the threat.

8 SHIP SECURITY ASSESSMENT

8.1 The ship security assessment is an essential and integral part of the process of developing and updating the ship security plan.

8.2 The company security officer shall ensure that the ship security assessment is carried out by persons with appropriate skills to evaluate the security of a ship, in accordance with this section, taking into account the guidance given in part B of this Code.

8.3 Subject to the provisions of section 9.2.1, a recognized security organization may carry out the ship security assessment of a specific ship.

8.4 The ship security assessment shall include an on-scene security survey and, at least, the following elements:

.1 identification of existing security measures, procedures and operations;
.2 identification and evaluation of key ship board operations that it is important to protect;
.3 identification of possible threats to the key ship board operations and the likelihood of their occurrence, in order to establish and prioritise security measures; and
.4 identification of weaknesses, including human factors in the infrastructure, policies and procedures.

8.5 The ship security assessment shall be documented, reviewed, accepted and retained by the Company.

9 SHIP SECURITY PLAN

9.1 Each ship shall carry on board a ship security plan approved by the Administration. The plan shall make provisions for the three security levels as defined in this Part of the Code.

9.1.1 Subject to the provisions of section 9.2.1, a recognized security organization may prepare the ship security plan for a specific ship.

9.2 The Administration may entrust the review and approval of ship security plans, or of amendments to a previously approved plan, to recognized security organizations.

9.2.1 In such cases the recognized security organization, undertaking the review and approval of a ship security plan, or its amendments, for a specific ship shall not have been involved in either the preparation of the ship security assessment or of the ship security plan, or of the amendments, under review.

9.3 The submission of a ship security plan, or of amendments to a previously approved plan, for approval shall be accompanied by the security assessment on the basis of which the plan, or the amendments, have been developed.

9.4 Such a plan shall be developed , taking into account the guidance given in part B of this Code and shall be written in the working language or languages of the ship. If the language or languages used is not English, French or Spanish, a translation into one of these languages shall be included. The plan shall address, at least, the following:

.1 measures designed to prevent weapons, dangerous substances and devices intended for use against persons, ships or ports and the carriage of which is not authorized from being taken on board the ship;
.2 identification of the restricted areas and measures for the prevention of 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, including provisions for maintaining critical operations of the ship or ship/port interface;
.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 and of other shipboard personnel on security aspects;
.8 procedures for auditing the security activities;
.9 procedures for training, drills and exercises associated with the plan;
.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 ship security officer;
.14 identification of the company security officer including 24-hour contact details;
.15 procedures to ensure the inspection, testing, calibration, and maintenance of any security equipment provided on board;
.16 frequency for testing or calibration of any security equipment provided on board;
.17 identification of the locations where the ship security alert system activation points are provided; * and
.18 procedures, instructions and guidance on the use of the ship security alert system, including the testing, activation, deactivation and resetting and to limit false alerts. *
9.4.1 Personnel conducting internal audits of the security activities specified in the plan or evaluating its implementation shall be independent of the activities being audited unless this is impracticable due to the size and the nature of the Company or of the ship.
9.5 The Administration shall determine which changes to an approved ship security plan or to any security equipment specified in an approved plan shall not be implemented unless the relevant amendments to the plan are approved by the Administration. Any such changes shall be at least as effective as those measures prescribed in chapter XI-2 and this Part of the Code.

9.5.1 The nature of the changes to the ship security plan or the security equipment that have been specifically approved by the Administration, pursuant to section 9.5, shall be documented in a manner that clearly indicates such approval. This approval shall be available on board and shall be presented together with the International Ship Security Certificate (or the Interim International

* Administrations may allow, in order to avoid compromising in any way the objective of providing on board the ship security alert system, this information to be kept elsewhere on board in a document known to the master, the ship security officer and other senior shipboard personnel as may be decided by the Company. Ship Security Certificate). If these changes are temporary, once the original approved measures or equipment are reinstated, this documentation no longer needs to be retained by the ship.

9.6 The plan may be kept in an electronic format. In such a case, it shall be protected by procedures aimed at preventing its unauthorized deletion, destruction or amendment.

9.7 The plan shall be protected from unauthorized access or disclosure.

9.8 Ship security plans are not subject to inspection by officers duly authorized by a Contracting Government to carry out control and compliance measures in accordance with regulation XI-2/9, save in circumstances specified in section 9.8.1.

9.8.1 If the officers duly authorized by a Contracting Government have clear grounds to believe that the ship is not in compliance with the requirements of chapter XI-2 or part A of this Code, and the only means to verify or rectify the non-compliance is to review the relevant requirements of the ship security plan, limited access to the specific sections of the plan relating to the non-compliance is exceptionally allowed, but only with the consent of the Contracting Government of, or the master of, the ship concerned. Nevertheless, the provisions in the plan relating to section 9.4 subsections .2, .4, .5, .7, .15, .17 and .18 of this Part of the Code are considered as confidential information, and cannot be subject to inspection unless otherwise agreed by the Contracting Governments concerned.

10 RECORDS

10.1 Records of the following activities addressed in the ship security plan shall be kept on board for at least the minimum period specified by the Administration, bearing in mind the provisions of regulation XI- 2/9.2.3:

.1 training, drills and exercises;
.2 security threats and security incidents;
.3 breaches of security;
.4 changes in security level;
.5 communications relating to the direct security of the ship such as specific threats to the ship or to port facilities the ship is, or has been;
.6 internal audits and reviews of security activities;
.7 periodic review of the ship security assessment;
.8 periodic review of the ship security plan;
.9 implementation of any amendments to the plan; and
.10 maintenance, calibration and testing of any security equipment provided on board including testing of the ship security alert system.

10.2 The records shall be kept in the working language or languages of the ship. If the language or languages used are not English, French or Spanish, a translation into one of these languages shall be included.

10.3 The records may be kept in an electronic format. In such a case, they shall be protected by procedures aimed at preventing their unauthorized deletion, destruction or amendment.

10.4 The records shall be protected from unauthorized access or disclosure.

11 COMPANY SECURITY OFFICER

11.1 The Company shall designate a company security officer. A person designated as the company security officer may act as the company security officer for one or more ships, depending on the number or types of ships the Company operates provided it is clearly identified for which ships this person is responsible. A Company may, depending on the number or types of ships they operate designate several persons as company security officers provided it is clearly identified for which ships each person is responsible.

11.2 In addition to those specified elsewhere in this Part of the Code, the duties and responsibilities of the company security officer shall include, but are not limited to:

.1 advising the level of threats likely to be encountered by the ship, using appropriate security assessments and other relevant information;
.2 ensuring that ship security assessments are carried out;
.3 ensuring the development, the submission for approval, and thereafter the implementation and maintenance of the ship security plan;
.4 ensuring that the ship security plan is modified, as appropriate, to correct deficiencies and satisfy the security requirements of the individual ship;
.5 arranging for internal audits and reviews of security activities;
.6 arranging for the initial and subsequent verifications of the ship by the Administration or the recognized security organization;
.7 ensuring that deficiencies and non-conformities identified during internal audits, periodic reviews, security inspections and verifications of compliance are promptly addressed and dealt
with;
.8 enhancing security awareness and vigilance;
.9 ensuring adequate training for personnel responsible for the security of the ship;
.10 ensuring effective communication and co-operation between the ship security officer and the relevant port facility security officers;
.11 ensuring consistency between security requirements and safety requirements;
.12 ensuring that, if sister-ship or fleet security plans are used, the plan for each ship reflects the ship-specific information accurately; and
.13 ensuring that any alternative or equivalent arrangements approved for a particular ship or group of ships are implemented and maintained.