[Federal Register: December 30, 2002 (Volume 67, Number 250)]
[Notices]
[Page 79741-79806]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr30de02-144]
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Part III
Department of Transportation
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Coast Guard
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Maritime Security; Notice
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DEPARTMENT OF TRANSPORTATION
Coast Guard
[USCG-2002-14069]
Maritime Security
AGENCY: Coast Guard, DOT.
ACTION: Notice of meetings; request for comments.
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SUMMARY: The Coast Guard is holding seven public meetings to discuss
requirements for security assessments, plans, and specific security
measures for ports, vessels, and facilities. Discussions will aid the
Coast Guard in determining the types of vessels and facilities that
pose a risk of being involved in a transportation security incident,
and in identifying security measures and standards to deter such
incidents. Discussions will also focus on aligning domestic maritime
security requirements with the International Ship and Port Facility
Security (ISPS) Code and recent amendments to the International
Convention for the Safety of Life at Sea (SOLAS), to comply with
section 102 (Port security) of the recently enacted Maritime
Transportation Security Act of 2002 (MTSA). We encourage interested
individuals and organizations to attend the meetings and submit
comments for discussion during the meetings. We also seek comments from
anyone unable to attend the meetings.
DATES: The public meetings will be held on the following dates and at
the following locations.
[sbull] January 27, 2003, 9 a.m. to 5 p.m., New Orleans, LA.
[sbull] January 30, 2003, 2 p.m. to 7 p.m., Cleveland, OH.
[sbull] January 31, 2003, 12 (noon) to 6 p.m., St. Louis, MO.
[sbull] February 3, 2003, 9 a.m. to 5 p.m., Seattle, WA.
[sbull] February 5, 2003, 9 a.m. to 5 p.m., Los Angeles-Long Beach,
CA.
[sbull] February 7, 2003, 9 a.m. to 5 p.m., Jacksonville, FL.
[sbull] February 11, 2003, 9 a.m. to 5 p.m., New York City, NY.
Comments and related material intended for inclusion in the public
docket (USCG-2002-14069) must reach the Docket Management Facility on
or before February 28, 2003. Comments and related material containing
protected information, such as proprietary or security information,
intended for inclusion in the Coast Guard's internal docket for
protected information also must reach the Coast Guard's Office of
Regulations and Administrative Law (G-LRA) on or before February 28,
2003.
ADDRESSES: The meetings will be held at the following locations:
[sbull] New Orleans, LA--Hilton Riverside, 2 Poydras St., New
Orleans, LA 70140.
[sbull] Cleveland, OH--Sheraton Cleveland City Centre Hotel,
Dorothy Fuldheim Room, 777 St. Clair Ave., Cleveland, OH 44144.
[sbull] St. Louis, MO--Robert A. Young Federal Building (R.A.Y.
Building), 1222 Spruce St., St. Louis, MO 63017.
[sbull] Seattle, WA--Boeing Field, 7755 East Marginal Way South,
Building 2-22, Auditorium, Seattle, WA 98108.
[sbull] Los Angeles-Long Beach, CA--Port of Los Angeles, 425 S.
Palos Verdes St., San Pedro, CA 90731.
[sbull] Jacksonville, FL--Florida Department of Law Enforcement
(FDLE), 921 N. Davis St., Building E, Jacksonville, FL 32209.
[sbull] New York City, NY--Customs House Auditorium, Alexander
Hamilton U.S. Customs House, 1 Bowling Green, New York, NY 10004.
You may submit your public comments directly to the Docket
Management Facility. Please see the Request for Comments section below
for more information regarding submitting comments that contain
protected information. To make sure that your public comments and
related material do not enter the docket (USCG-2002-14069) more than
once, please submit them by only one of the following means:
(1) Electronically through the Web Site for the Docket Management
System at http://dms.dot.gov/.
(2) By fax to the Docket Management Facility at 202-493-2251.
(3) By delivery to room PL-401 on the Plaza level of the Nassif
Building, 400 Seventh Street, SW., Washington, DC, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.
(4) By mail to the Docket Management Facility, (USCG-2002-14069),
U.S. Department of Transportation, room PL-401, 400 Seventh Street,
SW., Washington, DC 20590-0001.
The Docket Management Facility maintains the public docket for this
notice. Comments and material received from the public, as well as
documents mentioned in this notice as being available in the public
docket, will become part of this public docket and will be available
for inspection or copying at room PL-401 on the Plaza level of the
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays. You
may also find this notice in the public docket on the Internet at
http://dms.dot.gov/.
Anyone is able to search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review the
Department of Transportation's complete Privacy Act Statement in the
Federal Register published on April 11, 2000 (65 FR 19477-78), or you
may visit http://dms.dot.gov/.
Comments containing protected information, as explained in the
Request for Comments section below, must be submitted in writing and
must be mailed or hand-delivered to Commandant (G-LRA)/Room 3406, U.S.
Coast Guard Headquarters, 2100 Second Street, SW., Washington, DC
20593.
FOR FURTHER INFORMATION CONTACT: For information concerning this notice
or the public meetings, write or call Mr. Martin Jackson of the Office
of Standards Evaluation and Development (G-MSR), U.S. Coast Guard
Headquarters, 2100 Second Street, SW., Washington, DC 20593,
mjackson@comdt.uscg.mil, or at 202-267-1140.
For questions regarding submissions of protected information,
contact Ms. Kathryn Sinniger of the Office of Regulations and
Administrative Law (G-LRA), U.S. Coast Guard Headquarters, 2100 Second
Street, SW., Washington, DC 20593, or at 202-267-1534.
For questions on viewing or submitting material to the public
docket, call Ms. Dorothy Beard, Chief of Dockets, Department of
Transportation, at 202-366-5149.
SUPPLEMENTARY INFORMATION:
Request for Comments
We encourage you to participate in these meetings by submitting
comments and related material. If you do so, please include your name
and address, identify the docket number (USCG-2002-14069) and give the
reason for each comment.
If you wish to submit any protected information in your comments,
you must submit your comment by mail or hand delivery to the Office of
Regulations and Administrative Law (G-LRA) at the address under
ADDRESSES. Protected information includes confidential or privileged
business or commercial information that is not normally released to the
public. It also includes security information that, if released, would
be detrimental to the safety of persons in transportation.
[[Page 79743]]
Examples of the latter include vulnerability assessments (or portions
thereof), specific security actions to be taken by your company or
vessel, and draft plans that would comply with the International Ship
and Port Facility Security (ISPS) Code or any of the Navigation and
Vessel Inspection Circulars (NVICs) referenced in this notice. Please
be sure to indicate whether the entire submission constitutes protected
information, or if it is only portions of the submission that need to
be protected. If the latter, please identify those portions which
constitute protected information clearly within your submission. If you
are submitting confidential or privileged business information, please
explain, within your submission, how this information is normally
treated within your company or organization.
You may submit your public comments and material electronically, by
fax, by delivery, or by mail to the Docket Management Facility at the
address under ADDRESSES; but please submit your public comments and
material by only one means. If you submit them by mail or delivery,
submit them in an unbound format, no larger than 8\1/2\ by 11 inches,
suitable for copying and electronic filing. If you submit them by mail
and would like to know that they reached the Facility, please enclose a
stamped, self-addressed postcard or envelope. We will consider all
comments and material received during the comment period.
Public Meetings
The Coast Guard encourages the following individuals and
organization representatives to attend the public meetings:
[sbull] Owners and operators of vessels, facilities, and other
structures located on or adjacent to U.S. navigable waters;
[sbull] Federal, State, and local agencies in law enforcement and
emergency planning;
[sbull] Port authorities;
[sbull] State and local government organizations;
[sbull] Shipping agents;
[sbull] Insurance companies;
[sbull] Protection and Indemnity Clubs;
[sbull] Classification societies;
[sbull] Maritime industry associations; and
[sbull] Other interested persons.
Meeting attendees will have the opportunity to orally comment on
topics scheduled for discussion on the agenda. Appendix A provides the
intended format of the meetings. We may ask questions to clarify
comments given by an attendee. Unless otherwise noted, the meetings
will be held each day from 9 a.m. to 5 p.m. on the dates and locations
identified under DATES and ADDRESSES. Attendees will be responsible for
making their own arrangements for lunch at the mid-day break, scheduled
for 1 p.m. each day. The meetings will reconvene at 2 p.m. and are
scheduled to end at 5 p.m. We may end the meetings early if we have
covered all of the agenda topics and if the people attending have no
further comments. All statements, questions and answers, or comments
made orally at the public meetings will become part of the public
docket. In addition to these public meetings, the Coast Guard will
request its Federal Advisory Committees, as appropriate, to include
maritime security issues and the content of this notice on their
agendas in order to provide further opportunities for comment.
Information on Services for Individuals With Disabilities
To obtain information on facilities or services for individuals
with disabilities or to ask that we provide special assistance at the
meetings, please notify Mr. Martin Jackson at the address or phone
number under FOR FURTHER INFORMATION CONTACT.
Background and Purpose
In the aftermath of September 11, 2001, the Commandant of the Coast
Guard reaffirmed the Coast Guard's Maritime Homeland Security mission
and its lead role, in coordination with the Department of Defense;
Federal, State, and local agencies; owners and operators of vessels and
maritime facilities; and others with interests in our nation's marine
transportation system, to detect, deter, disrupt, and respond to
attacks against U.S. territory, population, vessels, facilities, and
critical maritime infrastructure by terrorist organizations.
In November 2001, the Commandant of the Coast Guard addressed the
International Maritime Organization (IMO) General Assembly, urging that
body to consider an international scheme for port and shipping
security. Recommendations and proposals for comprehensive security
requirements, including amendments to SOLAS and the new ISPS Code, were
developed at a series of intersessional maritime security work group
meetings held at the direction of the IMO's Maritime Safety Committee.
The Coast Guard submitted comprehensive security proposals to the
intersessional maritime security work group meetings based on work it
had been coordinating since October 2001. Prior to each intersessional
meeting, the Coast Guard held public meetings as well as coordinated
several industry meetings with representatives from major U.S. and
foreign associations for shipping, labor, and ports. Maritime security
was also a major agenda item at Federal Advisory Committee meetings
held by the Coast Guard during the past year. Additional meetings were
also held with Federal agencies having complementary security
responsibilities.
In January 2002, the Coast Guard held a two-day public workshop in
Washington, DC, attended by more than 300 individuals, including
members of the public and private sectors, and representatives of the
national and international marine industry (66 FR 65020, December 17,
2001; docket number USCG-2001-11138). Their comments indicated the need
for specific threat identification, analysis of threats, and methods
for developing performance standards to plan for response to maritime
threats. Additionally, the public comments stressed the importance of
uniformity in the application and enforcement of requirements and the
need to establish threat levels with a means to communicate threats to
the marine transportation system.
The Coast Guard considered and advanced U.S. proposals for maritime
security that took into account this public and agency input. We
consider the International Convention for the Safety of Life at Sea
(SOLAS) amendments and the ISPS Code, as adopted by the International
Maritime Organization (IMO) Diplomatic Conference in December 2002, to
reflect current industry, public, and agency concerns. The entry into
force date of both the ISPS Code and related SOLAS amendments is July
1, 2004, with the exception of the Automatic Identification System
(AIS) whose implementation was accelerated to no later than December
31, 2004, depending on the particular class of SOLAS vessel.
Domestically, the Coast Guard had previously developed regulations
for security that are contained in 33 CFR parts 120 and 128.
Complementary guidance can be found in Navigation and Vessel Inspection
Circular (NVIC) 3-96, Change 2, Security for Passenger Vessels and
Passenger Terminals. Prior to development of additional regulations,
the Coast Guard, with input from the public, needed to assess the
current state of port and vessel security and their vulnerabilities. As
mentioned previously, to accomplish this, the Coast Guard conducted a
public workshop January 28-30, 2002, to assess existing Maritime
Transportation System
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security standards and measures and to gather ideas on possible
improvements. Based on the comments received at the workshop, the Coast
Guard cancelled NVIC 3-96 (Security for Passenger Vessels and Passenger
Terminals) and issued a new NVIC 4-02 (Security for Passenger Vessels
and Passenger Terminals) that incorporated guidelines consistent with
international initiatives (the ISPS Code and SOLAS amendments).
Additional NVICs were also published, including NVIC 9-02 (Guidelines
for Port Security Committees, and Port Security Plans Required for U.S.
Ports), NVIC 10-02 (Security Guidelines for Vessels); and NVIC 11-02
(Security Guidelines for Facilities [not yet available]). The documents
are or will be available in the public docket (USCG-2002-14069) for
review at the locations under ADDRESSES.
On November 25, 2002, President George W. Bush signed into effect
Public Law 107-295, the Maritime Transportation Security Act of 2002
(MTSA), which had been proposed to Congress the year before as the Port
and Maritime Security Act (S. 1214). The MTSA requires the Secretary to
issue an interim final rule, as soon as practicable, as a temporary
regulation to implement the Port Security section of the Act. The MTSA
expressly waives the requirements of the Administrative Procedure Act,
including notice and comment, for this purpose. Nevertheless, the Coast
Guard believes it is important to get the preliminary views of the
public, especially affected maritime interests, prior to issuing the
interim final rule. The temporary interim rule may be superseded by a
final rule within one year of the enactment of the MTSA. The
requirements of MTSA section 102 directly align with the security
requirements embodied in the SOLAS amendments and ISPS Code; however,
the MTSA has broader application that includes domestic vessels and
facilities. Thus, the Coast Guard intends to implement the MTSA through
the requirements in the SOLAS amendments and the ISPS Code parts A and
B for all vessels and facilities that are currently required to meet
SOLAS, as well as those vessels exclusively on domestic trade and
facilities that are at risk of being involved in a transportation
security incident.
The Coast Guard considers that the implementation of these
requirements is best done through mandating compliance with the SOLAS
amendments and the ISPS Code including part A and part B (see Appendix
B). The Coast Guard considers part B an essential element to ensure
full and effective compliance with the intent of the MTSA. Foreign flag
vessels entering the U.S. would be expected to verify compliance with
part B or provide proof that any alternatives are equivalent to that
part. Verification of compliance could be established by flag
administration documents or endorsements that indicate that the Ship
Security Certificate was issued based upon full compliance with part B.
Because of the broad application in the MTSA, the discussions in
this notice use the term ``vessels'' rather than the term ``ships'' as
found in the SOLAS amendments and the ISPS Code. These terms can be
used interchangeably but serve to emphasize the Coast Guard's intention
to apply security measures to those vessels we have determined are at
risk of being involved in a transportation security incident.
In addition, under MTSA, the terms ``Area Maritime Transportation
Security Plan'' means a Port Security Plan developed in accordance with
NVIC 9-02; ``Area Security Advisory Committee'' means the Port Security
Committee; and ``Federal Maritime Security Coordinator'' means the
cognizant Captain of the Port. The Coast Guard intends to align any
future rulemaking with the MTSA terminology.
The Coast Guard plans to publish a temporary interim rule no later
than June 2003 and a final rule by November 2003. These dates are
critical in order to uniformly implement the ISPS Code and SOLAS
amendments, as well as meet the urgency set by the mandates in the
MTSA.
As such, the Coast Guard is announcing seven public meetings and
requesting comments that will aid them in drafting the mandated interim
rule and final rule.
What Will Be Discussed at the Public Meetings?
Attendees should be prepared to discuss the implementation of SOLAS
amendments and ISPS Code, including application to vessels engaged in
domestic voyages in accordance with the MTSA, as well as domestic
implications of implementing the recommended security measures
described in recently published guidance (NVICs).
How Should I Prepare for the Public Meeting?
Attendees should review the SOLAS amendments and ISPS Code,
published NVICs, existing regulations in 33 CFR parts 120 and 128,
section 102 of the MTSA, preliminary cost analysis, and associated
supporting documents to evaluate the feasibility of recommended or
required security measures.
The ISPS Code and SOLAS amendments, and the preliminary costs
analysis are included in this notice as Appendix B and Appendix C,
respectively. The NVICs, MTSA, related public comments, and associated
supporting documents are available for review in the public docket
(USCG-2002-14069) at the locations under ADDRESSES.
After evaluating these documents, the public should then prepare
statements to be presented at the meetings or submit to the public
docket (USCG-2002-14069) expressing any concerns and suggesting ways to
implement the required measures. Attendees also should propose possible
equivalencies to the SOLAS amendments and ISPS Code, and the MTSA
requirements.
Who Should Attend the Public Meetings?
Port Stakeholders. While the Coast Guard will be primarily
responsible for ensuring the new SOLAS amendments and ISPS Code, and
section 102 of the MTSA for U.S. ports are implemented through the
development of Port Security Plans and establishment of Port Security
Committees, we will need the cooperation of other Federal agencies,
port authorities, State and local governments, local emergency
responders, maritime industry associations, facility and vessel owners
and operators and other port community stakeholders such as the owners
of other structures located on or adjacent to U.S. navigable waters.
Because Port Security Plans are overarching and address many areas
of the maritime community, the plans will apply to commercial vessels
and facilities, as well as to such entities as--
[sbull] Recreational vessels and uninspected passengers vessels.
[sbull] Nautical school vessels and sailing school vessels.
[sbull] Small passenger vessels on domestic voyages.
[sbull] Uninspected fishing vessels.
[sbull] Oil spill response vessels.
[sbull] Military installations and vessels.
[sbull] Facilities that transfer, store, or otherwise handle dry
bulk or general cargo.
[sbull] Marinas.
[sbull] Ship repair facilities.
[sbull] Waterfront areas that are densely populated or host large
public events.
[sbull] Other areas within the port that are critical to port
operations or public safety.
Vessel Owners, Operators, and Charterers. Requirements are being
[[Page 79745]]
considered for operators of certain vessels to develop Vessel Security
Assessments and Plans, designate Company and Vessel Security Officers,
and implement security measures (see Appendix A). The Coast Guard
considers these security measures to be integral for vessel security
and appropriate for the majority of vessels operating in U.S. waters.
Therefore, the Coast Guard would apply these requirements to such
commercial vessels as--
[sbull] All foreign ships, both cargo and passenger, required to
comply with SOLAS;
[sbull] All foreign ships, both cargo and passenger, of countries
not signatory to SOLAS;
[sbull] All vessels subject to 46 CFR subchapter I (cargo vessels);
[sbull] All vessels subject to 46 CFR subchapter L (offshore supply
vessels);
[sbull] All passenger vessels subject to 46 CFR subchapters H and
K;
[sbull] All passenger vessels subject to 46 CFR subchapter T
engaged on an International voyage;
[sbull] All barges subject to 46 CFR subchapters D, I, and O;
[sbull] All tankships subject to 46 CFR subchapters D and O;
[sbull] All Mobile Offshore Drilling Units (MODUs) subject to 46
CFR subchapter I-A; and
[sbull] All towing vessels greater than 6 meters in registered
length.
Facility Owners or Operators. Requirements are being considered for
operators of certain facilities to develop Facility Security
Assessments and Plans, designate Facility Security Officers, and
implement security measures (see Appendix A). The Coast Guard considers
these security measures to be integral for facility security and
appropriate for the majority of facilities servicing vessels that
operate in U.S. waters or facilities that are on or adjacent to U.S.
waters and pose a risk to them. Therefore, the Coast Guard would apply
these requirements to such facilities as--
[sbull] Facilities that handle cargo regulated under 33 CFR parts
126, 127, and 154;
[sbull] Facilities that service vessels certified to carry more
than 150 passengers; and
[sbull] Facilities that receive vessels on international voyages
including vessels solely navigating the Great Lakes.
As an Affected Entity, What Information Should I Bring to the Public
Meetings?
Attendees should bring their recommendations and responses to the
questions provided in Appendix A. Attendees should also be prepared to
offer their best practices with regard to the security issues and
comments on application, implementation and operating costs.
What Will Be the Format of the Public Meetings?
The public meetings will follow a question-answer format. A
facilitator will describe the SOLAS amendment and ISPS Code
requirements and the Coast Guard's implementation strategy. The
facilitator then will pose a series of questions and solicit attendees'
responses. We will discuss, in this order, general security provisions,
port security provisions, vessel security provisions, facility security
provisions, and other security provisions. Appendix A provides the
intended format of the meetings.
What Other Information Would Assist the Coast Guard in Drafting the
Temporary Interim Security Rule?
We request information about all current Federal, State, and local
governmental laws, procedures, regulations, and standards that are
either functioning or that are planned. We also request industry to
provide any current and planned standards and procedures covering the
security of vessels and facilities, and recommendations toward
additional regulations.
What Are the Estimated Costs of Implementing the SOLAS Amendments, the
ISPS Code, and Section 102 of the MTSA, as Discussed in This Notice?
For the purposes of good business practice and in order to comply
with regulations promulgated by other Federal and State agencies, many
companies have spent, to date, a substantial amount of money and
resources to upgrade and improve security. The costs discussed in
Appendix C do not include resources these companies have already spent
to enhance security. To estimate costs, we contacted operators to
determine what specific security improvements they had made and the
costs they had incurred since the events of September 11, 2001. We
found that these operators were reluctant to share their information
with us. Consequently, the estimates in the following analysis are
based heavily on Coast Guard judgments.
We realize that each company engaged in maritime commerce would not
implement the ISPS Code exactly as presented in this analysis.
Depending on each company's choices, some companies could spend much
less than what is estimated herein while others could spend
significantly more. In general, we assume that each company would
implement the ISPS Code based on the types of vessels and facilities it
owns or operates and whether it engages in international or domestic
trade.
Based on this analysis, the first year cost would be approximately
$1.4 billion, with costs of approximately Present Value (PV) $6.0
billion over the next 10 years (2003-2012, 7 percent discount rate).
The preliminary cost analysis in Appendix C presents the costs in three
sections: vessel security, facility security, and port security. The
following is a summary of the preliminary cost analysis.
[sbull] Vessel Security. The first-year cost of purchasing
equipment, hiring security officers, and preparing paperwork is
approximately $188 million. Following initial implementation, the
annual cost is approximately $144 million. Over the next 10 years, the
cost would be PV $1.1 billion approximately. The paperwork burden
associated with planning would be approximately 140,000 hours in the
first year and 7,000 hours in subsequent years.
[sbull] Facility Security. The first-year cost of purchasing
equipment, hiring security officers, and preparing paperwork is an
estimated $963 million. Following initial implementation, the annual
cost is approximately $535 million. Over the next 10 years, the cost
would be PV $4.4 billion approximately. The paperwork burden associated
with planning would be approximately 465,000 hours in the first year
and 17,000 hours in subsequent years.
[sbull] Port Security. The first-year cost of establishing Port
Security Committees and creating Port Security Plans for all port areas
is an estimated $120 million. The second-year cost is approximately
$106 million. In subsequent years, the annual cost is approximately $46
million. Over the next 10 years, the cost would be PV $477 million
approximately. The paperwork burden associated with planning would be
approximately 1,090,000 hours in 2003, 1,278,000 hours in 2004, and
827,000 hours in subsequent years.
Dated: December 20, 2002.
Paul J. Pluta,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety,
Security and Environmental Protection.
Appendix A: Maritime Security Issues for Discussion
General Security Provisions
1. Obligations of Contracting Government with respect to
security. The SOLAS amendments (regulation 3) and ISPS Code (part A,
section 4, and part B, paragraph 4) lay out a series of requirements
for
[[Page 79746]]
Contracting Governments and Administrations to mandate security
levels that are appropriate for their vessels and ports. The Coast
Guard intends to implement these requirements in coordination with
the Homeland Security Advisory System (HSAS). Homeland Security
Presidential Directive (HSPD)-3 defines a five-tiered system for
setting threat levels. We intend to implement Maritime Security
(MARSEC) levels, which directly correspond to security levels as
discussed in the SOLAS amendments and the ISPS Code. The MARSEC
levels will be linked to the HSAS, as follows, to serve as the
maritime sector's tool for communicating risk.
------------------------------------------------------------------------
Homeland Security Advisory System
(HSAS) Maritime Security (MARSEC) Level
------------------------------------------------------------------------
Low: Green........................... MARSEC Level 1.
Guarded: Blue........................
Elevated: Yellow.....................
High: Orange......................... MARSEC Level 2.
Severe: Red.......................... MARSEC Level 3.
------------------------------------------------------------------------
We intend to communicate these MARSEC levels to our vessels and
ports using such methods as Broadcast Notice to Mariners, community
public alert systems, fax and e-mail alert lists, or other similar
methods, and intend that these communication processes be addressed
in the port security plan. To meet the SOLAS requirement to have a
point of contact through which vessels and facilities can request
advice or assistance or report any security concerns (chapter XI-2,
regulation 7), we anticipate using the toll-free phone number of our
National Response Center or a regional toll-free number as
coordinated with other agencies. This number and point of contact
information would be published in the Coast Pilot, on Web sites, and
in other public information formats.
[sbull] From a port perspective, would these communication
processes meet your needs? Why or why not?
[sbull] From a vessel perspective, would these communication
processes meet your needs? Why or why not?
2. Procedures for Authorizing a Recognized Security
Organization. The ISPS Code (part A, section 4, and part B,
paragraph 4) allows Contacting Governments to delegate certain
security related duties to Recognized Security Organizations (RSO).
In order to ensure proper implementation at the outset of the MTSA
as well as the international mandates, and because of the
accelerated implementation timeline, the Coast Guard does not intend
to delegate its authority to an RSO. However, in the future the
Coast Guard may consider such delegation.
[sbull] Do you believe the Coast Guard should delegate its
authority to an RSO keeping in mind the limitations in the ISPS Code
(part A, section 4.3)?
[sbull] Do you believe there should be additional qualification
and competency requirements to those listed in the ISPS Code part B,
paragraph 4.5 for RSOs?
3. Consideration of other Organizations competent in Maritime
Security. The Coast Guard recognizes that security assessments and
plans for the maritime community may require the assistance of
organizations with maritime security competency. Currently there is
not a standard for these organizations or companies; however, a
benchmark has been established in the ISPS Code part B, paragraph
4.5.
[sbull] Should the Coast Guard formalize professional standards
for companies or organizations that seek to do business providing
guidance on vessel and facility security assessments and plans?
[sbull] Should the Coast Guard vet these organizations or are
you aware of an alternative quality standard that should be
associated with them?
4. Procedures for Accepting Alternatives and Equivalencies. The
SOLAS amendments to chapter XI-2, regulation 11 and 12 along with
part B, paragraph 4.26 and 4.27 of the ISPS Code allow Contracting
Governments to permit alternatives and equivalencies to the security
requirements if they are at least as effective as the mandates and
are reported to the Organization. This concept aligns with
traditional SOLAS language and provides for some flexibility in
implementation. The Coast Guard intends to allow alternatives and
equivalencies for vessels and some facilities, as appropriate. The
Coast Guard would consider allowing a company that operates a number
of similar vessels and terminals, to develop a master plan provided
all aspects of the operation are addressed in lieu of individual
plans as provided for in SOLAS chapter XI-2, regulation 11 and 12.
Provisions for the submission of requests for the Coast Guard to
consider alternatives or equivalencies will be similar to that
already permitted in 46 CFR Subchapters, for example 46 CFR 30.15 or
70.15.
[sbull] Do you anticipate that your organization would request
an alternative or equivalency? If so, why?
[sbull] Do you believe the submission format proposed by the
Coast Guard is appropriate?
5. Procedures for Accepting Industry Standards. In addition to
the equivalencies and alternative provisions discussed above, the
Coast Guard is considering, for those vessels that are currently not
required to meet SOLAS, accepting industry standards for security
requirements to be used as an equivalent or alternative. To ensure
security for our maritime community remains high, these standards
would be reviewed and approved nationally. The Coast Guard also
believes that in order to be deemed acceptable, compliance with an
industry standard should be subject to verification by a third party
audit procedure acceptable to the Coast Guard. The concept of this
provision aligns with the current SOLAS provisions in chapter XI-2,
regulations 11 and 12. The submission process will be similar to
that found at 46 CFR 50.20-30, ``alternative materials or methods of
construction'', whereby the proposed industrial standard will be
submitted to the Commandant for review.
[sbull] Do you know of an industry standard that may be
considered equivalent (or could be equivalent with revision) to the
requirements of the SOLAS amendments and the ISPS Code?
[sbull] If an industry standard were available, would you
consider implementing it? If so, why?
6. Declaration of Security (DoS). The ISPS Code (part A, section
5) requires Contracting Governments to determine when a DoS is
required for vessels and facilities conducting vessel/port interface
or vessel-to-vessel activities. A DoS is a document that establishes
an agreement between a vessel and a facility, or between vessels, on
their security arrangements to ensure their coordination and
communication is clearly set out. At this time, the Coast Guard
intends to issue national guidelines when a DoS must be executed,
and the form of the DoS. The Coast Guard also intends to have each
Port Security Committee determine the conditions for executing a
DoS. Declarations of Security will be addressed in each Port
Security Plan. In addition, the Port Security Committee will be
asked to consider and include guidance in the Port Security Plan on
what actions to take when vessels request a DoS or request to enter
the Port with a security level higher than the Port's level. The
ISPS Code also allows Administrations to give guidance on when their
ships should request a DoS during a port call or when interacting
with other vessels. The Coast Guard intends to issue this as
guidance, either within regulations or as a separate document
(NVIC), to assist ship owners in the development of their vessel
security plans.
[sbull] During what operations or security levels do you believe
a DoS would be appropriate to facilitate coordination of security
measures between a facility and a vessel?
[sbull] What format, either regulation or guidance, would you
prefer to assist you in developing your vessel security plan to
address DoSs?
7. Security of information contained in port, vessel and
facility security assessments and plans. The ISPS Code (part A,
sections 9 and 16) and the MTSA (46 U.S.C. section 70101(d)) require
documents related to security, especially security assessments and
plans, to be kept in a manner that is protected from unauthorized
access or disclosure. However, the Coast Guard will require access
to vessel and facility records, as well as those held by other
structures located on or adjacent to U.S. navigable waters, for the
purpose of conducting or verifying assessments and plans. This
information may be required to be provided upon request by the Coast
Guard. The Coast Guard intends to require information related to
Port Security, Vessel Security, and Facility Security Plans to be
designated as Security Sensitive Information (SSI) in a manner
similar to that used by the airline industry. Transportation
Security Administration (TSA) is considering revisions to the SSI
regulations (49 CFR part 1520) to enable this classification.
[sbull] Do you believe that a SSI classification will be
sufficient? If not, why?
[sbull] Do you have a suggestion for an alternative way to
protect this information yet allow approvals and review?
Port Security Provisions
8. Port Security Plans and Committees. The requirements for
ports stem from the development of the new SOLAS amendments and the
ISPS Code as well as the MTSA (46 U.S.C. sections 70103, 70104 and
70112). The
[[Page 79747]]
definition of port facilities is broad and covers all aspects of the
interface between a ship and a facility, including anchorages and
other areas typically considered by the United States as public
waterways, as well as other structures located on or adjacent to
U.S. navigable waters. Thus, the Coast Guard intends to invoke the
alternative provided in part A, section 16.4 of the ISPS Code and
combine facility plans with a port plan to encompass all of our U.S.
navigable waters. The majority of the SOLAS amendments and ISPS Code
requirements would be applied to U.S. facilities to ensure a
seamless ship-to-facility security interface. However, the port
security requirements will be the overarching instrument for
implementing security communications and ensuring compliance. For
U.S. purposes, the Port Facility Security Officer (PFSO) will be the
Coast Guard Captain of the Port (COTP) who may require Facility
Security Officers undertake certain responsibilities (such as
signing a DoS), as outlined in the Port Security Plan (PSP). The
Port Security Committees will assist the PFSO in developing the PSP
and will be intimately involved in the exercises to ensure it
remains effective. The Coast Guard intends to issue regulations that
will lay out the Port Security Committees' and the PFSOs'
responsibilities and guidance for the committee membership.
[sbull] Who do you believe should be involved in the Port
Security Committees?
[sbull] Do you have a suggestion for how to ensure the
involvement of the affected community listed in the section titled
``Who should attend the public meetings?'' of the notice?
9. Port Security Assessments Requirement. The Coast Guard is
considering requirements for Port Security Assessments (PSAs), as
discussed in ISPS Code part A, section 15 and part B paragraphs 15.1
through 15.16 as well as the MTSA (46 U.S.C. section 70102). The
regulation also would contain a description of the role of Port
Security Committees. Many assessments of this type have already been
performed in ports and should be a good foundation for this
requirement. Since the PSA will be integral in the development of
the PSP, requirements for its update and review will also be
included.
[sbull] Do you believe that your Port Security Committee, as
described in the NVIC and above, is able to provide enough
experience and expertise to develop PSAs? If no, why?
[sbull] Does your port currently have an assessment that you
believe could be used for a PSA?
10. Port security control of vessels, facilities, and
operations. The requirements for control of vessels are outlined in
the SOLAS amendments, regulation XI-2/9, and the ISPS Code part B,
paragraphs 4.29 through 4.46. The Coast Guard intends to implement
control measures as detailed in the SOLAS amendments and ISPS Code
requirements. The information from a vessel's advanced notice of
arrival, which is being revised under a separate rulemaking, and
other means of verifying compliance with the SOLAS amendments and
ISPS Code, will provide our COTPs the ability to assess appropriate
control measures for these vessels. In addition, the Port Security
Committee will be asked during the PSA process to review areas
within the port, such as fleeting areas, regulated navigation areas,
anchorages, and areas near facilities, to assess whether these areas
should have security zones or patrol requirements established at
certain security levels. If so, the Port Security Plan then would be
required to address these security zones (or other security
requirements) and arrangements to permanently establish the zones.
Alternatively, such measures may be promulgated through regulation.
The regulation would contain specific procedures for triggering
security zone implementation through a broadcast notice to mariners
or security level communication to the maritime community. Thus,
mariners would know precisely what to expect in their waterways
during higher security levels and facilities would also know if any
operations would be restricted due to waterway concerns.
[sbull] Do you believe a system of waterway and facility
restrictions pre-designated in regulations or other means (such as a
Coast Pilot) would assist in your compliance with security
requirements?
[sbull] Do you have any suggestions of other ways to restrict or
control activities within the port area at higher security levels?
11. Port security training and exercises. Part A, section 18 and
part B, paragraphs 18.1 through 18.6 of the ISPS Code detail
training, drills, and exercise requirements for port facilities. To
meet these requirements, the Coast Guard would require a quarterly
exercise of the Port Security Plan. In addition, training
requirements for Port personnel would also have to be included in
the Port Security Plan. At this time, the Coast Guard does not
expect to mandate a formal training course for port security
personnel. However, at a minimum, facilities will have to ensure
that security personnel receive appropriate training, consistent
with part B of the ISPS Code, to ensure that they can carry out
their assigned responsibilities. This includes, where appropriate,
guidance on firearms safety. Drill requirements mandated for port
security will be met in conjunction with drills for facility plans
on a quarterly basis.
[sbull] Under this scheme, would you participate in a Port
Security Plan exercise?
[sbull] Do you have a suggestion on a type of Port Security Plan
exercise other than those listed in Part B, paragraph 18.6?
[sbull] Do you have a port personnel security training program
or suggestions on training guidance for safety and security
personnel?
Vessel Security Provisions
12. Incorporation by Reference. The Coast Guard is considering
accepting national, State, and industry security standards to meet
certain security requirement(s), as appropriate, such as a vessel
security plan that incorporates the use of motion detection
equipment that meets an accepted national standard.
[sbull] Do you know of a national, State, or industry standard
that could be used in the marine environment?
[sbull] If a national, State, or industry standard was
available, would you consider implementing it? If so, why?
13. Obligations of the company. The obligations and specific
requirements of companies are discussed in SOLAS amendments
(regulation 4 and 5) and the ISPS Code (part A, section 6 and part
B, paragraphs 6.1 through 6.8). The Coast Guard would require Vessel
Security Plans (VSPs) to describe how the company will meet its
obligations and requirements.
[sbull] Do you believe that this adequately addresses the
obligations and specific requirements of a company? If no, why?
[sbull] Do you have a suggestion for how to ensure that
companies meet these obligations and requirements?
[sbull] What should the obligations of towing companies be with
respect to the responsibility for barges?
14. Vessel Security Requirements. The SOLAS amendments
(regulation 4) and ISPS Code (part A, section 7) require that
vessels act upon security levels set by Contracting Governments
through appropriate protective measures by carrying out certain
specified activities (part A, section 7.2). The MTSA requires the
Coast Guard to consider the types vessels that are likely to be
involved in a transportation security incident. For the purposes of
this notice and the Coast Guard discussion in Appendix C, cost
impact was only developed for those vessels listed in NVIC 10-02 and
also listed in the section titled, ``Who should attend the public
meetings?'' The Coast Guard also recognizes that many other vessels
could benefit from compliance with these requirements therefore, the
Coast Guard is considering extending them to all vessels, including
small passenger vessels or uninspected fishing vessels.
[sbull] Do you believe that the application of the requirements
in part A, section 7-13 of the ISPS Code for the vessels indicated
in the section titled ``Who should attend the public meetings?'' is
appropriate? If not, why?
[sbull] Do you believe these security measures should apply to
other vessels, not already listed?
[sbull] Do you believe that these activities and protective
measures adequately address the security of a vessel? If no, why?
[sbull] Do you have a suggestion for appropriate security
measures that a vessel can take to meet these requirements that are
not already listed in part B, paragraphs 9.1 through 9.49?
15. Vessel Security Assessments (VSA) Requirement. The ISPS Code
part A, section 8, and part B, paragraphs 8.1 through 8.14, as well
as the MTSA (46 U.S.C. sections 70102 and 70166), require that a
vessel perform a VSA that includes an on-scene security survey and
provides details of those elements that the VSA will include. The
VSA is integral in developing and updating the Vessel Security Plan.
The Coast Guard would require VSAs for all vessels indicated in the
section titled ``Who should attend the public meetings?'' of the
notice. The Coast Guard would review these assessments when Vessel
Security Plans are submitted for approval.
[sbull] Do you have any suggestions on how to best conduct a VSA
and review results? Is there a current practice to meet this
requirement?
[sbull] For vessels on domestic voyages, are there any
appropriate alternatives to a VSA that could be considered?
[[Page 79748]]
16. Vessel Security Plan (VSP) Requirement. The ISPS Code part
A, section 9, and part B, paragraphs 9.1 through 9.53, as well as
the MTSA (46 U.S.C. sections 70103 and 70104), require that VSPs be
developed, taking into consideration the VSA, make provisions for
the three MARSEC Levels, and be reviewed and updated. The Coast
Guard's requirements would incorporate all of these elements and
would also provide an outline that the VSP would follow or be cross-
referenced using a similar approach as done in 33 CFR 155.1030.
[sbull] Do you have any suggestions on additional items the VSP
should address?
[sbull] Do you have a suggestion or a best practice to meet this
VSP requirement?
[sbull] Would you find an outline a valuable aid to meeting
these requirements? If not, why?
17. Submission of Vessel Security Plans for approval. The ISPS
Code (part A, section 9) requires that vessels carry on board a VSP
that is approved by the Administration. The MTSA further requires
VSPs to be approved by the Secretary. Therefore, for foreign vessels
required to comply with SOLAS, the Coast Guard will deem Flag state
approval of a VSP that meets the requirements of SOLAS and the ISPS
Code to be approval of the Secretary for purposes of the MTSA. The
Coast Guard would approve all other VSPs at the Marine Safety Center
or at the COTP level, depending on the class of vessel. The
submission format would be similar to that already required in 33
CFR 120.305. In addition, for efficiency and timeliness, the Coast
Guard is considering alternative methods of Coast Guard approval for
VSPs for certain vessels that operate on domestic voyages. One
possible alternative includes Coast Guard approval of a unified or
corporate plan that would be implemented on a similarly situated
fleet of vessels in common ownership. Another alternative could
include verification of implementation of a pre-approved security
plan for a particular segment of industry.
[sbull] Do you have suggestions on how these approvals could be
streamlined? Is there an alternative process?
[sbull] Do you believe the submission format proposed by the
Coast Guard is appropriate?
18. Existing Security Measures for Certain Vessels. The Coast
Guard is evaluating the need for retaining certain security measures
in existing regulations, 33 CFR part 120, for those vessels (e.g.,
large passenger vessels) that could be involved in a transportation
security incident that results in a catastrophic loss of life. The
Coast Guard considers that 33 CFR part 120 meets the requirements of
the SOLAS amendments and the ISPS Code.
[sbull] Do you believe that additional security requirements are
needed for certain vessel types? If so, why and what would those
requirements be?
19. Vessel Security Recordkeeping. The ISPS Code part A, section
10, and part B, paragraphs 10.1 and 10.2, require certain security
records to be kept on board the vessel and retained for a period
specified by the Administration. The Coast Guard would require all
vessels to keep these records for at least 2 years and make them
available for review during inspections or boardings. Presently,
there are no requirements for the format of these records. However,
their review would have to provide an inspector with the appropriate
information to ensure the vessel's security plan is properly
implemented. The Coast Guard does not intend to prescribe where
these records are kept nor their format.
[sbull] Do you have a suggestion or best practice related to
recordkeeping you believe the Coast Guard should require?
[sbull] Do you wish the Coast Guard to prescribe a format for
these records?
20. Company Security Officer Designation. The ISPS Code (part A,
section 11) as well as the MTSA (46 U.S.C. section 70103), specify
that the Company must designate a Company Security Officer (CSO) and
details their duties, responsibilities, and competencies (part A,
sections 13.1 and 13.5 and part B, paragraph 13.1). In addition,
CSOs are required to participate in security exercises as discussed
in part B, paragraph 13.7 of the ISPS Code. The Coast Guard intends
to include these requirements for all vessels indicated in the
section titled ``Who should attend the public meetings?'' The Coast
Guard recognizes that many security programs are already in place
and have personnel working in the maritime community with the
experience and the competencies reflected in the ISPS Code. At this
time, the Coast Guard does not intend to certify courses as meeting
the standards of the ISPS Code or require any type of license for a
CSO. Rather, the Coast Guard intends to accept Company certification
for these officers indicating that they have the knowledge,
experience and competencies as required by the ISPS Code. The Coast
Guard also intends to have CSOs or Companies provide proof that CSOs
have participated in annual exercises, and records of that
participation would have to be retained for 2 years.
[sbull] Do you believe the Coast Guard should require CSOs to
attend training?
[sbull] Do you believe Company certification is appropriate or
do you have a suggestion for an alternate verification for the CSO
qualifications?
[sbull] Do you believe proof of participation in annual
exercises should be retained for 2 years? If not, how long? Why?
21. Vessel Security Officer Designation. The ISPS Code (part A,
section 11) as well as the MTSA (46 U.S.C. section 70103), specify
that each vessel shall designate a Vessel Security Officer (VSO) and
details their duties, responsibilities, and competencies (part A,
section 13.2 and part B, paragraphs 13.1 and 13.2). In addition,
VSOs are required to participate, if available, in security
exercises as discussed in part B, paragraph 13.7 of the ISPS Code.
Since many security programs and personnel are already working in
the maritime community and have the competencies reflected in the
ISPS Code, at this time, the Coast Guard does not intend to certify
courses as meeting the standards of the ISPS Code or require any
type of license for a VSO. Rather, the Coast Guard intends to accept
Company certification for these officers indicating that they have
the knowledge, experience and competencies as required by the ISPS
Code. The Coast Guard is also considering alternatives for some
vessel classes, such as barges, to allow a Company Security Officer
in lieu of a VSO with duties that encompass both. It should be noted
that there is no prohibition to the master also being designated as
the VSO although on large vessels, this may be impractical.
[sbull] Do you believe the Coast Guard should require VSOs to
attend formal training?
[sbull] Do you believe Company certification is appropriate or
do you have a suggestion for an alternate verification for the VSO
qualifications?
[sbull] Do you have any suggestions for certain classes of
vessels being allowed an alternative to a VSO? If so, how or who
would you make responsible for the VSO duties?
22. Security training and drill requirements for vessel
personnel. The ISPS Code (part A, sections 13.3 and 13.4, and part
B, paragraph 13.3) as well as section 109 of the MTSA, specify that
vessel personnel having specific security duties and
responsibilities be trained in their duties and have the knowledge
needed to carry them out. Part B, paragraph 13.4 also requires a
basic security knowledge and competency for all personnel employed
on the vessel to ensure security awareness. In addition, vessel
personnel are required to participate in security drills as
discussed in part A, section 13.4, and part B, paragraphs 13.5 and
13.6 of the ISPS Code. The Coast Guard intends to allow vessel
masters, VSOs, or CSOs to certify that vessel personnel have
received the training required to fulfill their security duties, if
applicable or the general security awareness training required for
all personnel. A record (such as a training record) kept on board
the vessel or any other form of acknowledgment (such as a log entry)
would be sufficient for this purpose. A record of drills would also
be required and is discussed in paragraph number 19 of this
appendix.
[sbull] Do you believe the Coast Guard should require vessel
personnel to attend formal training?
[sbull] Do you believe prescribing the format for training
records would assist you in meeting these requirements?
23. Certification for vessels. The ISPS Code, parts A and B,
section 19, requires Administrations to verify and certify by
issuing an International Ship Security Certificate (ISSC) that those
vessels subject to SOLAS comply with the applicable requirements of
SOLAS chapter XI-2 and the ISPS Code. The Coast Guard intends to
amend 46 CFR 2.01-25 by adding new paragraph (a)(viii) referring to
ISSC. Compliance with regulations for domestic vessels will be
verified during issuance and renewal of Certification of Inspection.
Issuance or endorsement of the Certificate of Inspection (COI) would
be contingent upon a vessel's compliance with these regulations.
Vessels that are not required to be inspected by the Coast Guard
under title 46 of the U.S.C, would be required to have proof on
board the vessel certifying that the vessel meets these requirements
and that they are implementing their VSP.
[sbull] Do you have any other suggestions for verification and
certification that vessels comply with security regulations?
[[Page 79749]]
Facility Security Provisions
24. Incorporation by Reference. The Coast Guard is considering
accepting national, State, and industry security standards to meet
certain security requirement(s), as appropriate, e.g., a facility
security plan that incorporates lighting or fencing equipment that
meets an accepted national standard.
[sbull] Do you know of a national, state, and industry standard
that could be used in the marine environment?
[sbull] If a national, state, and industry standard were
available, would you consider implementing it? If so, why?
25. Facility Security Requirement. The SOLAS amendments (chapter
XI-2, regulation 10) and ISPS Code parts A and B, section 14 require
that facilities act upon security levels set by Contracting
Governments through appropriate protective measures by carrying out
certain specified activities (part A, section 14.2). The MTSA
requires the Coast Guard to consider the types facilities that are
likely to be involved in a transportation security incident. For the
purposes of this notice and the Coast Guard discussion in Appendix
C, cost impact was only developed for those facilities listed in
NVIC 11-02 and also listed in the section titled, ``Who should
attend the public meetings?'' The Coast Guard also recognizes that
many other facilities could benefit from compliance with these
requirements therefore, the Coast Guard is considering extending
them to all facilities, including dry bulk or general cargo
facilities or ship repair facilities.
[sbull] Do you believe that the application of the requirements
in part A, section 14-18 of the ISPS Code for the facilities
indicated in the section titled ``Who should attend the public
meetings?'' is appropriate? If not, why?
[sbull] Do you believe these security measures should apply to
other facilities, not already listed?
[sbull] Do you believe that these activities and protective
measures adequately address the security of a facility? If no, why?
[sbull] Do you have a suggestion for appropriate security
measures that a facility can take to meet these requirements that
are not already listed in part B, paragraphs 16.1 through 16.63?
26. Facility Security Assessments (FSA) Requirement. The ISPS
Code parts A and B, section 15, as well as the MTSA (46 U.S.C.
sections 70102 and 70116), require that a facility perform a FSA
that includes an on-scene security survey and provides details of
those elements that the FSA will include. The FSA is integral in
developing and updating the Facility Security Plan. The Coast Guard
is considering requiring FSAs for all facilities indicated in the
section titled ``Who should attend the public meetings?'' of the
notice. The Coast Guard intends to review these assessments when
Facility Security Plans are submitted for approval.
[sbull] Do you have any suggestions on how to best conduct a FSA
and review the results? Is there a current practice to meet this
requirement?
[sbull] Are there any appropriate alternatives to a FSA that
could be considered?
27. Facility Security Plans. The ISPS Code parts A and B,
section 16, as well as the MTSA (46 U.S.C. sections 70103 and
70104), require that FSPs be developed taking into consideration the
facility security assessment, make provisions for the three MARSEC
Levels, and be reviewed and updated. The Coast Guard is considering
requirements that incorporate all of these requirements and also
would provide an outline for the FSP. The outline would follow or be
cross-referenced using a similar approach as done in 33 CFR part
155.1030.
[sbull] Do you have any suggestions on additional items the FSP
should address?
[sbull] Do you have a suggestion or a best practice to meet this
FSP requirement?
[sbull] Would you find an outline a valuable aid to meeting
these requirements? If not, why?
28. Submission of Facility Security Plans for approval. The ISPS
Code (part A, section 16) requires facilities to develop and
maintain a facility security plan (FSP) that is approved by the
Contracting Government in whose territory the facility is located.
The Coast Guard intends to review and approve FSPs at the COTP
level. The submission format would be similar to that already
required in 33 CFR 120.305. The Coast Guard is considering the
submission of a single FSP for companies that own and operate both
the facility and vessels that call on that facility.
[sbull] Do you have suggestions on how these approvals could be
streamlined or an alternative process?
[sbull] Do you believe the submission format proposed by the
Coast Guard is appropriate?
29. Facility Security Recordkeeping. Although records for
facilities are not specifically addressed in the ISPS Code, the
Coast Guard intends to require certain security records be kept for
certain security related activities and incidents and retained for a
period specified by the Coast Guard. The Coast Guard would require
these records to be kept for at least 2 years and will review them
during inspections. Presently, there are no requirements for the
format of these records. However, their review would have to provide
an inspector with the appropriate information to ensure the
facility's security plan is properly implemented. The Coast Guard
does not intend to prescribe where these records are kept nor their
format.
[sbull] Do you have a suggestion or best practice related to
recordkeeping you believe the Coast Guard should require?
[sbull] Do you wish the Coast Guard to prescribe a format for
these records?
30. Facility Security Officer. The ISPS Code, parts A and B,
section 17, as well as the MTSA (46 U.S.C. section 70103), specify
that the each facility shall designate a Facility Security Officer
(FSO) and details their duties, responsibilities, and competencies
(part A, section 17.2 and part B, paragraphs 17.1 and 17.2). In
addition, FSOs are required to participate in security exercises as
discussed in part B, paragraph 18.6 of the ISPS Code. Since many
security programs and personnel are already working in the maritime
community and have the competencies reflected in the ISPS Code, at
this time, the Coast Guard does not intend to certify courses as
meeting the standards of the ISPS Code or require any type of
license for a FSO. Rather, the Coast Guard intends to accept Company
certification for these officers indicating that they have the
knowledge, experience and competencies as required by the ISPS Code.
It should be noted that there is no prohibition of the FSO having a
collateral duty provided the individual is able to perform the
duties and responsibilities required by the ISPS Code and the
approved FSP.
[sbull] Do you believe the Coast Guard should require FSOs to
attend training?
[sbull] Do you believe Company certification is appropriate or
do you have a suggestion for an alternate verification for the FSO
qualifications?
[sbull] Would there be a case where a FSO may perform their
duties for more than one facility?
[sbull] Do you believe proof of participation in annual
exercises should be retained for 2 years? If not, how long? Why?
31. Training, drills and exercises on Facility Security. The
ISPS Code, parts A and B, section 18, as well as section 109 of the
MTSA, specify that facility personnel having specific security
duties and responsibilities be trained in their duties and have the
knowledge needed to carry them out. Part B, paragraph 18.3 also
requires a basic security knowledge and competency for all personnel
employed at the facility to ensure security awareness. In addition,
facility personnel are required to participate in security drills as
discussed in part A, section 18 and part B, paragraphs 18.4 and 18.6
of the ISPS Code. The Coast Guard intends to allow FSOs to certify
that facility personnel have received the training required to
fulfill their security duties, if applicable or the general security
awareness training required for all personnel. A record (e.g., a
training record) kept or any other form of acknowledgment (e.g., a
log entry) would be sufficient for this purpose. A record of drills
would also be required and is discussed in item number 28 of this
notice.
[sbull] Do you believe the Coast Guard should require facility
personnel to attend training?
[sbull] Do you believe prescribing the format for training
records would assist you in meeting these requirements?
32. Certification for facilities. The ISPS Code does not
specifically require that each facility be certified. The Coast
Guard would review and approve the FSP and would require companies
to certify their compliance with these requirements and that each
facility has drafted and implemented an FSP. The Coast Guard would
inspect facilities to verify compliance.
[sbull] Do you have any suggestions for verification and
certification that facilities comply with security regulations?
[sbull] Do you believe the Coast Guard should allow companies to
certify their facilities?
Other Security Provisions
33. Permanent hull marking requirement. The SOLAS amendments
created a new regulation in chapter XI-1 (regulation 3) that
requires vessels to have their identification number permanently
marked on their hull and in an easily accessible place on the
transverse bulkhead of the machinery space or on another suitable
interior location, as specified. At this time, the Coast Guard does
not intend to extend the application of this requirement to vessels
limited to domestic
[[Page 79750]]
voyages. However, all vessels subject to SOLAS and conducting
international voyages, including towing vessels and offshore supply
vessels whose international tonnage is greater than 300 gross tons
(gt), would be required to comply with this regulation when the
SOLAS amendments enter into force.
[sbull] Do you believe the Coast Guard should extend this
requirement to vessels limited to domestic voyages? If so, why?
34. Continuous Synopsis Record requirement. The SOLAS amendments
created a new regulation in chapter XI-1 (regulation 5) that
requires vessels to maintain and update a Continuous Synopsis
Record, to be kept on board, that contains information such as the
name of the flag Administration, the date of the vessel's registry,
the vessel's identification number, etc. At this time, the Coast
Guard does not intend to extend the application of this requirement
to vessels limited to domestic voyages. However, all vessels subject
to SOLAS and conducting international voyages, including towing
vessels and offshore supply vessels whose international tonnage is
greater than 500 gt would be required to comply with this regulation
when the SOLAS amendments enter into force.
[sbull] Do you believe the Coast Guard should extend this
requirement to vessels limited to domestic voyages? If so, why?
35. Security alert system requirement. The SOLAS amendments
created a new regulation in chapter XI-2 (regulation 6) that
requires vessels to have a security alert system. For the purposes
of this notice and the Coast Guard discussion in Appendix C, cost
impact was only developed for this requirement to those vessels
required to meet SOLAS chapter XI-2. However, the Coast Guard is
considering applying the requirement to vessels limited to domestic
voyages that are engaged in the transport of certain dangerous
cargos. The Coast Guard also recognizes that many other vessels
could benefit from compliance with this requirement such as certain
passenger vessels or towing vessels.
[sbull] Do you believe this requirement would benefit vessels
limited to domestic voyages engaged in the transport of certain
dangerous cargos?
[sbull] Do you believe the Coast Guard should extend this
requirement to other vessels limited to domestic voyages? If so,
why?
36. Fixed and floating platforms requirements. The International
Maritime Organization issued a resolution titled, ``Establishment of
Appropriate Measures to Enhance the Security of Ships, Port
Facilities, Mobile Offshore Drilling Units on Location and Fixed and
Floating Platforms Not Covered by Chapter XI-2 of the 1974 SOLAS
Convention'' which was adopted by the Conference on Maritime
Security as Resolution 7 on December 12, 2002. This resolution
encourages Contracting Governments to consider security requirements
for these maritime operators and platforms. The Coast Guard is
considering including these entities in its Port Security Plan
regime. We are also working with the offshore industry to develop
security standards that would provide a level of security equivalent
to that being established for land based facilities, yet tailored to
the unique offshore operating environment. Once acceptable offshore
industry security standards are determined, such standards may be
incorporated into regulations as part of a separate rulemaking
procedure.
[sbull] Do you believe the Coast Guard should extend security
requirements to offshore platforms? If so, why?
37. Seafarers' identification criteria requirements. The MTSA
(46 U.S.C. section 70111) requires the Secretary to establish
enhanced crewmember identification. In addition, section 103 of the
MTSA encourages the Secretary to negotiate an agreement for an
international system of identification for seafarers. In March 2002,
the Governing Body of the International Labour Organization (ILO)
agreed to have the International Labour Conference consider
amendments to the Seafarers' Identity Documents Convention, 1958
(No. 108) regarding seafarer identification at its 91st session in
June 2003. In support of this effort, the International Maritime
Organization issued a resolution titled, ``Enhancement of Security
in Co-operation with the International Labour Organization'' which
was adopted by the Conference on Maritime Security as Resolution 8
on December 12, 2002. The Coast Guard has been working with the
Immigration and Naturalization Service, Department of State,
Maritime Administration, TSA, and others to support the work of ILO.
The U.S. intends to await the outcome of the June 2003 ILO
conference prior to developing further seafarer identification
domestic policy.
In addition to the above, the MTSA (46 U.S.C. section 70105)
requires the Secretary to develop and implement a Transportation
Security Card to control access to secure areas on a vessel or
facility. The U.S. is moving this requirement forward through its
work on a Transportation Worker Identification Credential System
(TWIC). Pilot testing of the TWIC is scheduled for one east regional
and one west regional port, each in communication with a TSA central
control point. This pilot project allows the TSA to leverage key
regional stakeholders and analyze life cycle and cost benefits, as
well as the performance of various forms of identification
technologies.
Recognizing that the implementation of the TWIC and the ILO
efforts on seafarers identification involve substantial negotiation
and development, the Coast Guard therefore intends to continue its
use of the criteria it set out in its clarification of regulations
notice entitled ``Maritime Identification Credentials'' published in
the Federal Register (67 FR 51082, August 7, 2002). This document
can be viewed on the DOT Document Management System at http://dms.dot.gov
under Docket USCG-2002-12917.
[sbull] Do you believe the Coast Guard should amend its policy
notice to capture additional forms of identification? If so, why?
38. Advanced notice of arrival (ANOA) requirements. The Coast
Guard has a notice of proposed rulemaking entitled ``Notification of
Arrival in U.S. Ports'' published in the Federal Register (67 FR
41659, June 19, 2002). This document can be viewed on the DOT
Document Management System at http://dms.dot.gov under Docket
USCG-2002-11865-1. The comment period for that rulemaking
has closed. The Coast Guard does not intend to add any additional
notification requirements to that rulemaking.
However, the SOLAS amendments and the ISPS Code contain several
information-related requirements that are not currently part of the
ANOA. The Coast Guard is considering expanding its advanced notice
of arrival information to incorporate these new international
requirements (SOLAS chapter XI-2, regulation 9). We are also
considering requiring foreign flag vessels to provide advance
notification on their compliance with part B of the ISPS Code. In
addition, the Coast Guard is considering further expanding the
notice requirements on the Mississippi River and its tributaries
above mile marker 235 for certain barges carrying certain dangerous
cargoes.
[sbull] Having reviewed the SOLAS amendments and the ISPS Code,
what additional information do you believe should be provided by
vessels prior to entering our ports?
[sbull] Do you believe further ANOA requirements are appropriate
for the Mississippi River and its tributaries above mile marker 235?
39. Foreign Port Assessments. Section 102 of the MTSA (46 U.S.C.
section 70108) requires the Secretary to assess the effectiveness of
antiterrorism measures maintained at a foreign port that serves
vessels departing on a voyage to the U.S. or any other port that the
Secretary believes poses a security risk to international maritime
commerce. In general, the Coast Guard intends to accept a foreign
government's approval of the respective port facility security
plans, thereby attesting to their compliance with SOLAS and the ISPS
Code, to provide the initial assessment of that foreign port's
antiterrorism security. However, the Coast Guard in making
assessments under the MTSA will also consider any other relevant
information and possibly conduct audits. No regulations are required
to implement this provision of the MTSA because these assessments
are an internal deliberative matter and further related to foreign
relations. However, the Coast Guard would appreciate public comment
on the following:
[sbull] Should the Coast Guard accept approval of foreign port
facility security plans as a preliminary indication that the foreign
port is maintaining effective antiterrorism measures?
[sbull] What factors do you believe the Coast Guard should
consider in assessing the effectiveness of antiterrorism measures at
foreign ports?
40. Automatic Identification System (AIS) requirements.
Regulation V/19 of SOLAS sets forth the international requirements
for the carriage of automatic identification systems (AIS),
including an implementation schedule that was recently accelerated
by the newly adopted amendments to SOLAS. Domestically, section 102
of the MTSA (46 U.S.C. section 70114) gives the Secretary additional
broad discretion to require AIS on
[[Page 79751]]
any vessel operating on the navigable waters of the United States if
necessary for the safety of navigation. In this regard, the Coast
Guard considers that requiring AIS for security purposes is an
essential element in ensuring the safety of navigation. At a
minimum, the MTSA specifically requires the following vessels to
have AIS:
(a) A self-propelled commercial vessel of at least 65 feet
overall in length;
(b) A vessel carrying more than a number of passengers for hire
determined by the Secretary;
(c) A towing vessel of more than 26 feet overall in length and
600 horsepower;
(d) Any other vessel for which the Secretary decides that an
automatic identification system is necessary for the safe navigation
of the vessel.
The Secretary may exempt or waive any such vessel from this
requirement if AIS is not necessary for the safety of navigation.
The implementation dates for AIS in the MTSA align with the SOLAS
requirements.
As reflected in the Department of Transportation's Fall 2002
Unified Agenda (67 FR 74853, December 9, 2002), a separate AIS
notice of proposed rulemaking should be published in the near
future. Therefore, it is not the Coast Guard's intent to interfere
with that rulemaking. However, because recent events indicate that
smaller vessels may be used as weapons against maritime
transportation, the Coast Guard is requesting limited public comment
related to the MTSA requirements as follows:
[sbull] Should any of the vessels listed in the MTSA be exempted
from carrying AIS because no security benefit would be derived from
such a requirement?
[sbull] Beyond the SOLAS requirements and the vessels
specifically listed in the MTSA, what other vessels should be
required to carry AIS for security purposes?
[sbull] Are there any particular navigable waters of the U.S.
where the AIS carriage requirement should be waived because no
security benefit would be derived from the requirement?
Preliminary Cost Analysis
The Coast Guard is seeking public comment on the following
assumptions used in the preliminary cost analysis:
[sbull] The loaded cost of a full-time employee designated to be
the Company Security Officer or a Facility Security Officer would be
$150,000 per year.
[sbull] Some vessel and facility owners would designate the
Company Security Officer and Facility Security Officer duties to an
existing employee, and these collateral duties would take about 25
percent of the employee's time.
[sbull] Security functions aboard vessels would not require
additional manning.
[sbull] Security functions for facilities would require
additional security guards with a loaded rate of $40,000 per year.
[sbull] The types of equipment vessels or facilities would
install are an accurate representation of the equipment needs owners
and operators can expect to face.
In addition, we are seeking public comment on the costs vessel
and facility owners or operators would incur in the event MARSEC
levels 2 or 3 are implemented.
Finally, we are seeking public comment on how these requirements
will economically impact small businesses, Indian tribal
governments, as well as comment on anticipated energy impacts.
Appendix B--SOLAS Amendments and ISPS Code
Note: The text in this appendix is excerpted from IMO documents
SOLAS/CONF.5/DC/1, SOLAS/CONF.5/DC/2, and SOLAS/CONF.5/DC/2/Add.1,
and has been edited to reflect the final decisions and other
editorial corrections reflected in SOLAS/CONF.5/33.
Amendments to the International Convention for the Safety of Life at
Sea, 1974 as Amended
Chapter V--Safety of Navigation
Regulation 19--Carriage Requirements for Shipborne Navigational Systems
and Equipment
1 The existing subparagraphs .4, .5 and .6 of paragraph 2.4.2
are replaced by the following:
``.4 In the case of ships, other than passenger ships and
tankers, of 300 gross tonnage and upwards but less than 50,000 gross
tonnage, not later than the first safety equipment survey \1\ after
1 July 2004 or by 31 December 2004, whichever occurs earlier; and''
---------------------------------------------------------------------------
\1\ The first safety equipment survey means the first annual
survey, the first periodical survey or the first renewal survey for
safety equipment, whichever is due first after July 1, 2004 and, in
addition, in the case of ships under construction, the initial
survey.
---------------------------------------------------------------------------
2 The following new sentence is added at the end of the existing
subparagraph .7 of paragraph 2.4:
``Ships fitted with AIS shall maintain AIS in operation at all
times except where international agreements, rules or standards
provide for the protection of navigational information.''
Chapter XI--Special Measures to Enhance Maritime Safety
3 The existing chapter XI is renumbered as chapter XI-1.
Regulation 3--Ship identification number 4 The following text is
inserted after the title of the regulation:
``(Paragraphs 4 and 5 apply to all ships to which this
regulation applies. For ships constructed before 1 July 2004, the
requirements of paragraphs 4 and 5 shall be complied with not later
than the first scheduled dry-docking of the ship after 1 July 2004
)''
5 The existing paragraph 4 is deleted and the following new text
is inserted:
``4 The ship's identification number shall be permanently
marked:
.1 In a visible place either on the stern of the ship or on
either side of the hull, amidships port and starboard, above the
deepest assigned load line or either side of the superstructure,
port and starboard or on the front of the superstructure or, in the
case of passenger ships, on a horizontal surface visible from the
air; and
.2 In an easily accessible place either on one of the end
transverse bulkheads of the machinery spaces, as defined in
regulation II-2/3.30, or on one of the hatchways or, in the case of
tankers, in the pump-room or, in the case of ships with ro-ro
spaces, as defined in regulation II-2/3.41, on one of the end
transverse bulkheads of the ro-ro spaces.
5.1 The permanent marking shall be plainly visible, clear of any
other markings on the hull and shall be painted in a contrasting
colour.
5.2 The permanent marking referred to in paragraph 4.1 shall be
not less than 200 mm in height. The permanent marking referred to in
paragraph 4.2 shall not be less than 100 mm in height. The width of
the marks shall be proportionate to the height.
5.3 The permanent marking may be made by raised lettering or by
cutting it in or by centre punching it or by any other equivalent
method of marking the ship identification number which ensures that
the marking is not easily expunged.
5.4 On ships constructed of material other than steel or metal,
the Administration shall approve the method of marking the ship
identification number.''
6 The following new regulation 5 is added after the existing
regulation 4:
Regulation 5--Continuous Synopsis Record
1 Every ship to which chapter I applies shall be issued with a
Continuous Synopsis Record.
2.1 The Continuous Synopsis Record is intended to provide an on-
board record of the history of the ship with respect to the
information recorded therein.
2.2 For ships constructed before July 1, 2004, the Continuous
Synopsis Record shall, at least, provide the history of the ship as
from July 1, 2004.
3 The Continuous Synopsis Record shall be issued by the
Administration to each ship that is entitled to fly its flag and it
shall contain at least, the following information:
.1 The name of the State whose flag the ship is entitled to fly;
.2 The date on which the ship was registered with that State;
.3 The ship's identification number in accordance with
regulation 3;
.4 The name of the ship;
.5 The port at which the ship is registered;
.6 The name of the registered owner(s) and their registered
address(es);
.7 The name of the registered bareboat charterer(s) and their
registered address(es), if applicable;
.8 The name of the Company, as defined in regulation IX/1, its
registered address and the address(es) from where it carries out the
safety management activities;
.9 The name of all classification society(ies) with which the
ship is classed;
.10 The name of the Administration or of the Contracting
Government or of the recognized organization which has issued the
Document of Compliance (or the Interim Document of Compliance),
specified in the ISM Code as defined in regulation IX/1, to the
Company operating the ship and the name of the body which has
carried out the audit on the basis of which the document
[[Page 79752]]
was issued, if other than that issuing the document;
.11 The name of the Administration or of the Contracting
Government or of the recognized organization that has issued the
Safety Management Certificate (or the Interim Safety Management
Certificate), specified in the ISM Code as defined in regulation IX/
1, to the ship and the name of the body which has carried out the
audit on the basis of which the certificate was issued, if other
than that issuing the certificate;
.12 The name of the Administration or of the Contracting
Government or of the recognized security organization that has
issued the International Ship Security Certificate (or an Interim
International Ship Security Certificate), specified in part A of the
ISPS Code as defined in regulation XI-2/1, to the ship and the name
of the body which has carried out the verification on the basis of
which the certificate was issued, if other than that issuing the
certificate; and
.13 The date on which the ship ceased to be registered with that
State.
4.1 Any changes relating to the entries referred to in
paragraphs 3.4 to 3.12 shall be recorded in the Continuous Synopsis
Record so as to provide updated and current information together
with the history of the changes.
4.2 In case of any changes relating to the entries referred to
in paragraph 4.1, the Administration shall issue, as soon as is
practically possible but not later than three months from the date
of the change, to the ships entitled to fly its flag either a
revised and updated version of the Continuous Synopsis Record or
appropriate amendments thereto.
4.3 In case of any changes relating to the entries referred to
in paragraph 4.1, the Administration, pending the issue of a revised
and updated version of the Continuous Synopsis Record, shall
authorise and require either the Company as defined in regulation
IX/1 or the master of the ship to amend the Continuous Synopsis
Record to reflect the changes. In such cases, after the Continuous
Synopsis Record has been amended the Company shall, without delay,
inform the Administration accordingly.
5.1 The Continuous Synopsis Record shall be in English, French
or Spanish language. Additionally, a translation of the Continuous
Synopsis Record into the official language or languages of the
Administration may be provided.
5.2 The Continuous Synopsis Record shall be in the format
developed by the Organization and shall be maintained in accordance
with guidelines developed by the Organization. Any previous entries
in the Continuous Synopsis Record shall not be modified, deleted or,
in any way, erased or defaced.
6 Whenever a ship is transferred to the flag of another State or
the ship is sold to another owner (or is taken over by another
bareboat charterer) or another Company assumes the responsibility
for the operation of the ship, the Continuous Synopsis Record shall
be left on board.
7 When a ship is to be transferred to the flag of another State,
the Company shall notify the Administration of the name of the State
under whose flag the ship is to be transferred so as to enable the
Administration to forward to that State a copy of the Continuous
Synopsis Record covering the period during which the ship was under
their jurisdiction.
8 When a ship is transferred to the flag of another State the
Government of which is a Contracting Government, the Contracting
Government of the State whose flag the ship was flying hitherto
shall transmit to the Administration as soon as possible after the
transfer takes place a copy of the relevant Continuous Synopsis
Record covering the period during which the ship was under their
jurisdiction together with any Continuous Synopsis Records previous
issued to the ship by other States.
9 When a ship is transferred to the flag of another State, the
Administration shall append the previous Continuous Synopsis Records
to the Continuous Synopsis Record the Administration will issue to
the ship so to provide the continuous history record intended by
this regulation.
10 The Continuous Synopsis Record shall be kept on board the
ship and shall be available for inspection at all times.''
7 The following new chapter XI-2 is inserted after the
renumbered chapter XI-1:
Chapter XI-2--Special Measures to Enhance Maritime Security
Regulation 1--Definitions
1 For the purpose of this chapter, unless expressly provided
otherwise:
.1 Bulk carrier means a bulk carrier as defined in regulation
IX/1.6.
.2 Chemical tanker means a chemical tanker as defined in
regulation VII/8.2.
.3 Gas carrier means a gas carrier as defined in regulation VII/
11.2.
.4 High-speed craft means a craft as defined in regulation X/
1.2.
.5 Mobile offshore drilling unit means a mechanically propelled
mobile offshore drilling unit, as defined in regulation IX/1, not on
location.
.6 Oil tanker means an oil tanker as defined in regulation II-1/
2.12.
.7 Company means a Company as defined in regulation IX/1.
.8 Ship/port interface means the interactions that occur when a
ship is directly and immediately affected by actions involving the
movement of persons, goods or the provisions of port services to or
from the ship.
.9 Port facility is a location, as determined by the Contracting
Government or by the Designated Authority, where the ship/port
interface takes place. This includes areas such as anchorages,
waiting berths and approaches from seaward, as appropriate.
.10 Ship to ship activity means any activity not related to a
port facility that involves the transfer of goods or persons from
one ship to another.
.11 Designated Authority means the organization(s) or the
administration(s) identified, within the Contracting Government, as
responsible for ensuring the implementation of the provisions of
this chapter pertaining to port facility security and ship/port
interface, from the point of view of the port facility.
.12 International Ship and Port Facility Security (ISPS) Code
means the International Code for the Security of Ships and of Port
Facilities consisting of part A (the provisions of which shall be
treated as mandatory) and part B (the provisions of which shall be
treated as recommendatory), as adopted, on December 12, 2002, by
resolution 2 of the Conference of Contracting Governments to the
International Convention for the Safety of Life at Sea, 1974 as may
be amended by the Organization, provided that:
.1 Amendments to part A of the Code are adopted, brought into
force and take effect in accordance with article VIII of the present
Convention concerning the amendment procedures applicable to the
Annex other than chapter I; and
.2 Amendments to part B of the Code are adopted by the Maritime
Safety Committee in accordance with its Rules of Procedure.
.13 Security incident means any suspicious act or circumstance
threatening the security of a ship, including a mobile offshore
drilling unit and a high speed craft, or of a port facility or of
any ship/port interface or any ship to ship activity.
.14 Security level means the qualification of the degree of risk
that a security incident will be attempted or will occur.
.15 Declaration of security means an agreement reached between a
ship and either a port facility or another ship with which it
interfaces specifying the security measures each will implement.
.16 Recognized security organization means an organization with
appropriate expertise in security matters and with appropriate
knowledge of ship and port operations authorized to carry out an
assessment, or a verification, or an approval or a certification
activity, required by this chapter or by part A of the ISPS Code.
2 The term ``ship'', when used in regulations 3 to 13, includes
mobile offshore drilling units and high-speed craft.
3 The term ``all ships'', when used in this chapter, means any
ship to which this chapter applies.
4 The term ``Contracting Government'', when used in regulations
3, 4, 7, and 10 to 13, includes a reference to the ``Designated
Authority''.
Regulation 2--Application
1 This chapter applies to:
.1 The following types of ships engaged on international
voyages:
.1.1 Passenger ships, including high-speed passenger craft;
.1.2 Cargo ships, including high-speed craft, of 500 gross
tonnage and upwards; and
.1.3 Mobile offshore drilling units; and
.2 Port facilities serving such ships engaged on international
voyages.
.2 Notwithstanding the provisions of paragraph 1.2, Contracting
Governments shall decide the extent of application of this chapter
and of the relevant sections of part A of the ISPS 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.
2.1 Contracting Governments shall base their decisions, under
paragraph 2, on a port
[[Page 79753]]
facility security assessment carried out in accordance with the
provisions of part A of the ISPS Code.
2.2 Any decision which a Contracting Government makes, under
paragraph 2, shall not compromise the level of security intended to
be achieved by this chapter or by part A of the ISPS Code.
3 This chapter 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 Nothing in this chapter shall prejudice the rights or
obligations of States under international law.
Regulation 3--Obligations of Contracting Governments With Respect to
Security
1 Administrations shall set security levels and ensure the
provision of security level information to ships entitled to fly
their flag. When changes in security level occur, security level
information shall be updated as the circumstance dictates.
2 Contracting Governments shall set security levels and ensure
the provision of security level information to port facilities
within their territory, and to ships prior to entering a port, or
whilst in a port, within their territory. When changes in security
level occur, security level information shall be updated as the
circumstance dictates.
Regulation 4--Requirements for Companies and Ships
1 Companies shall comply with the relevant requirements of this
chapter and of part A of the ISPS Code, taking into account the
guidance given in part B of the ISPS Code.
2 Ships shall comply with the relevant requirements of this
chapter and of part A of the ISPS Code, taking into account the
guidance given in part B of the ISPS Code, and such compliance shall
be verified and certified as provided for in part A of the ISPS
Code.
3 Prior to entering a port, or whilst in a port, within the
territory of a Contracting Government, a ship shall comply with the
requirements for the security level set by that Contracting
Government, if such security level is higher than the security level
set by the Administration for that ship.
4 Ships shall respond without undue delay to any change to a
higher security level.
5 Where a ship is not in compliance with the requirements of
this chapter or of part A of the ISPS Code, or cannot comply with
the requirements of the security level set by the Administration or
by another Contracting Government and applicable to that ship, then
the ship shall notify the appropriate competent authority prior to
conducting any ship/port interface or prior to entry into port,
whichever occurs earlier.
Regulation 5--Specific Responsibility of Companies
The Company shall ensure that the master has available on board,
at all times, information through which officers duly authorised by
a Contracting Government can establish:
.1 Who is responsible for appointing the members of the crew or
other persons currently employed or engaged on board the ship in any
capacity on the business of that ship;
.2 Who is responsible for deciding the employment of the ship;
and
.3 In cases where the ship is employed under the terms of
charter party(ies), who are the parties to such charter party(ies).
Regulation 6--Ship Security Alert System
1 All ships shall be provided with a ship security alert system,
as follows:
.1 Ships constructed on or after July 1, 2004;
.2 Passenger ships, including high-speed passenger craft,
constructed before July 1, 2004, not later than the first survey of
the radio installation after July 1, 2004;
.3 Oil tankers, chemical tankers, gas carriers, bulk carriers
and cargo high speed craft, of 500 gross tonnage and upwards
constructed before July 1, 2004, not later than the first survey of
the radio installation after July 1, 2004; and
.4 Other cargo ships of 500 gross tonnage and upward and mobile
offshore drilling units constructed before July 1, 2004, not later
than the first survey of the radio installation after July 1, 2006.
2 The ship security alert system, when activated, shall:
.1 Initiate and transmit a ship-to-shore security alert to a
competent authority designated by the Administration, which in these
circumstances may include the Company, identifying the ship, its
location and indicating that the security of the ship is under
threat or it has been compromised;
.2 Not send the ship security alert to any other ships;
.3 Not raise any alarm on-board the ship; and
.4 Continue the ship security alert until deactivated and/or
reset.
3 The ship security alert system shall:
.1 Be capable of being activated from the navigation bridge and
in at least one other location; and
.2 Conform to performance standards not inferior to those
adopted by the Organization.
4 The ship security alert system activation points shall be
designed so as to prevent the inadvertent initiation of the ship
security alert.
5 The requirement for a ship security alert system may be
complied with by using the radio installation fitted for compliance
with the requirements of chapter IV, provided all requirements of
this regulation are complied with.
6 When an Administration receives notification of a ship
security alert, that Administration shall immediately notify the
State(s) in the vicinity of which the ship is presently operating.
7 When a Contracting Government receives notification of a ship
security alert from a ship which is not entitled to fly its flag,
that Contracting Government shall immediately notify the relevant
Administration and, if appropriate, the State(s) in the vicinity of
which the ship is presently operating.
Regulation 7--Threats to Ships
1 Contracting Governments shall 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.
2 Contracting Governments shall provide a point of contact
through which such ships can request advice or assistance and to
which such ships can report any security concerns about other ships,
movements or communications.
3 Where a risk of attack has been identified, the Contracting
Government concerned shall advise the ships concerned and their
Administrations of:
.1 The current security level;
.2 Any security measures that should be put in place by the
ships concerned to protect themselves from attack, in accordance
with the provisions of part A of the ISPS Code; and
.3 Security measures that the coastal State has decided to put
in place, as appropriate.
Regulation 8--Master's Discretion for Ship Safety and Security
1 The master shall not be constrained by the Company, the
charterer or any other person from taking or executing any decision
which, in the professional judgement of the master, is necessary to
maintain the safety and security of the ship. This includes denial
of access to persons (except those identified as duly authorized by
a Contracting Government) or their effects and refusal to load
cargo, including containers or other closed cargo transport units.
2 If, in the professional judgement of the master, a conflict
between any safety and security requirements applicable to the ship
arises during its operations, the master shall give effect to those
requirements necessary to maintain the safety of the ship. In such
cases, the master may implement temporary security measures and
shall forthwith inform the Administration and, if appropriate, the
Contracting Government in whose port the ship is operating or
intends to enter. Any such temporary security measures under this
regulation shall, to the highest possible degree, be commensurate
with the prevailing security level. When such cases are identified,
the Administration shall ensure that such conflicts are resolved and
that the possibility of recurrence is minimised.
Regulation 9--Control and Compliance Measures
1 Control of Ships in Port.
1.1 For the purpose of this chapter, every ship to which this
chapter applies is subject to control when in a port of another
Contracting Government by officers duly authorised by that
Government, who may be the same as those carrying out the functions
of regulation I/19. Such control shall be limited to verifying that
there is onboard a valid International Ship Security Certificate or
a valid Interim International Ships Security Certificate issued
under the provisions of part A of the ISPS Code (Certificate), which
if valid shall be accepted, unless there are clear grounds for
believing that the ship is not in compliance with the requirements
of this chapter or part A of the ISPS Code.
1.2 When there are such clear grounds, or where no valid
Certificate is produced when
[[Page 79754]]
required, the officers duly authorized by the Contracting Government
shall impose any one or more control measures in relation to that
ship as provided in paragraph 1.3. Any such measures imposed must be
proportionate, taking into account the guidance given in part B of
the ISPS Code.
1.3 Such control measures are as follows: inspection of the
ship, delaying the ship, detention of the ship, restriction of
operations including movement within the port, or expulsion of the
ship from port. Such control measures may additionally or
alternatively include other lesser administrative or corrective
measures.
2 Ships Intending To Enter a Port of Another Contracting
Government.
2.1 For the purpose of this chapter, a Contracting Government
may require that ships intending to enter its ports provide the
following information to officers duly authorized by that Government
to ensure compliance with this chapter prior to entry into port with
the aim of avoiding the need to impose control measures or steps:
.1 That the ship possesses a valid Certificate and the name of
its issuing authority;
.2 The security level at which the ship is currently operating;
.3 The security level at which the ship operated in any previous
port where it has conducted a ship/port interface within the
timeframe specified in paragraph 2.3;
.4 Any special or additional security measures that were taken
by the ship in any previous port where it has conducted a ship/port
interface within the timeframe specified in paragraph 2.3;
.5 That the appropriate ship security procedures were maintained
during any ship to ship activity within the timeframe specified in
paragraph 2.3; or
.6 Other practical security related information (but not details
of the ship security plan), taking into account the guidance given
in part B of the ISPS Code.
If requested by the Contracting Government, the ship or the
Company shall provide confirmation, acceptable to that Contracting
Government, of the information required above.
2.2 Every ship to which this chapter applies intending to enter
the port of another Contracting Government shall provide the
information described in paragraph 2.1 on the request of the
officers duly authorized by that Government. The master may decline
to provide such information on the understanding that failure to do
so may result in denial of entry into port.
2.3 The ship shall keep records of the information referred to
in paragraph 2.1 for the last 10 calls at port facilities.
2.4 If, after receipt of the information described in paragraph
2.1, officers duly authorised by the Contracting Government of the
port in which the ship intends to enter have clear grounds for
believing that the ship is in non-compliance with the requirements
of this chapter or part A of the ISPS Code, such officers shall
attempt to establish communication with and between the ship and the
Administration in order to rectify the non-compliance. If such
communication does not result in rectification, or if such officers
have clear grounds otherwise for believing that the ship is in non-
compliance with the requirements of this chapter or part A of the
ISPS Code, such officers may take steps in relation to that ship as
provided in paragraph 2.5. Any such steps taken must be
proportionate, taking into account the guidance given in part B of
the ISPS Code.
2.5 Such steps are as follows:
.1 A requirement for the rectification of the non-compliance;
.2 A requirement that the ship proceed to a location specified
in the territorial sea or internal waters of that Contracting
Government;
.3 Inspection of the ship, if the ship is in the territorial sea
of the Contracting Government the port of which the ship intends to
enter; or
.4 Denial of entry into port.
Prior to initiating any such steps, the ship shall be informed
by the Contracting Government of its intentions. Upon this
information the master may withdraw the intention to enter that
port. In such cases, this regulation shall not apply.
3 Additional provisions.
3.1 In the event:
.1 Of the imposition of a control measure, other than a lesser
administrative or corrective measure, referred to in paragraph 1.3;
or
.2 Any of the steps referred to in paragraph 2.5 are taken,
An officer duly authorized by the Contracting Government shall
forthwith inform in writing the Administration specifying which
control measures have been imposed or steps taken and the reasons
thereof. The Contracting Government imposing the control measures or
steps shall also notify the recognized security organization which
issued the Certificate relating to the ship concerned and the
Organization when any such control measures have been imposed or
steps taken.
3.2 When entry into port is denied or the ship is expelled from
port, the authorities of the port State should communicate the
appropriate facts to the authorities of the State of the next
appropriate ports of call, when known, and any other appropriate
coastal States, taking into account guidelines to be developed by
the Organization. Confidentiality and security of such notification
shall be ensured.
3.3 Denial of entry into port, pursuant to paragraphs 2.4 and
2.5, or expulsion from port, pursuant to paragraphs 1.1 to 1.3,
shall only be imposed where the officers duly authorized by the
Contracting Government have clear grounds to believe that the ship
poses an immediate threat to the security or safety of persons, or
of ships or other property and there are no other appropriate means
for removing that threat.
3.4 The control measures referred to in paragraph 1.3 and the
steps referred to in paragraph 2.5 shall only be imposed, pursuant
to this regulation, until the non-compliance giving rise to the
control measures or steps has been corrected to the satisfaction of
the Contracting Government, taking into account actions proposed by
the ship or the Administration, if any.
3.5 When Contracting Governments exercise control under
paragraph 1 or take steps under paragraph 2:
.1 All possible efforts shall be made to avoid a ship being
unduly detained or delayed. If a ship is thereby unduly detained, or
delayed, it shall be entitled to compensation for any loss or damage
suffered; and
.2 Necessary access to the ship shall not be prevented for
emergency or humanitarian reasons and for security purposes.
Regulation 10--Requirements for Port Facilities
1 Port facilities shall comply with the relevant requirements of
this chapter and part A of the ISPS Code, taking into account the
guidance given in part B of the ISPS Code.
2 Contracting Governments with a port facility or port
facilities within their territory, to which this regulation applies,
shall ensure that:
.1 Port facility security assessments are carried out, reviewed
and approved in accordance with the provisions of part A of the ISPS
Code; and
.2 Port facility security plans are developed, reviewed,
approved and implemented in accordance with the provisions of part A
of the ISPS Code.
3 Contracting Governments shall designate and communicate the
measures required to be addressed in a port facility security plan
for the various security levels, including when the submission of a
Declaration of Security will be required.
Regulation 11--Alternative Security Agreements
1 Contracting Governments may, when implementing this chapter
and part A of the ISPS Code, conclude in writing bilateral or
multilateral agreements with other Contracting Governments on
alternative security arrangements covering short international
voyages on fixed routes between port facilities located within their
territories.
2 Any such agreement shall not compromise the level of security
of other ships or of port facilities not covered by the agreement.
3 No ship covered by such an agreement shall conduct any ship-
to-ship activities with any ship not covered by the agreement.
4 Such agreements shall be reviewed periodically, taking into
account the experience gained as well as any changes in the
particular circumstances or the assessed threats to the security of
the ships, the port facilities or the routes covered by the
agreement.
Regulation 12--Equivalent Security Arrangements
1 An Administration may allow a particular ship or a group of
ships entitled to fly its flag to implement other security measures
equivalent to those prescribed in this chapter or in part A of the
ISPS Code, provided such security measures are at least as effective
as those prescribed in this chapter or part A of the ISPS Code. The
Administration, which allows such security measures, shall
communicate to the Organization particulars thereof.
2 When implementing this chapter and part A of the ISPS Code, a
Contracting
[[Page 79755]]
Government may allow a particular port facility or a group of port
facilities located within its territory, other than those covered by
an agreement concluded under regulation 11, to implement security
measures equivalent to those prescribed in this chapter or in part A
of the ISPS Code, provided such security measures are at least as
effective as those prescribed in this chapter or part A of the ISPS
Code. The Contracting Government, which allows such security
measures, shall communicate to the Organization particulars thereof.
Regulation 13--Communication of Information
1 Contracting Governments shall, not later than July 1, 2004,
communicate to the Organization and shall make available for the
information of Companies and ships:
.1 The names and contact details of their national authority or
authorities responsible for ship and port facility security;
.2 The locations within their territory covered by the approved
port facility security plans.
.3 The names and contact details of those who have been
designated to be available at all times to receive and act upon the
ship-to-shore security alerts, referred to in regulation 6.2.1;
.4 The names and contact details of those who have been
designated to be available at all times to receive and act upon any
communications from Contracting Governments exercising control and
compliance measures, referred to in regulation 9.3.1; and
.5 The names and contact details of those who have been
designated to be available at all times to provide advice or
assistance to ships and to whom ships can report any security
concerns, referred to in regulation 7.2;
And thereafter update such information as and when changes relating
thereto occur. The Organisation shall circulate such particulars to
other Contracting Governments for the information of their officers.
2 Contracting Governments shall, not later than July 1, 2004,
communicate to the Organization the names and contact details of any
recognized security organizations authorized to act on their behalf
together with details of the specific responsibility and conditions
of authority delegated to such organizations. Such information shall
be updated as and when changes relating thereto occur. The
Organisation shall circulate such particulars to other Contracting
Governments for the information of their officers.
3 Contracting Governments shall, not later than July 1, 2004
communicate to the Organization a list showing the approved port
facility security plans for the port facilities located within their
territory together with the location or locations covered by each
approved port facility security plan and the corresponding date of
approval and thereafter shall further communicate when any of the
following changes take place:
.1 Changes in the location or locations covered by an approved
port facility security plan are to be introduced or have been
introduced. In such cases the information to be communicated shall
indicate the changes in the location or locations covered by the
plan and the date as of which such changes are to be introduced or
were implemented;
.2 An approved port facility security plan, previously included
in the list submitted to the Organization, is to be withdrawn or has
been withdrawn. In such cases, the information to be communicated
shall indicate the date on which the withdrawal will take effect or
was implemented. In these cases, the communication shall be made to
the Organization as soon as is practically possible; and
.3 Additions are to be made to the list of approved port
facility security plans. In such cases, the information to be
communicated shall indicate the location or locations covered by the
plan and the date of approval.
4 Contracting Governments shall, at five year intervals after
July 1, 2004, communicate to the Organization a revised and updated
list showing all the approved port facility security plans for the
port facilities located within their territory together with the
location or locations covered by each approved port facility
security plan and the corresponding date of approval (and the date
of approval of any amendments thereto) which will supersede and
replace all information communicated to the Organization, pursuant
to paragraph 3, during the preceding five years.
5 Contracting Governments shall communicate to the Organization
information that an agreement under regulation 11 has been
concluded. The information communicated shall include:
.1 The names of the Contracting Governments which have concluded
the agreement;
.2 The port facilities and the fixed routes covered by the
agreement;
.3 The periodicity of review of the agreement;
.4 The date of entry into force of the agreement; and
.5 Information on any consultations which have taken place with
other Contracting Governments;
And thereafter shall communicate, as soon as practically possible,
to the Organization information when the agreement has been amended
or has ended.
6 Any Contracting Government which allows, under the provisions
of regulation 12, any equivalent security arrangements with respect
to a ship entitled to fly its flag or with respect to a port
facility located within its territory, shall communicate to the
Organization particulars thereof.
7 The Organization shall make available the information
communicated under paragraph 3 to other Contracting Governments upon
request.
International Code for the Security of Ships and of Port Facilities
Preamble
1 The Diplomatic Conference on Maritime Security held in London
in December 2002 adopted new provisions in the International
Convention for the Safety of Life at Sea, 1974 and this Code to
enhance maritime security. These new requirements form the
international framework through which ships and port facilities can
co-operate to detect and deter acts which threaten security in the
maritime transport sector.
2 Following the tragic events of September 11, 2001, the twenty-
second session of the Assembly of the International Maritime
Organization (the Organization), in November 2001, unanimously
agreed to the development of new measures relating to the security
of ships and of port facilities for adoption by a Conference of
Contracting Governments to the International Convention for the
Safety of Life at Sea, 1974 (known as the Diplomatic Conference on
Maritime Security) in December 2002. Preparation for the Diplomatic
Conference was entrusted to the Organization's Maritime Safety
Committee (MSC) on the basis of submissions made by Member States,
intergovernmental organizations and non-governmental organizations
in consultative status with the Organization.
3 The MSC, at its first extraordinary session, held also in
November 2001, in order to accelerate the development and the
adoption of the appropriate security measures established an MSC
Intersessional Working Group on Maritime Security. The first meeting
of the MSC Intersessional Working Group on Maritime Security was
held in February 2002 and the outcome of its discussions was
reported to, and considered by, the seventy-fifth session of the MSC
in March 2002, when an ad hoc Working Group was established to
further develop the proposals made. The seventy-fifth session of the
MSC considered the report of that Working Group and recommended that
work should be taken forward through a further MSC Intersessional
Working Group, which was held in September 2002. The seventy-sixth
session of the MSC considered the outcome of the September 2002
session of the MSC Intersessional Working Group and the further work
undertaken by the MSC Working Group held in conjunction with the
Committee's seventy-sixth session in December 2002, immediately
prior to the Diplomatic Conference and agreed the final version of
the proposed texts to be considered by the Diplomatic Conference.
4 The Diplomatic Conference (December 9 to 13, 2002) also
adopted amendments to the existing provisions of the International
Convention for the Safety of Life at Sea, 1974 (SOLAS 74)
accelerating the implementation of the requirement to fit Automatic
Identification Systems and adopted new regulations in chapter XI-1
of SOLAS 74 covering marking of the Ship's Identification Number and
the carriage of a Continuous Synopsis Record. The Diplomatic
Conference also adopted a number of Conference Resolutions including
those covering implementation and revision of this Code, Technical
Co-operation, and co-operative work with the International Labour
Organization and World Customs Organization. It was recognised that
review and amendment of certain of the new provisions regarding
maritime security may be required on completion of the work of these
two Organizations.
5 The provision of chapter XI-2 of SOLAS 74 and this Code apply
to ships and
[[Page 79756]]
to port facilities. The extension of SOLAS 74 to cover port
facilities was agreed on the basis that SOLAS 74 offered the
speediest means of ensuring the necessary security measures entered
into force and given effect quickly. However, it was further agreed
that the provisions relating to port facilities should relate solely
to the ship/port interface. The wider issue of the security of port
areas will be the subject of further joint work between the
International Maritime Organization and the International Labour
Organization. It was also agreed that the provisions should not
extend to the actual response to attacks or to any necessary clear-
up activities after such an attack.
6 In drafting the provision care has been taken to ensure
compatibility with the provisions of the International Convention on
Standards of Training, Certification and Watch-keeping and
Certification for Seafarers, 1978, as amended, the International
Safety Management (ISM) Code and the harmonised system of survey and
certification.
7 The provisions represent a significant change in the approach
of the international maritime industries to the issue of security in
the maritime transport sector. It is recognised that they may place
a significant additional burden on certain Contracting Governments.
The importance of Technical Co-operation to assist Contracting
Governments implement the provisions is fully recognised.
8 Implementation of the provisions will require continuing
effective co-operation and understanding between all those involved
with, or using, ships and port facilities including ship's
personnel, port personnel, passengers, cargo interests, ship and
port management and those in National and Local Authorities with
security responsibilities. Existing practices and procedures will
have to be reviewed and changed if they do not provide an adequate
level of security. In the interests of enhanced maritime security
additional responsibilities will have to be carried by the shipping
and port industries and by National and Local Authorities.
9 The guidance given in part B of this Code should be taken into
account when implementing the security provisions set out in chapter
XI-2 of SOLAS 74 and in part A of this Code. However, it is
recognised that the extent to which the guidance applies may vary
depending on the nature of the port facility and of the ship, its
trade and/or cargo.
10 Nothing in this Code shall be interpreted or applied in a
manner inconsistent with the proper respect of fundamental rights
and freedoms as set out in international instruments, particularly
those relating to maritime workers and refugees including the
International Labour Organisation Declaration of Fundamental
Principles and Rights at Work as well as international standards
concerning maritime and port workers.
11 Recognizing that the Convention on the Facilitation of
Maritime Traffic, 1965, as amended, provides that foreign crew
members shall be allowed ashore by the public authorities while the
ship on which they arrive is in port, provided that the formalities
on arrival of the ship have been fulfilled and the public
authorities have no reason to refuse permission to come ashore for
reasons of public health, public safety or public order, Contracting
Governments when approving ship and port facility security plans
should pay due cognisance to the fact that ship's personnel live and
work on the vessel and need shore leave and access to shore based
seafarer welfare facilities, including medical care.
Part A--The Safety of Life at Sea, 1974 as Amended
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 mandatory 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 procedures.
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.
[[Page 79757]]
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.
3.4 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 Governments
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 people, 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 Declarations 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 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
[[Page 79758]]
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 liase 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 recognised
security organisation 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 recognised
security organisation 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 recognised security organisations.
9.2.1 In such cases the recognised security organisation,
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 people, 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
with 24-hour contact details;
.15 Procedures to ensure the inspection, testing, calibration,
and maintenance of any security equipment provided on board, if any;
.16 Frequency for testing or calibration any security equipment
provided on board, if any;
.17 Identification of the locations where the ship security
alert system activation points are provided; \1\ and
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\1\ Administrations may allow, in order to avoid any
compromising of 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.
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.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.\1\
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 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
unauthorised deletion, destruction or amendment.
9.7 The plan shall be protected from unauthorized access or
disclosure.
9.9 Ship security plans are not subject to inspection by
officers duly authorised by a Contracting Government to carry out
control and compliance measures in accordance with regulation XI-2/
9, save in circumstances specified in section 9.9.1.
9.9.1 If the officers duly authorised 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
[[Page 79759]]
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 security equipment,
if any 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 unauthorised 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 recognised security organisation;
.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 requirement;
.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.
12 Ship Security Officer
12.1 A ship security officer shall be designated on each ship.
12.2 In addition to those specified elsewhere in this part of
the Code, the duties and responsibilities of the ship security
officer shall include, but are not limited to:
.1 Undertaking regular security inspections of the ship to
ensure that appropriate security measures are maintained;
.2 Maintaining and supervising the implementation of the ship
security plan, including any amendments to the plan;
.3 Co-ordinating the security aspects of the handling of cargo
and ship's stores with other shipboard personnel and with the
relevant port facility security officers;
.4 Proposing modifications to the ship security plan;
.5 Reporting to the Company Security Officer any deficiencies
and non-conformities identified during internal audits, periodic
reviews, security inspections and verifications of compliance and
implementing any corrective actions;
.6 Enhancing security awareness and vigilance on board;
.7 Ensuring that adequate training has been provided to
shipboard personnel, as appropriate;
.8 Reporting all security incidents;
.9 Co-ordinating implementation of the ship security plan with
the company security officer and the relevant port facility security
officer; and
.10 Ensuring that security equipment is properly operated,
tested, calibrated and maintained, if any.
13 Training, Drills and Exercises on Ship Security
13.1 The company security officer and appropriate shore-based
personnel shall have knowledge and have received training, taking
into account the guidance given in part B of this Code.
13.2 The ship security officer shall have knowledge and have
received training, taking into account the guidance given in part B
of this Code.
13.3 Shipboard personnel having specific security duties and
responsibilities shall understand their responsibilities for ship
security as described in the ship security plan and shall have
sufficient knowledge and ability to perform their assigned duties,
taking into account the guidance given in Part B of this Code.
13.4 To ensure the effective implementation of the ship security
plan, drills shall be carried out at appropriate intervals taking
into account the ship type, ship personnel changes, port facilities
to be visited and other relevant circumstances, taking into account
guidance given in part B of this Code.
13.5 The company security officer shall ensure the effective
coordination and implementation of ship security plans by
participating in exercises at appropriate intervals, taking into
account the guidance given in part B of this Code.
14 Port Facility Security
14.1 A port facility is required to act upon the security levels
set by the Contracting Government within whose territory it is
located. Security measures and procedures shall be applied at the
port facility in such a manner as to cause a minimum of interference
with, or delay to, passengers, ship, ship's personnel and visitors,
goods and services.
14.2 At security level 1, the following activities shall be
carried out through appropriate measures in all port facilities,
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 port facility security
duties;
.2 Controlling access to the port facility;
.3 Monitoring of the port facility, including anchoring and
berthing area(s);
.4 Monitoring restricted areas to ensure that only authorized
persons have access;
.5 Supervising the handling of cargo;
.6 Supervising the handling of ship's stores; and
.7 Ensuring that security communication is readily available.
14.3 At security level 2, the additional protective measures,
specified in the port facility security plan, shall be implemented
for each activity detailed in section 14.2, taking into account the
guidance given in part B of this Code.
14.4 At security level 3, further specific protective measures,
specified in the port facility security plan, shall be implemented
for each activity detailed in section 14.2, taking into account the
guidance given in part B of this Code.
14.4.1 In addition, at security level 3, port facilities are
required to respond to and implement any security instructions given
by the Contracting Government within whose territory the port
facility is located.
14.5 When a port facility security officer is advised that a
ship encounters difficulties in complying with the requirements of
chapter XI-2 or this part or in implementing the appropriate
measures and procedures as detailed in the ship security plan, and
in the case of security level 3 following any security instructions
given by the Contracting Government within whose territory the port
facility is located, the port facility security
[[Page 79760]]
officer and ship security officer shall liase and co-ordinate
appropriate actions.
14.6 When a port facility security officer is advised that a
ship is at a security level, which is higher than that of the port
facility, shall report the matter to the competent authority and
shall liase with the ship security officer and co-ordinate
appropriate actions, if necessary.
15 Port Facility Security Assessment
15.1 The port facility security assessment is an essential and
integral part of the process of developing and updating the port
facility security plan.
15.2 The port facility security assessment shall be carried out
by the Contracting Government within whose territory the port
facility is located. A Contracting Government may authorise a
recognised security organisation to carry out the port facility
security assessment of a specific port facility located within its
territory.
15.2.1 When the port facility security assessment has been
carried out by a recognised security organisation, the security
assessment shall be reviewed and approved for compliance with this
section by the Contracting Government within whose territory the
port facility is located.
15.3 The persons carrying out the assessment shall have
appropriate skills to evaluate the security of the port facility in
accordance with this section, taking into account the guidance given
in part B of this Code.
15.4 The port facility security assessments shall periodically
be reviewed and updated, taking account of changing threats and/or
minor changes in the port facility and shall always be reviewed and
updated when major changes to the port facility take place.
15.5 The port facility security assessment shall include, at
least, the following elements:
.1 Identification and evaluation of important assets and
infrastructure it is important to protect;
.2 Identification of possible threats to the assets and
infrastructure and the likelihood of their occurrence, in order to
establish and prioritize security measures;
.3 Identification, selection and prioritization of counter
measures and procedural changes and their level of effectiveness in
reducing vulnerability; and
.4 Identification of weaknesses, including human factors in the
infrastructure, policies and procedures.
15.6 The Contracting Government may allow a port facility
security assessment to cover more than one port facility if the
operator, location, operation, equipment, and design of these port
facilities are similar. Any Contracting Government, which allows
such an arrangement shall communicate to the Organization
particulars thereof.
15.7 Upon completion of the port facility security assessment, a
report shall be prepared, consisting of a summary of how the
assessment was conducted, a description of each vulnerability found
during the assessment and a description of counter measures that
could be used to address each vulnerability. The report shall be
protected from unauthorized access or disclosure.
16 Port Facility Security Plan
16.1 A port facility security plan shall be developed and
maintained, on the basis of a port facility security assessment, for
each port facility, adequate for the ship/port interface. The plan
shall make provisions for the three security levels, as defined in
this part of the Code.
16.1.1 Subject to the provisions of section 16.2, a recognized
security organization may prepare the port facility security plan of
a specific port facility.
16.2 The port facility security plan shall be approved by the
Contracting Government in whose territory the port facility is
located.
16.3 Such a plan shall be developed taking into account the
guidance given in part B of this Code and shall be in the working
language of the port facility. The plan shall address, at least, the
following:
.1 Measures designed to prevent weapons or any other dangerous
substances and devices intended for use against people, ships or
ports and the carriage of which is not authorized, from being
introduced into the port facility or on board a ship;
.2 Measures designed to prevent unauthorized access to the port
facility, to ships moored at the facility, and to restricted areas
of the facility;
.3 Procedures for responding to security threats or breaches of
security, including provisions for maintaining critical operations
of the port facility or ship/port interface;
.4 Procedures for responding to any security instructions the
Contracting Government, in whose territory the port facility is
located, may give at security level 3;
.5 Procedures for evacuation in case of security threats or
breaches of security;
.6 Duties of port facility personnel assigned security
responsibilities and of other facility personnel on security
aspects;
.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 port facility security officer
including 24-hour contact details;
.11 Measures to ensure the security of the information contained
in the plan;
.12 Measures designed to ensure effective security of cargo and
the cargo handling equipment at the port facility;
.13 Procedures for auditing the port facility security plan;
.14 Procedures for responding in case the ship security alert
system of a ship at the port facility has been activated; and
.15 Procedures for facilitating shore leave for ship's personnel
or personnel changes, as well as access of visitors to the ship
including representatives of seafarers' welfare and labour
organizations.
16.3.1 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 port facility.
16.4 The port facility security plan may be combined with, or be
part of, the port security plan or any other port emergency plan or
plans.
16.5 The Contracting Government in whose territory the port
facility is located shall determine which changes to the port
facility security plan shall not be implemented unless the relevant
amendments to the plan are approved by them.
16.6 The plan may be kept in an electronic format. In such a
case, it shall be protected by procedures aimed at preventing its
unauthorised deletion, destruction or amendment.
16.7 The plan shall be protected from unauthorized access or
disclosure.
16.8 Contracting Governments may allow a port facility security
plan to cover more than one port facility if the operator, location,
operation, equipment, and design of these port facilities are
similar. Any Contracting Government, which allows such an
alternative arrangement, shall communicate to the Organization
particulars thereof.
17 Port Facility Security Officer
17.1 A port facility security officer shall be designated for
each port facility. A person may be designated as the port facility
security officer for one or more port facilities.
17.2 In addition to those specified elsewhere in this part of
the Code, the duties and responsibilities of the port facility
security officer shall include, but are not limited to:
.1 Conducting an initial comprehensive security survey of the
port facility taking into account the relevant port facility
security assessment;
.2 Ensuring the development and maintenance of the port facility
security plan;
.3 Implementing and exercising the port facility security plan;
.4 Undertaking regular security inspections of the port facility
to ensure the continuation of appropriate security measures;
.5 Recommending and incorporating, as appropriate, modifications
to the port facility security plan in order to correct deficiencies
and to update the plan to take into account of relevant changes to
the port facility;
.6 Enhancing security awareness and vigilance of the port
facility personnel;
.7 Ensuring adequate training has been provided to personnel
responsible for the security of the port facility;
.8 Reporting to the relevant authorities and maintaining records
of occurrences which threaten the security of the port facility;
.9 Co-ordinating implementation of the port facility security
plan with the appropriate Company and ship security officer(s);
.10 Co-ordinating with security services, as appropriate;
.11 Ensuring that standards for personnel responsible for
security of the port facility are met;
.12 Ensuring that security equipment is properly operated,
tested, calibrated and maintained, if any; and
.13 Assisting ship security officers in confirming the identity
of those seeking to board the ship when requested.
[[Page 79761]]
17.3 The port facility security officer shall be given the
necessary support to fulfil the duties and responsibilities imposed
by chapter XI-2 and this part of this Code.
18 Training, Drills and Exercises on Port Facility Security
18.1 The port facility security officer and appropriate port
facility security personnel shall have knowledge and have received
training, taking into account the guidance given in part B of this
Code.
18.2 Port facility personnel having specific security duties
shall understand their duties and responsibilities for port facility
security, as described in the port facility security plan and shall
have sufficient knowledge and ability to perform their assigned
duties, taking into account the guidance given in part B of this
Code.
18.3 To ensure the effective implementation of the port facility
security plan, drills shall be carried out at appropriate intervals
taking into account the types of operations of the port facility,
port facility personnel changes, the type of ship the port facility
is serving and other relevant circumstances, taking into account
guidance given in part B of this Code.
18.4 The port facility security officer shall ensure the
effective coordination and implementation of the port facility
security plan by participating in exercises at appropriate
intervals, taking into account the guidance given in part B of this
Code.
19 Verification and Certification for Ships
19.1 Verifications.
19.1.1 Each ship to which this part of the Code applies shall be
subject to the verifications specified below:
.1 An initial verification before the ship is put in service or
before the certificate required under section 19.2 is issued for the
first time, which shall include a complete verification of its
security system and any associated security equipment covered by the
relevant provisions of chapter XI-2, this part of the Code and the
approved ship security plan. This verification shall ensure that the
security system and any associated security equipment of the ship
fully complies with the applicable requirements of chapter XI-2 and
this part of the Code, is in satisfactory condition and fit for the
service for which the ship is intended;
.2 A renewal verification at intervals specified by the
Administration, but not exceeding five years, except where section
19.3.1 or 19.3.4 is applicable. This verification shall ensure that
the security system and any associated security equipment of the
ship fully complies with the applicable requirements of chapter XI-
2, this part of the Code and the approved Ship Security Plan, is in
satisfactory condition and fit for the service for which the ship is
intended;
.3 At least one intermediate verification. If only one
intermediate verification is carried out it shall take place between
the second and third anniversary date of the certificate as defined
in regulation I/2(n). The intermediate verification shall include
inspection of the security system and any associated security
equipment of the ship to ensure that it remains satisfactory for the
service for which the ship is intended. Such intermediate
verification shall be endorsed on the certificate;
.4 Any additional verifications as determined by the
Administration.
19.1.2 The verifications of ships shall be carried out by
officers of the Administration. The Administration may, however,
entrust the verifications to a recognized security organization
referred to in regulation XI-2/1.
19.1.3 In every case, the Administration concerned shall fully
guarantee the completeness and efficiency of the verification and
shall undertake to ensure the necessary arrangements to satisfy this
obligation.
19.1.4 The security system and any associated security equipment
of the ship after verification shall be maintained to conform with
the provisions of regulations XI-2/4.2 and XI-2/6, this part of the
Code and the approved ship security plan. After any verification
under section 19.1.1 has been completed, no changes shall be made in
security system and in any associated security equipment or the
approved ship security plan without the sanction of the
Administration.
19.2 Issue or endorsement of certificate.
19.2.1 An International Ship Security Certificate shall be
issued after the initial or renewal verification in accordance with
the provisions of section 19.1.
19.2.2 Such certificate shall be issued or endorsed either by
the Administration or by the a recognized security organization
acting on behalf of the Administration.
19.2.3 Another Contracting Government may, at the request of the
Administration, cause the ship to be verified and, if satisfied that
the provisions of section 19.1.1 are complied with, shall issue or
authorize the issue of an International Ship Security Certificate to
the ship and, where appropriate, endorse or authorize the
endorsement of that certificate on the ship, in accordance with this
Code.
19.2.3.1 A copy of the certificate and a copy of the
verification report shall be transmitted as soon as possible to the
requesting Administration.
19.2.3.2 A certificate so issued shall contain a statement to
the effect that it has been issued at the request of the
Administration and it shall have the same force and receive the same
recognition as the certificate issued under section 19.2.2.
19.2.4 The International Ship Security Certificate shall be
drawn up in a form corresponding to the model given in the appendix
to this Code. If the language used is not English, French or
Spanish, the text shall include a translation into one of these
languages.
19.3 Duration and validity of certificate.
19.3.1 An International Ship Security Certificate shall be
issued for a period specified by the Administration which shall not
exceed five years.
19.3.2 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.
19.3.2.1 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.
19.3.2.2 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.
19.3.3 If a certificate is issued for a period of less than five
years, the Administration may extend the validity of the certificate
beyond the expiry date to the maximum period specified in section
19.3.1, provided that the verifications referred to in section
19.1.1 applicable when a certificate is issued for a period of five
years are carried out as appropriate.
19.3.4 If a renewal verification has been completed and a new
certificate cannot be issued or placed on board the ship before the
expiry date of the existing certificate, the Administration or
recognized security organization acting on behalf of the
Administration may endorse the existing certificate and such a
certificate shall be accepted as valid for a further period which
shall not exceed five months from the expiry date.
19.3.5 If a ship at the time when a certificate expires is not
in a port in which it is to be verified, the Administration may
extend the period of validity of the certificate but this extension
shall be granted only for the purpose of allowing the ship to
complete its voyage to the port in which it is verified, and then
only in cases where it appears proper and reasonable to do so. No
certificate shall be extended for a period longer than three months,
and the ship to which an extension is granted shall not, on its
arrival in the port in which it is to be verified, be entitled by
virtue of such extension to leave that port without having a new
certificate. When the renewal verification is completed, the new
certificate shall be valid to a date not exceeding five years from
the expiry date of the existing certificate before the extension was
granted.
19.3.6 A certificate issued to a ship engaged on short voyages
which has not been extended under the foregoing provisions of this
section may be extended by the Administration for a period of grace
of up to one month from the date of expiry stated on it. When the
renewal verification is completed, the new certificate shall be
valid to a date not exceeding five years from the date of expiry of
the existing certificate before the extension was granted.
19.3.7 If an intermediate verification is completed before the
period specified in section 19.1.1, then:
.1 The expiry date shown on the certificate shall be amended by
endorsement to a date which shall not be more than three years later
than the date on which the intermediate verification was completed;
.2 The expiry date may remain unchanged provided one or more
additional verifications are carried out so that the
[[Page 79762]]
maximum intervals between the verifications prescribed by section
19.1.1 are not exceeded.
19.3.8 A certificate issued under section 19.2 shall cease to be
valid in any of the following cases:
.1 If the relevant verifications are not completed within the
periods specified under section 19.1.1;
.2 If the certificate is not endorsed in accordance with section
19.1.1.3 and 19.3.7.2 if applicable;
.3 When a Company assumes the responsibility for the operation
of a ship not previously operated by that Company; and
.4 Upon transfer of the ship to the flag of another State.
19.3.9 In the case of:
.1 A transfer of a ship to the flag of another Contracting
Government, the Contracting Government whose flag the ship was
formerly entitled to fly shall, as soon as possible, transmit to the
receiving Administration copies of, or all information relating to,
the International Ship Security Certificate carried by the ship
before the transfer and copies of available verification reports, or
.2 A Company that assumes responsibility for the operation of a
ship not previously operated by that Company, the previous Company
shall as soon as possible, transmit to the receiving Company copies
of any information related to the International Ship Security
Certificate or to facilitate the verifications described in section
19.4.2.
19.4 Interim certification.
19.4.1 The certificates specified in section 19.2 shall be
issued only when the Administration issuing the certificate is fully
satisfied that the ship complies with the requirements of section
19.1. However, after 1 July 2004, for the purposes of:
.1 A ship without a certificate, on delivery or prior to its
entry or re-entry into service;
.2 Transfer of a ship from the flag of a Contracting Government
to the flag of another Contracting Government;
.3 Transfer of a ship to the flag of a Contracting Government
from a State which is not a Contracting Government; or
.4 When a Company assumes the responsibility for the operation
of a ship not previously operated by that Company;
until the certificate referred to in section 19.2 is issued, the
Administration may cause an Interim International Ship Security
Certificate to be issued, in a form corresponding to the model given
in the Appendix to this part of the Code.
19.4.2 An Interim International Ship Security Certificate shall
only be issued when the Administration or recognized security
organization, on behalf of the Administration, has verified that:
.1 The ship security assessment required by this part of the
Code has been completed,
.2 A copy of the ship security plan meeting the requirements of
chapter XI-2 and part A of this Code is provided on board, has been
submitted for review and approval, and is being implemented on the
ship;
.3 The ship is provided with a ship security alert system
meeting the requirements of regulation XI-2/6, if required,
.4 The Company Security Officer:
.1 Has ensured:
.1 The review of the ship security plan for compliance with this
part of the Code,
.2 That the plan has been submitted for approval, and
.3 That the plan is being implemented on the ship, and
.2 Has established the necessary arrangements, including
arrangements for drills, exercises and internal audits, through
which the Company Security Officer is satisfied that the ship will
successfully complete the required verification in accordance with
section 19.1.1.1, within 6 months;
.5 Arrangements have been made for carrying out the required
verifications under section 19.1.1.1;
.6 The master, the ship's security officer and other ship's
personnel with specific security duties are familiar with their
duties and responsibilities as specified in this part of the Code;
and with the relevant provisions of the ship security plan placed on
board; and have been provided such information in the working
language of the ship's personnel or languages understood by them;
and
.7 The ship security officer meets the requirements of this part
of the Code.
19.4.3 An Interim International Ship Security Certificate may be
issued by the Administration or by a recognized security
organization authorized to act on its behalf.
19.4.4 An Interim International Ship Security Certificate shall
be valid for 6 months, or until the certificate required by section
19.2 is issued, whichever comes first, and may not be extended.
19.4.5 No Contracting Government shall cause a subsequent,
consecutive Interim International Ship Security Certificate to be
issued to a ship if, in the judgment of the Administration or the
recognized security organization, one of the purposes of the ship or
a Company in requesting such certificate is to avoid full compliance
with chapter XI-2 and this part of the Code beyond the period of the
initial interim certificate as specified in section 19.4.4.
19.4.6 For the purposes of regulation XI-2/9, Contracting
Governments may, prior to accepting an Interim International Ship
Security Certificate as a valid certificate, ensure that the
requirements of sections 19.4.2.4 to 19.4.2.6 have been met.
Appendix to Part A
Appendix 1--Form of the International Ship Security Certificate
International Ship Security Certificate
(official seal)
(State)
Certificate No.
Issued under the provisions of the International Code for the
Security of Ships and of Port Facilities (ISPS Code).
Under the authority of the Government of --------------------
(name of State) by ---------------------- (persons or organization
authorized)
Name of ship-----------------------------------------------------------
Distinctive number or letters------------------------------------------
Port of registry-------------------------------------------------------
Type of ship-----------------------------------------------------------
Gross tonnage----------------------------------------------------------
IMO Number-------------------------------------------------------------
Name and address of the Company----------------------------------------
This is to certify:
1 That the security system and any associated security equipment
of the ship has been verified in accordance with section 19.1 of
part A of the ISPS Code;
2 That the verification showed that the security system and any
associated security equipment of the ship is in all respects
satisfactory and that the ship complies with the applicable
requirements of chapter XI-2 of the Convention and part A of the
ISPS Code;
3 That the ship is provided with an approved Ship Security Plan.
Date of initial / renewal verification on which this certificate is
based----------------
This Certificate is valid until---------------- subject to
verifications in accordance with section 19.1.1 of part A of the
ISPS Code.
Issued at---------------- (place of issue of the Certificate)
Date of issue----------------
-----------------------------------------------------------------------
(signature of the duly authorized official issuing the Certificate)
(Seal or stamp of issuing authority, as appropriate)
Endorsement for Intermediate Verification
This is to certify that at an intermediate verification required
by section 19.1.1 of part A of the ISPS Code the ship was found to
comply with the relevant provisions of chapter XI-2 of the
Convention and part A of the ISPS Code.
Intermediate Verification
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Endorsement for Additional Verifications *
Additional Verification
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Additional Verification
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Additional Verification
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
*This part of the certificate shall be adapted by the
Administration to indicate
[[Page 79763]]
whether it has established additional verifications as provided for
in section 19.1.1.4.
Additional Verification in Accordance With Section A/19.3.7.2 of
the ISPS Code
This is to certify that at an additional verification required
by section 19.3.7.2 of part A of the ISPS Code the ship was found to
comply with the relevant provisions of chapter XI-2 of the
Convention and part A of the ISPS Code.
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Endorsement to Extend the Certificate if Valid for Less Than 5
Years Where Section A/19.3.3 of the ISPS Code Applies
The ship complies with the relevant provisions of part A of the
ISPS Code, and the Certificate shall, in accordance with section
19.3.3 of part A of the ISPS Code, be accepted as valid until------
----------.
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Endorsement Where the Renewal Verification Has Been Completed and
Section A/19.3.4 of the ISPS Code Applies
The ship complies with the relevant provisions of part A of the
ISPS Code, and the Certificate shall, in accordance with section
19.3.4 of part A of the ISPS Code, be accepted as valid until------
----------.
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Endorsement to Extend the Validity of the Certificate Until
Reaching the Port of Verification Where Section A/19.3.5 of the
ISPS Code Applies or for a Period of Grace Where Section A/19.3.6
of the ISPS Code Applies
This Certificate shall, in accordance with section 19.3.5/19.3.6
* of part A of the ISPS Code, be accepted as valid until------------
----.
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
Endorsement for Advancement of Expiry Date Where Section A/19.3.7.1
of the ISPS Code Applies
In accordance with section 19.3.7.1 of part A of the ISPS Code,
the new expiry date ** is----------------.
Signed-----------------------------------------------------------------
(Signature of authorized official)
Place------------------------------------------------------------------
Date-------------------------------------------------------------------
(Seal or stamp of the authority, as appropriate)
--------
* Delete as appropriate.
**In case of completion of this part of the certificate the
expiry date shown on the front of the certificate shall also be
amended accordingly.
Appendix 2--Form of the Interim International Ship Security Certificate
Interim International Ship Security Certificate
(Official seal)
(State)
Certificate No.
Issued under the provisions of the International Code for the
Security of Ships and of Port Facilities (ISPS Code)
Under the authority of the Government of --------------------
(name of State) by-------------------- (persons or organization
authorized)
Name of ship:----------------------------------------------------------
Distinctive number or letters:-----------------------------------------
Port of registry:------------------------------------------------------
Type of ship:----------------------------------------------------------
Gross tonnage:---------------------------------------------------------
IMO Number:------------------------------------------------------------
Name and address of company:-------------------------------------------
Is this a subsequent, consecutive interim certificate? Yes/No *
If Yes, date of issue of initial interim certificate-------------------
This is to certify that the requirements of section A/19.4.2 of
the ISPS Code have been complied with.
This Certificate is issued pursuant to section A/19.4 * of the
ISPS Code.
This Certificate is valid until----------------.
Issued at---------------- (place of issue of the certificate).
Date of issue----------------
-----------------------------------------------------------------------
(signature of the duly authorized official issuing the Certificate)
(Seal or stamp of issuing authority, as appropriate)
--------
*Delete as appropriate.
Part B
Guidance Regarding the Provisions of Chapter XI-2 of the Annex to
the International Convention for the Safety of Life at Sea, 1974 as
Amended and Part A of This Code
1 Introduction
General
1.1 The preamble of this Code indicates that chapter XI-2 and
part A of this Code establish the new international framework of
measures to enhance maritime security and through which ships and
port facilities can co-operate to detect and deter acts which
threaten security in the maritime transport sector.
1.2 This introduction outlines, in a concise manner, the
processes envisaged in establishing and implementing the measures
and arrangements needed to achieve and maintain compliance with the
provisions of chapter XI-2 and of part A of this Code and identifies
the main elements on which guidance is offered. The guidance is
provided in paragraphs 2 through to 19. It also sets down essential
considerations, which should be taken into account when considering
the application of the guidance relating to ships and port
facilities.
1.3 If the reader's interest relates to ships alone, it is
strongly recommended that this part of the Code is still read as a
whole, particularly the sections relating to port facilities. The
same applies to those whose primary interest are port facilities;
they should also read the sections relating to ships.
1.4 The guidance provided in the following sections relates
primarily to protection of the ship when it is at a port facility.
There could, however, be situations when a ship may pose a threat to
the port facility, e.g. because, once within the port facility, it
could be used as a base from which to launch an attack. When
considering the appropriate security measures to respond to ship-
based security threats, those completing the Port Facility Security
Assessment or preparing the Port Facility Security Plan should
consider making appropriate adaptations to the guidance offered in
the following sections.
1.5 The reader is advised that nothing in this Part of the Code
should be read or interpreted in conflict with any of the provisions
of either chapter XI-2 or part A of this Code and that the aforesaid
provisions always prevail and override any unintended inconsistency
which may have been inadvertently expressed in this Part of the
Code. The guidance provided in this Part of the Code should always
be read, interpreted and applied in a manner which is consistent
with the aims, objectives and principles established in chapter XI-2
and part A of this Code.
Responsibilities of Contracting Governments
1.6 Contracting Governments have, under the provisions of
chapter XI-2 and part A of this Code, various responsibilities,
which, amongst others, include:
--Setting the applicable security level;
--Approving the Ship Security Plan and relevant amendments to a
previously approved plan;
--Verifying the compliance of ships with the provisions of chapter
XI-2 and part A of this Code and issuing to ships the International
Ship Security Certificate;
--Determining which of the port facilities located within their
territory are required to designate a Port Facility Security Officer
who will be responsible for the preparation of the Port Facility
Security Plan;
--Ensuring completion and approval of the Port Facility Security
Assessment and of any subsequent amendments to a previously approved
assessment;
--Approving the Port Facility Security Plan and any subsequent
amendments to a previously approved plan; and
--Exercising control and compliance measures;
--Testing approved plans; and
[[Page 79764]]
--Communicating information to the International Maritime
Organization and to the shipping and port industries.
1.7 Contracting Governments can designate, or establish,
Designated Authorities within Government to undertake, with respect
to port facilities, their security duties under chapter XI-2 and
part A of this Code and allow Recognised Security Organisations to
carry out certain work with respect to port facilities but the final
decision on the acceptance and approval of this work should be given
by the Contracting Government or the Designated Authority.
Administrations may also delegate the undertaking of certain
security duties, relating to ships, to Recognised Security
Organizations. The following duties or activities cannot delegated
to a Recognized Security Organization:
--Setting of the applicable security level;
--Determining which of the port facilities located within the
territory of a Contracting Government are required to designate a
Port Facility Security Officer and to prepare a Port Facility
Security Plan;
--Approving a Port Facility Security Assessment or any subsequent
amendments to a previously approved assessment;
--Approving a Port Facility Security Plan or any subsequent
amendments to a previously approved plan;
--Exercising control and compliance measures; and
--Establishing the requirements for a Declaration of Security.
Setting the Security Level
1.8 The setting of the security level applying at any particular
time is the responsibility of Contracting Governments and can apply
to ships and port facilities. Part A of this Code defines three
security levels for international use. These are:
--Security Level 1, normal; the level at which ships and port
facilities normally operate;
--Security Level 2, heightened; the level applying for as long as
there is a heightened risk of a security incident; and
--Security Level 3, exceptional, the level applying for the period
of time when there is the probable or imminent risk of a security
incident.
The Company and the Ship
1.9 Any Company operating ships to which chapter XI-2 and part A
of this Code apply has to designate a Company Security Officer for
the Company and a Ship Security Officer for each of its ships. The
duties, responsibilities and training requirements of these officers
and requirements for drills, and exercises are defined in part A of
this Code.
1.10 The Company Security Officer's responsibilities include, in
brief amongst others, ensuring that a Ship Security Assessment is
properly carried out, that a Ship Security Plan is prepared and
submitted for approval by, or on behalf of, the Administration and
thereafter is placed on board each ship to which part A of this Code
applies and in respect of which that person has been appointed as
the Company Security Officer.
1.11 The Ship Security Plan should indicate the operational and
physical security measures the ship itself should take to ensure it
always operates at security level 1.
The plan should also indicate the additional, or intensified,
security measures the ship itself can take to move to and operate at
security level 2 when instructed to do so.
Furthermore, the plan should indicate the possible preparatory
actions the ship could take to allow prompt response to the
instructions that may be issued to the ship by those responding at
security level 3 to a security incident or threat thereof.
1.12 The ships to which the requirements of chapter XI-2 and
part A of this Code apply are required to have, and operated in
accordance with, a Ship Security Plan approved by, or on behalf of,
the Administration. The Company and Ship Security Officer should
monitor the continuing relevance and effectiveness of the plan,
including the undertaking of internal audits. Amendments to any of
the elements of an approved plan, for which the Administration has
determined that approval is required, have to be submitted for
review and approval before their incorporation in the approved plan
and their implementation by the ship.
1.13 The ship has to carry an International Ship Security
Certificate indicating that it complies with the requirements of
chapter XI-2 and part A of this Code. Part A of this Code includes
provisions relating to the verification and certification of the
ship's compliance with the requirements on an initial, renewal and
intermediate verification basis.
1.14 When a ship is at a port or is proceeding to a port of a
Contracting Government, the Contracting Government has the right,
under the provisions of regulation XI-2/9, to exercise various
control and compliance measures with respect to that ship.
The ship is subject to port State control inspections but such
inspections will not normally extend to examination of the Ship
Security Plan itself except in specific circumstances.
The ship may, also, be subject to additional control measures if
the Contracting Government exercising the control and compliance
measures has reason to believe that the security of the ship has, or
the port facilities it has served have, been compromised.
1.15 The ship is also required to have onboard information, to
be made available to Contracting Governments upon request,
indicating who is responsible for deciding the employment of the
ship's personnel and for deciding various aspects relating to the
employment of the ship.
The Port Facility
1.16 Each Contracting Government has to ensure completion of a
Port Facility Security Assessment for each of the port facilities,
located within its territory, serving ships engaged on international
voyages. The Contracting Government, a Designated Authority or a
Recognized Security Organization may carry out this assessment. The
completed Port Facility Security Assessment has to be approved by
the Contracting Government or the Designated Authority concerned.
This approval cannot be delegated. Port Facility Security
Assessments should be periodically reviewed.
1.17 The Port Facility Security Assessment is fundamentally a
risk analysis of all aspects of a port facility's operation in order
to determine which part(s) of it are more susceptible, and/or more
likely, to be the subject of attack. Security risk is a function of
the threat of an attack coupled with the vulnerability of the target
and the consequences of an attack.
The assessment must include the following components:
--The perceived threat to port installations and infrastructure must
be determined;
--The potential vulnerabilities identified; and
--The consequences of incidents calculated.
On completion of the analysis, it will be possible to produce an
overall assessment of the level of risk. The Port Facility Security
Assessment will help determine which port facilities are required to
appoint a Port Facility Security Officer and prepare a Port Facility
Security Plan.
1.18 The port facilities which have to comply with the
requirements of chapter XI-2 and part A of this Code are required to
designate a Port Facility Security Officer. The duties,
responsibilities and training requirements of these officers and
requirements for drills and exercises are defined in part A of this
Code.
1.19 The Port Facility Security Plan should indicate the
operational and physical security measures the port facility should
take to ensure that it always operates at security level 1. The plan
should also indicate the additional, or intensified, security
measures the port facility can take to move to and operate at
security level 2 when instructed to do so.
Furthermore, the plan should indicate the possible preparatory
actions the port facility could take to allow prompt response to the
instructions that may be issued by those responding at security
level 3 to a security incident or threat thereof.
1.20 The port facilities which have to comply with the
requirements of chapter XI-2 and part A of this Code are required to
have, and operate in accordance with, a Port Facility Security Plan
approved by the Contracting Government or by the Designated
Authority concerned.
The Port Facility Security Officer should implement its
provisions and monitor the continuing effectiveness and relevance of
the plan, including commissioning internal audits of the application
of the plan.
Amendments to any of the elements of an approved plan, for which
the Contracting Government or the Designated Authority concerned has
determined that approval is required, have to be submitted for
review and approval before their incorporation in the approved plan
and their implementation at the port facility.
The Contracting Government or the Designated Authority concerned
may test the effectiveness of the plan. The Port Facility
[[Page 79765]]
Security Assessment covering the port facility or on which the
development of the plan has been based should be regularly reviewed.
All these activities may lead to amendment of the approved plan. Any
amendments to specified elements of an approved plan will have to be
submitted for approval by the Contracting Government or by the
Designated Authority concerned.
1.21 Ships using port facilities may be subject to the port
State control inspections and additional control measures outlined
in regulation XI-2/9.
The relevant authorities may request the provision of
information regarding the ship, its cargo, passengers and ship's
personnel prior to the ship's entry into port.
There may be circumstances in which entry into port could be
denied.
Information and Communication
1.22 Chapter XI-2 and part A of this Code require Contracting
Governments to provide certain information to the International
Maritime Organization and for information to be made available to
allow effective communication between Contracting Governments and
between Company/Ship Security Officers and the Port Facility
Security Officers responsible for the port facility their ships
visit.
2 Definitions
2.1 No guidance is provided with respect to the definitions set
out in chapter XI-2 or part A of this Code.
2.2 For the purpose of this part of the Code:
.1 ``Section'' means a section of part A of the Code and is
indicated as ``section A/';
.2 ``Paragraph'' means a paragraph of this part of the Code and
is indicated as ``paragraph ''; and
.3 ``Contracting Government'', when used in paragraphs 14 to 18,
means the ``Contracting Government within whose territory the port
facility is located'' and includes a reference to the ``Designated
Authority''.
3 Application
General
3.1 The guidance given in this part of the Code should be taken
into account when implementing the requirements of chapter XI-2 and
part A of this Code.
3.2 However, it should be recognized that the extent to which
the guidance on ships applies will depend on the type of ship, its
cargoes and/or passengers, its trading pattern and the
characteristics of the port facilities visited by the ship.
3.3 Similarly, in relation to the guidance on port facilities,
the extent to which this guidance applies will depend on the port
facilities, the types of ships using the port facility, the types of
cargo and/or passengers and the trading patterns of visiting ships.
3.4 The provisions of chapter XI-2 and part A of this Code are
not intended to apply to port facilities designed and used primarily
for military purposes.
4 Responsibility of Contracting Governments
Security of Assessments and Plans
4.1 Contracting Governments should ensure that appropriate
measures are in place to avoid unauthorized disclosure of, or access
to, security sensitive material relating to Ship Security
Assessments, Ship Security Plans, Port Facility Security Assessments
and Port Facility Security Plans, and to individual assessments or
plans.
Designated Authorities
4.2 Contracting Governments may identify a Designated Authority
within Government to undertake their security duties relating to
port facilities as set out in chapter XI-2 or part A of this Code.
Recognized Security Organizations
4.3 Contracting Governments may authorize a Recognized Security
Organization (RSO) to undertake certain security related activities,
including:
.1 Approval of Ship Security Plans, or amendments thereto, on
behalf of the Administration;
.2 Verification and certification of compliance of ships with
the requirements of chapter XI-2 and part A of this Code on behalf
of the Administration; and
.3 Conducting Port Facility Security Assessments required by the
Contracting Government.
4.4 An RSO may also advise or provide assistance to Companies or
port facilities on security matters, including Ship Security
Assessments, Ship Security Plans, Port Facility Security Assessments
and Port Facility Security Plans. This can include completion of a
Ship Security Assessment or Plan or Port Facility Security
Assessment or Plan.
If an RSO has done so in respect of a ship security assessment
or plan that RSO should not be authorised to approve that ship
security plan.
4.5 When authorizing an RSO, Contracting Governments should give
consideration to the competency of such an organization. An RSO
should be able to demonstrate:
.1 Expertise in relevant aspects of security;
.2 Appropriate knowledge of ship and port operations, including
knowledge of ship design and construction if providing services in
respect of ships and port design and construction if providing
services in respect of port facilities;
.3 Their capability to assess the likely security risks that
could occur during ship and port facility operations including the
ship/port interface and how to minimise such risks;
.4 Their ability to maintain and improve the expertise of their
personnel;
.5 Their ability to monitor the continuing trustworthiness of
their personnel;
.6 Their ability to maintain appropriate measures to avoid
unauthorised disclosure of, or access to, security sensitive
material;
.7 Their knowledge of the requirements chapter XI-2 and part A
of this Code and relevant national and international legislation and
security requirements; and
.8 Their knowledge of current security threats and patterns;
.9 Their knowledge on recognition and detection of weapons,
dangerous substances and devices;
.10 Their knowledge on recognition, on a non-discriminatory
basis, of characteristics and behavioural patterns of persons who
are likely to threaten security;
.11 Their knowledge on techniques used to circumvent security
measures; and
.12 Their knowledge of security and surveillance equipment and
systems and their operational limitations.
When delegating specific duties to an RSO, Contracting
Governments, including Administrations, should ensure that the RSO
has the competencies needed to undertake the task.
4.6 A Recognized Organization, as defined in regulation I/6 and
fulfilling the requirements of regulation XI-1/1, may be appointed
as a RSO provided it has the appropriate security related expertise
listed in paragraph 4.5.
4.7 A Port or Harbour Authority or Port Facility operator may be
appointed as an RSO provided it has the appropriate security related
expertise listed in paragraph 4.5.
Setting the Security Level
4.8 In setting the security level Contracting Governments should
take account of general and specific threat information. Contracting
Governments should set the security level applying to ships or port
facilities at one of three levels:
--Security level 1: normal, the level at which the ship or port
facility normally operates;
--Security level 2: heightened, the level applying for as long as
there is a heightened risk of a security incident; and
--Security level 3: exceptional, the level applying for the period
of time when there is the probable or imminent risk of a security
incident.
4.9 Setting security level 3 should be an exceptional measure
applying only when there is credible information that a security
incident is probable or imminent.
Security level 3 should only be set for the duration of the
identified security threat or actual security incident.
While the security levels may change from security level 1,
through security level 2 to security level 3, it is also possible
that the security levels will change directly from security level 1
to security level 3.
4.10 At all times the Master of a ship has the ultimate
responsibility for the safety of the ship. Even at security level 3
a Master may seek clarification or amendment of instructions issued
by those responding to a security incident, or threat thereof, if
there are reasons to believe that compliance with any instruction
may imperil the safety of the ship.
4.11 The Company Security Officer (CSO) or the Ship Security
Officer (SSO) should liase at the earliest opportunity with the Port
Facility Security Officer (PFSO) of the port facility the ship is
intended to visit to establish the security level applying for that
ship at the port facility. Having established contact with a ship,
the PFSO should advise the ship of any subsequent change in the port
[[Page 79766]]
facility's security level and should provide the ship with any
relevant security information.
4.12 While there may be circumstances when an individual ship
may be operating at a higher security level than the port facility
it is visiting, there will be no circumstances when a ship can have
a lower security level than the port facility it is visiting. If a
ship has a higher security level than the port facility it intends
to use, the CSO or SSO should advise the PFSO without delay. The
PFSO should undertake an assessment of the particular situation in
consultation with the CSO or SSO and agree on appropriate security
measures with the ship, which may include completion and signing of
a Declaration of Security.
4.13 Contracting Governments should consider how information on
changes in security levels should be promulgated rapidly.
Administrations may wish to use NAVTEX messages or Notices to
Mariners as the method for notifying such changes in security levels
to ship and CSO and SSO. Or, they may wish to consider other methods
of communication that provide equivalent or better speed and
coverage. Contracting Governments should establish means of
notifying PFSOs of changes in security levels.
Contracting Governments should compile and maintain the contact
details for a list of those who need to be informed of changes in
security levels. Whereas the security level need not be regarded as
being particularly sensitive, the underlying threat information may
be highly sensitive. Contracting Governments should give careful
consideration to the type and detail of the information conveyed and
the method by which it is conveyed, to SSOs, CSOs and PFSOs.
Contact Points and Information on Port Facility Security Plans
4.14 Where a port facility has a PFSP that fact has to be
communicated to the Organization and that information must also be
made available to Company and Ship Security Officers. No further
details of the PFSP have to be published other than that it is in
place. Contracting Governments should consider establishing either
central or regional points of contact, or other means of providing
up to date information on the locations where PFSPs are in place,
together with contact details for the relevant PFSO. The existence
of such contact points should be publicised. They could also provide
information on the recognized security organizations appointed to
act on behalf of the Contracting Government, together with details
of the specific responsibility and conditions of authority delegated
to such recognised security organizations.
4.15 In the case of a port that does not have a PFSP (and
therefore does not have a PFSO) the central or regional point of
contact should be able to identify a suitably qualified person
ashore who can arrange for appropriate security measures to be in
place, if needed, for the duration of the ship's visit.
4.16 Contracting Governments should also provide the contact
details of Government officers to whom an SSO, a CSO and a PFSO can
report security concerns.
These Government officers should assess such reports before
taking appropriate action. Such reported concerns may have a bearing
on the security measures falling under the jurisdiction of another
Contracting Government. In that case, the Contracting Governments
should consider contacting their counterpart in the other
Contracting Government to discuss whether remedial action is
appropriate. For this purpose, the contact details of the Government
officers should be communicated to the International Maritime
Organization.
4.17 Contracting Governments should also make the information
indicated in paragraphs 4.14 to 4.16, available to other Contracting
Governments on request.
Identification Documents
4.18 Contracting Governments are encouraged to issue appropriate
identification documents to Government officials entitled to board
ships or enter port facilities when performing their official duties
and to establish procedures whereby the authenticity of such
documents might be verified.
Fixed and Floating Platforms and Mobile Drilling Units on Location
4.19 Contracting Governments should consider establishing
appropriate security measures for fixed and floating platforms and
mobile offshore drilling units on location to allow interaction with
ships which are required to comply with the provisions of chapter
XI-2 and part A of this Code \1\.
---------------------------------------------------------------------------
\1\ Refer to Establishment of Appropriate Measures to Enhance
the Security of Ships, Port Facilities, Mobile Offshore Drilling
Units on location and Fixed and Floating Platforms Not Covered by
chapter XI-2 of 1974 SOLAS Convention, adopted by the Conference on
Maritime Security by resolution 7.
---------------------------------------------------------------------------
Ships Which Are Not Required To Comply With Part A of This Code
4.20 Contracting Governments should consider establishing
appropriate security measures to enhance the security of ships to
which this chapter XI-2 and part A of this Code does not apply and
to ensure that any security provisions applying to such ships allow
interaction with ships to which part A of this Code applies.
Threats to Ships and Other Incidents at Sea
4.21 Contracting Governments should provide general guidance on
the measures considered appropriate to reduce the security risk to
ships flying their flag when at sea. They should provide specific
advice on the action to be taken in accordance with security levels
1 to 3, if:
.1 There is a change in the security level applying to the ship
while it is at sea, e.g. because of the geographical area in which
it is operating or relating to the ship itself; and
.2 There is a security incident or threat thereof involving the
ship while at sea.
Contracting Governments should establish the best methods and
procedures for these purposes. In the case of an imminent attack the
ship should seek to establish direct communication with those
responsible in the flag State for responding to security incidents.
4.22 Contracting Governments should also establish a point of
contact for advice on security for any ship:
.1 Entitled to fly their flag; or
.2 Operating in their territorial sea or having communicated an
intention to enter their territorial sea.
4.23 Contracting Governments should offer advice to ships
operating in their territorial sea or having communicated an
intention to enter their territorial sea, which could include
advice:
.1 To alter or delay their intended passage;
.2 To navigate on a particular course or proceed to a specific
location;
.3 On the availability of any personnel or equipment that could
be placed on the ship;
.4 To co-ordinate the passage, arrival into port or departure
from port, to allow escort by patrol craft or aircraft (fixed-wing
or helicopter).
Contracting Governments should remind ships operating in their
territorial sea, or having communicated an intention to enter their
territorial sea, of any temporary restricted areas that they have
published.
4.24 Contracting Governments should recommend that ships
operating in their territorial sea, or having communicated an
intention to enter their territorial sea, implement expeditiously,
for the ship's protection and for the protection of other ships in
the vicinity, any security measure the Contracting Government may
have advised.
4.25 The plans prepared by the Contracting Governments for the
purposes given in paragraph 4.22 should include information on an
appropriate point of contact, available on a 24-hour basis, within
the Contracting Government including the Administration. These plans
should also include information on the circumstances in which the
Administration considers assistance should be sought from nearby
coastal States, and a procedure for liaison between port facility
security officers and ship security officers.
Alternative Security Agreements
4.26 Contracting Governments, in considering how to implement
chapter XI-2 and part A of this Code, may conclude one or more
agreements with one or more Contracting Governments. The scope of an
agreement is limited to short international voyages on fixed routes
between port facilities in the territory of the parties to the
agreement.
When concluding an agreement, and thereafter, the Contracting
Governments should consult other Contracting Governments and
Administrations with an interest in the effects of the agreement.
Ships flying the flag of a State that is not party to the agreement
should only be allowed to operate on the fixed routes covered by the
agreement if their Administration agrees that the ship should comply
with the provisions of the agreement and requires the ship to do so.
In no case can such an agreement compromise the level of
security of other ships and port facilities not covered by it, and
specifically, all ships covered by such an agreement may not conduct
ship-to-ship
[[Page 79767]]
activities with ships not so covered. Any operational interface
undertaken by ships covered by the agreement should be covered by
it.
The operation of each agreement must be continually monitored
and amended when the need arises and in any event should be reviewed
every 5 years.
Equivalent Arrangements for Port Facilities
4.27 For certain specific port facilities with limited or
special operations but with more than occasional traffic, it may be
appropriate to ensure compliance by security measures equivalent to
those prescribed in chapter XI-2 and in part A of this Code. This
can, in particular, be the case for terminals such as those attached
to factories, or quaysides with no frequent operations.''
Manning Level
4.28 In establishing the minimum safe manning of a ship the
Administration should take into account \2\ that the minimum safe
manning provisions established by regulation V/14 \3\ only address
the safe navigation of the ship. The Administration should also take
into account any additional workload which may result from the
implementation of the ship's security plan and ensure that the ship
is sufficiently and effectively manned. In doing so the
Administration should verify that ships are able to implement the
hours of rest and other measures to address fatigue which have been
promulgated by national law, in the context of all shipboard duties
assigned to the various shipboard personnel.
---------------------------------------------------------------------------
\2\ Refer to Further Work by the International Maritime
Organisation pertaining to Enhancement of Maritime Security, adopted
by the Conference on Maritime Security by resolution 3, inviting,
amongst others, the Organisation to review Assembly Resolution
A.890(21) on Principles of Safe Manning. This review may also lead
to amendments of regulation V/14.
\3\ As was in force on the date of adoption of this Code.
---------------------------------------------------------------------------
Control and Compliance Measures \4\
---------------------------------------------------------------------------
\4\ Refer to Further Work by the International Maritime
Organisation pertaining to Enhancement of Maritime Security, adopted
by the Conference on Maritime Security by resolution 3, inviting,
amongst others, the Organisation to review Assembly Resolutions
A.787(19) and A.822(21).
---------------------------------------------------------------------------
General
4.29 Regulation XI-2/9 describes the control and compliance
measures applicable to ships under chapter XI-2. It is divided into
three distinct sections; control of ships already in a port, control
of ships intending to enter a port of another Contracting
Government, and additional provisions applicable to both situations.
4.30 Regulation XI-2/9.1, control of ships in port, implements a
system for the control of ships while in the port of a foreign
country where duly authorised officers of the Contracting Government
(duly authorized officers) have the right to go on board the ship to
verify that the required certificates are in proper order. Then if
there are clear grounds to believe the ship does not comply, control
measures such as additional inspections or detention may be taken.
This reflects current control systems.\5\
---------------------------------------------------------------------------
\5\ See regulation I/19 and regulation IX/6.2 of SOLAS 74 as
amended, article 21 of LOADLINE 66 as modified by the 1988 LOADLINE
Protocol, articles 5 and 6, regulation 8A of Annex I, regulation 15
of Annex II of MARPOL 73/78 as amended, article X of STCW 78 as
amended and IMO Assembly Resolutions A.787(19) and A.882(21).
---------------------------------------------------------------------------
Regulation XI-2/9.1 builds on such systems and allows for
additional measures (including expulsion of a ship from a port to be
taken as a control measure) when duly authorized officers have clear
grounds for believing that a ship is in non-compliance with the
requirements of chapter XI-2 or part A of this Code. Regulation XI-
2/9.3 describes the safeguards that promote fair and proportionate
implementation of these additional measures.
4.31 Regulation XI-2/9.2 applies control measures to ensure
compliance to ships intending to enter a port of another Contracting
Government and introduces an entirely different concept of control
within chapter XI-2, applying to security only. Under this
regulation measures may be implemented prior to the ship entering
port, to better ensure security. Just as in regulation XI-2/9.1,
this additional control system is based on the concept of clear
grounds for believing the ship does not comply with chapter XI-2 or
part A of this Code, and includes significant safeguards in
regulations XI-2/9.2.2 and XI-2/9.2.5 as well as in regulation XI-2/
9.3.
4.32 Clear grounds that the ship is not in compliance means
evidence or reliable information that the ship does not correspond
with the requirements of chapter XI-2 or part A of this Code, taking
into account the guidance given in this part of the Code. Such
evidence or reliable information may arise from the duly authorized
officer's professional judgement or observations gained while
verifying the ship's International Ship Security Certificate or
Interim International Ship Security Certificate issued in accordance
with part A of this Code (certificate) or from other sources. Even
if a valid certificate is on board the ship, the duly authorized
officers may still have clear grounds for believing that the ship is
not in compliance based on their professional judgment.
4.33 Examples of possible clear grounds under regulations XI-2/
9.1 and XI-2/9.2 may include, when relevant:
.1 Evidence from a review of the certificate that it is not
valid or it has expired;
.2 Evidence or reliable information that serious deficiencies
exist in the security equipment, documentation or arrangements
required by chapter XI-2 and part A of this Code;
.3 Receipt of a report or complaint which, in the professional
judgment of the duly authorized officer, contains reliable
information clearly indicating that the ship does not comply with
the requirements of chapter XI-2 or part A of this Code;
.4 Evidence or observation gained by a duly authorized officer
using professional judgment that the master or ship's personnel is
not familiar with essential shipboard security procedures or cannot
carry out drills related to the security of the ship or that such
procedures or drills have not been carried out;
.5 Evidence or observation gained by a duly authorized officer
using professional judgment that key members ship's personnel are
not able to establish proper communication with any other key
members of ship's personnel with security responsibilities on board
the ship;
.6 Evidence or reliable information that the ship has embarked
persons, or loaded stores or goods at a port facility or from
another ship where either the port facility or the other ship is in
violation of chapter XI-2 or part A of this Code, and the ship in
question has not completed a Declaration of Security, nor taken
appropriate, special or additional security measures or has not
maintained appropriate ship security procedures;
.7 Evidence or reliable information that the ship has embarked
persons, or loaded stores or goods at a port facility or from
another source (e.g., another ship or helicopter transfer) where
either the port facility or the other source is not required to
comply with chapter XI-2 or part A of this Code, and the ship has
not taken appropriate, special or additional security measures or
has not maintained appropriate security procedures; and
.8 If the ship holds a subsequent, consecutively issued Interim
International Ship Security Certificate as described in section A/
19.4, and if, in the professional judgment of an officer duly
authorized, one of the purposes of the ship or a Company in
requesting such certificate is to avoid full compliance with chapter
XI-2 and part A of this Code beyond the period of the initial
interim certificate as described in section A/19.4.4.
4.34 The international law implications of regulation XI-2/9 are
particularly relevant, and the regulation should be implemented with
regulation XI-2/2.4 in mind, as the potential exists for situations
where either measures will be taken which fall outside the scope of
chapter XI-2, or where rights of affected ships, outside chapter XI-
2, should be considered. Thus, regulation XI-2/9 does not prejudice
the Contracting Government from taking measures having a basis in,
and consistent with, international law, to ensure the safety or
security of people, ships, port facilities and other property in
cases where the ship, although in compliance with chapter XI-2 and
part A of this Code, is still considered to present a security risk.
4.35 When a Contracting Government imposes control measures on a
ship, the Administration should, without delay, be contacted with
sufficient information to enable the Administration to fully liaise
with the Contracting Government.
Control of Ships in Port
4.36 Where the non-compliance is either a defective item of
equipment or faulty documentation leading to the ship's detention
and the non-compliance cannot be remedied in the port of inspection,
the Contracting Government may allow the ship to sail to another
port provided that any conditions agreed between the port States and
the Administration or master are met.
[[Page 79768]]
Ships Intending To Enter the Port of Another Contracting Government
4.37 Regulation XI-2/9.2.1 lists the information Contracting
Governments may require from a ship as a condition of entry into
port. One item of information listed is confirmation of any special
or additional measures taken by the ship during its last ten calls
at a port facility. Examples could include:
.1 Records of the measures taken while visiting a port facility
located in the territory of a State which is not a Contracting
Government especially those measures that would normally have been
provided by port facilities located in the territories of
Contracting Governments; and
.2 Any Declarations of Security that were entered into with port
facilities or other ships.
4.38 Another item of information listed, that may be required as
a condition of entry into port, is confirmation that appropriate
ship security procedures were maintained during ship-to-ship
activity conducted within the period of the last 10 calls at a port
facility. It would not normally be required to include records of
transfers of pilots, customs, immigration, security officials nor
bunkering, lightering, loading of supplies and unloading of waste by
ship within port facilities as these would normally fall within the
auspices of the Port Facility Security Plan. Examples of information
that might be given include:
.1 Records of the measures taken while engaged in a ship to ship
activity with a ship flying the flag of a State which is not a
Contracting Government especially those measures that would normally
have been provided by ships flying the flag of Contracting
Governments;
.2 Records of the measures taken while engaged in a ship to ship
activity with a ship that is flying the flag of a Contracting
Government but is not required to comply with the provisions of
chapter XI-2 and part A of this Code such as a copy of any security
certificate issued to that ship under other provisions; and
.3 In the event that persons or goods rescued at sea are on
board, all known information about such persons or goods, including
their identities when known and the results of any checks run on
behalf of the ship to establish the security status of those
rescued. It is not the intention of chapter XI-2 or part A of this
Code to delay or prevent the delivery of those in distress at sea to
a place of safety. It is the sole intention of chapter XI-2 and part
A of this Code to provide States with enough appropriate information
to maintain their security integrity.
4.39 Examples of other practical security related information
that may be required as a condition of entry into port in order to
assist with ensuring the safety and security of persons, port
facilities, ships and other property include:
.1 Information contained in the Continuous Synopsis Record;
.2 Location of the ship at the time the report is made;
.3 Expected time of arrival of the ship in port;
.4 Crew list;
.5 General description of cargo aboard the ship;
.6 Passenger list; and
.7 Information required to be carried under regulation XI-2/10.
4.40 Regulation XI-2/9.2.5 allows the master of a ship, upon
being informed that the coastal or port State will implement control
measures under regulation XI-2/9.2, to withdraw the intention for
the ship to enter port. If the master withdraws that intention,
regulation XI-2/9 no longer applies, and any other steps that are
taken must be based on, and consistent with, international law.
Additional Provisions
4.41 In all cases where a ship is denied entry or expelled from
a port, all known facts should be communicated to the authorities of
relevant States. This communication should consist of the following
when known:
.1 Name of ship, its flag, the ship's identification number,
call sign, ship type and cargo;
.2 Reason for denying entry or expulsion from port or port
areas;
.3 If relevant, the nature of any security non-compliance;
.4 If relevant, details of any attempts made to rectify any non-
compliance, including any conditions imposed on the ship for the
voyage;
.5 Past port(s) of call and next declared port of call;
.6 Time of departure and likely estimated time of arrival at
those ports;
.7 Any instructions given to ship, e.g., reporting on route;
.8 Available information on the security level at which the ship
is currently operating;
.9 Information regarding any communications the port State has
had with the Administration;
.10 Contact point within the port State making the report for
the purpose of obtaining further information;
.11 Crew list; and
.12 Any other relevant information.
4.42 Relevant States to contact should include those along the
ship's intended passage to its next port, particularly if the ship
intends to enter the territorial sea of that coastal State. Other
relevant States could include previous ports of call, so that
further information might be obtained and security issues relating
to the previous ports resolved.
4.43 In exercising control and compliance measures, the duly
authorized officers should ensure that any measures or steps imposed
are proportionate. Such measures or steps should be reasonable and
of the minimum severity and duration necessary to rectify or
mitigate the non-compliance.
4.44 The word ``delay'' in regulation XI-2/9.3.3.1 also refers
to situations where, pursuant to actions taken under this
regulation, the ship is unduly denied entry into port or the ship is
unduly expelled from port.
Non-Party Ships and Ships Below Convention Size
4.45 With respect to ships flying the flag of a State which is
not a Contracting Government to the Convention and not a Party to
the 1988 SOLAS Protocol \6\, Contracting Governments should not give
more favourable treatment to such ships. Accordingly, the
requirements of regulation XI-2/9 and the guidance provided in this
Part of the Code should be applied to those ships.
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\6\ Protocol of 1988 relating to the International Convention
for the Safety of Life at Sea, 1974.
---------------------------------------------------------------------------
4.46 Ships below Convention size are subject to measures by
which States maintain security. Such measures should be taken with
due regard to the requirements in chapter XI-2 and the guidance
provided in this Part of the Code.
5 Declaration of Security
General
5.1 A Declaration of Security (DoS) should be completed when the
Contracting Government of the port facility deems it to be necessary
or when a ship deems it necessary.
5.1.1 The need for a DoS may be indicated by the results of the
Port Facility Security Assessment (PFSA) and the reasons and
circumstances in which a DoS is required should be set out in the
Port Facility Security Plan (PFSP).
5.1.2 The need for a DoS may be indicated by an Administration
for ships entitled to fly its flag or as a result of a ship security
assessment and should be set out in the ship security plan.
5.2 It is likely that a DoS will be requested at higher security
levels, when a ship has a higher security level than the port
facility, or another ship with which it interfaces, and for ship/
port interface or ship to ship activities that pose a higher risk to
persons, property or the environment for reasons specific to that
ship, including its cargo or passengers or the circumstances at the
port facility or a combination of these factors.
5.2.1 In the case that a ship or an Administration, on behalf of
ships entitled to fly its flag, requests completion of a DoS, the
Port Facility Security Officer (PFSO) or Ship Security Officer (SSO)
should acknowledge the request and discuss appropriate security
measures.
5.3 A PFSO may also initiate a DoS prior to ship/port interfaces
that are identified in the approved PFSA as being of particular
concern. Examples may include the embarking or disembarking
passengers, and the transfer, loading or unloading of dangerous
goods or hazardous substances.
The PFSA may also identify facilities at or near highly
populated areas or economically significant operations that warrant
a DoS.
5.4 The main purpose of a DoS is to ensure agreement is reached
between the ship and the port facility or with other ships with
which it interfaces as to the respective security measures each will
undertake in accordance with the provisions of their respective
approved security plans.
5.4.1 The agreed DoS should be signed and dated by both the port
facility and the ship(s), as applicable, to indicate compliance with
chapter XI-2 and part A of this Code and should include its
duration, the relevant security level, or levels and the contact
points.
[[Page 79769]]
5.4.2 A change in the security level may require that a new or
revised DoS be completed.
5.5 The DoS should be completed in English, French or Spanish or
in a language common to both the port facility and the ship or the
ships, as applicable.
5.6 A model DoS is included in Appendix 1 to this part of the
Code.
6 Obligations of the Company
6.1 Regulation XI-2/5 requires the company to provide the master
of the ship with information to meet the requirements of the Company
under the provisions of this regulation. This information should
include items such as:
.1 Parties responsible for appointing shipboard personnel, such
as ship management companies, manning agents, contractors,
concessionaries, for example, retail sales outlets, casinos etc;
.2 Parties responsible for deciding the employment of the ship
including, time or bareboat charterer(s) or any other entity acting
in such capacity; and
.3 In cases when the ship is employed under the terms of a
charter party, the contact details of those parties including time
or voyage charterers
6.2 In accordance with regulation XI-2/5 the Company is obliged
to update and keep this information current as and when changes
occur.
6.3 This information should be in English, French or Spanish
language.
6.4 With respect to ships constructed before July 1, 2004, this
information should reflect the actual condition on that date.
6.5 With respect to ships constructed on or after July 1, 2004,
and for ships constructed before July 1, 2004, which were out of
service on July 1, 2004, the information should be provided as from
the date of entry of the ship into service and should reflect the
actual condition on that date.
6.6 After July 1, 2004, when a ship is withdrawn from service
the information should be provided as from the date of re-entry of
the ship into service and should reflect the actual condition on
that date.
6.7 Previously provided information that does not relate to the
actual condition on that date need not be retained on board.
6.8 When the responsibility for the operation of the ship is
assumed by another Company, the information relating to the Company,
which operated the ship, are not required to be left on board.
In addition other relevant guidance is provided under sections
8, 9 and 13.
7 Ship Security
Relevant guidance is provided under sections 8, 9 and 13.
8 Ship Security Assessment
Security Assessment
8.1 The Company Security Officer (CSO) is responsible for
ensuring that a Ship Security Assessment (SSA) is carried out for
each of the ships in the Company's fleet which is required to comply
with the provisions of chapter XI-2 and part A of this Code for
which the CSO is responsible. While the CSO need not necessarily
personally undertake all the duties associated with the post, the
ultimate responsibility for ensuring that they are properly
performed remains with the individual CSO.
8.2 Prior to commencing the SSA, the CSO should ensure that
advantage is taken of information available on the assessment of
threat for the ports at which the ship will call or at which
passengers embark or disembark and about the port facilities and
their protective measures. The CSO should study previous reports on
similar security needs.
Where feasible, the CSO should meet with appropriate persons on
the ship and in the port facilities to discuss the purpose and
methodology of the assessment.
The CSO should follow any specific guidance offered by the
Contracting Governments.
8.3 A SSA should address the following elements on board or
within the ship:
.1 Physical security;
.2 Structural integrity;
.3 Personnel protection systems;
.4 Procedural policies;
.5 Radio and telecommunication systems, including computer
systems and networks;
.6 Other areas that may, if damaged or used for illicit
observation, pose a risk to people, property, or operations on board
the ship or within a port facility.
8.4 Those involved in a SSA should be able to draw upon expert
assistance in relation to:
.1 Knowledge of current security threats and patterns;
.2 Recognition and detection of weapons, dangerous substances
and devices;
.3 Recognition, on a non-discriminatory basis, of
characteristics and behavioural patterns of persons who are likely
to threaten security;
.4 Techniques used to circumvent security measures;
.5 Methods used to cause a security incident;
.6 Effects of explosives on ship's structures and equipment;
.7 Ship security;
.8 Ship/port interface business practices;
.9 Contingency planning, emergency preparedness and response;
.10 Physical security;
.11 Radio and telecommunications systems, including computer
systems and networks;
.12 Marine engineering; and
.13 Ship and port operations.
8.5 The CSO should obtain and record the information required to
conduct an assessment, including:
.1 The general layout of the ship;
.2 The location of areas which should have restricted access,
such as navigation bridge, machinery spaces of category A and other
control stations as defined in chapter II-2, etc.;
.3 The location and function of each actual or potential access
point to the ship;
.4 Changes in the tide which may have an impact on the
vulnerability or security of the ship;
.5 The cargo spaces and stowage arrangements;
.6 The locations where the ship's stores and essential
maintenance equipment is stored;
.7 The locations where unaccompanied baggage is stored;
.8 The emergency and stand-by equipment available to maintain
essential services;
.9 The number of ship's personnel, any existing security duties
and any existing training requirement practises of the Company;
.10 Existing security and safety equipment for the protection of
passengers and ship's personnel;
.11 Escape and evacuation routes and assembly stations which
have to be maintained to ensure the orderly and safe emergency
evacuation of the ship;
.12 Existing agreements with private security companies
providing ship/waterside security services; and
.13 Existing security measures and procedures in effect,
including inspection and, control procedures, identification
systems, surveillance and monitoring equipment, personnel
identification documents and communication, alarms, lighting, access
control and other appropriate systems.
8.6 The SSA should examine each identified point of access,
including open weather decks, and evaluate its potential for use by
individuals who might seek to breach security. This includes points
of access available to individuals having legitimate access as well
as those who seek to obtain unauthorized entry.
8.7 The SSA should consider the continuing relevance of the
existing security measures and guidance, procedures and operations,
under both routine and emergency conditions and should determine
security guidance including:
.1 The restricted areas;
.2 The response procedures to fire or other emergency
conditions;
.3 The level of supervision of the ship's personnel, passengers,
visitors, vendors, repair technicians, dock workers, etc.;
.4 The frequency and effectiveness of security patrols;
.5 The access control systems, including identification systems;
.6 The security communications systems and procedures;
.7 The security doors, barriers and lighting; and
.8 The security and surveillance equipment and systems, if any.
8.8 The SSA should consider the persons, activities, services
and operations that it is important to protect. This includes:
.1 The ship's personnel;
.2 Passengers, visitors, vendors, repair technicians, port
facility personnel, etc;
.3 The capacity to maintain safe navigation and emergency
response;
.4 The cargo, particularly dangerous goods or hazardous
substances;
.5 The ship's stores;
.6 The ship security communication equipment and systems, if
any; and
.7 The ship's security surveillance equipment and systems, if
any.
8.9 The SSA should consider all possible threats, which may
include the following types of security incidents:
[[Page 79770]]
.1 Damage to, or destruction of, the ship or of a port facility,
e.g. by explosive devices, arson, sabotage or vandalism;
.2 Hijacking or seizure of the ship or of persons on board;
.3 Tampering with cargo, essential ship equipment or systems or
ship's stores;
.4 Unauthorized access or use, including presence of stowaways;
.5 Smuggling weapons or equipment, including weapons of mass
destruction;
.6 Use of the ship to carry those intending to cause a security
incident and/or their equipment;
.7 Use of the ship itself as a weapon or as a means to cause
damage or destruction;
.8 Attacks from seaward whilst at berth or at anchor; and
.9 Attacks whilst at sea.
8.10 The SSA should take into account all possible
vulnerabilities, which may include:
.1 Conflicts between safety and security measures;
.2 Conflicts between shipboard duties and security assignments;
.3 Watch-keeping duties, number of ship's personnel,
particularly with implications on crew fatigue, alertness and
performance;
.4 Any identified security training deficiencies; and
.5 Any security equipment and systems, including communication
systems.
8.11 The CSO and SSO should always have regard to the effect
that security measures may have on ship's personnel who will remain
on the ship for long periods. When developing security measures,
particular consideration should be given to the convenience, comfort
and personal privacy of the ship's personnel and their ability to
maintain their effectiveness over long periods.
8.12 Upon completion of the SSA, a report shall be prepared,
consisting of a summary of how the assessment was conducted, a
description of each vulnerability found during the assessment and a
description of counter measures that could be used to address each
vulnerability. The report shall be protected from unauthorized
access or disclosure.
8.13 If the SSA has not been carried out by the Company the
report of the SSA should be reviewed and accepted by the CSO.
On-scene Security Survey
8.14 The on-scene security survey is an integral part of any
SSA. The on-scene security survey should examine and evaluate
existing shipboard protective measures, procedures and operations
for:
.1 Ensuring the performance of all ship security duties;
.2 Monitoring restricted areas to ensure that only authorized
persons have access;
.3 Controlling access to the ship, including any identification
systems;
.4 Monitoring of deck areas and areas surrounding the ship;
.5 Controlling the embarkation of persons and their effects
(accompanied and unaccompanied baggage and ship's personnel personal
effects);
.6 Supervising the handling of cargo and the delivery of ship's
stores; and
.7 Ensuring that ship security communication, information, and
equipment are readily available.
9 Ship Security Plan
General
9.1 The Company Security Officer (CSO) has the responsibility of
ensuring that a Ship Security Plan (SSP) is prepared and submitted
for approval. The content of each individual SSP should vary
depending on the particular ship it covers. The Ship Security
Assessment (SSA) will have identified the particular features of the
ship and the potential threats and vulnerabilities. The preparation
of the SSP will require these features to be addressed in detail.
Administrations may prepare advice on the preparation and content of
a SSP.
9.2 All SSPs should:
.1 Detail the organizational structure of security for the ship;
.2 Detail the ship's relationships with the Company, port
facilities, other ships and relevant authorities with security
responsibility;
.3 Detail the communication systems to allow effective
continuous communication within the ship and between the ship and
others, including port facilities;
.4 Detail the basic security measures for security level 1, both
operational and physical, that will always be in place;
.5 Detail the additional security measures that will allow the
ship to progress without delay to security level 2 and, when
necessary, to security level 3;
.6 Provide for regular review, or audit, of the SSP and for its
amendment in response to experience or changing circumstances; and
.7 Reporting procedures to the appropriate Contracting
Governments contact points.
9.3 Preparation of an effective SSP should rest on a thorough
assessment of all issues that relate to the security of the ship,
including, in particular, a thorough appreciation of the physical
and operational characteristics, including the voyage pattern, of
the individual ship.
9.4 All SSPs should be approved by, or on behalf of, the
Administration. If an Administration uses a Recognised Security
Organisation (RSO) to review or approve the SSP the RSO should not
be associated with any other RSO that prepared, or assisted in the
preparation of, the plan.
9.5 CSOs and Ship Security Officers (SSOs) should develop
procedures to:
.1 Assess the continuing effectiveness of the SSP; and
.2 Prepare amendments of the plan subsequent to its approval.
9.6 The security measures included in the SSP should be in place
when the initial verification for compliance with the requirements
of chapter XI-2 and Part A of this Code will be carried out.
Otherwise the process of issue to the ship of the required
International Ship Security Certificate cannot be carried out.
If there is any subsequent failure of security equipment or
systems, or suspension of a security measure for whatever reason,
equivalent temporary security measures should be adopted, notified
to, and agreed by, the Administration.
Organization and Performance of Ship Security Duties
9.7 In addition to the guidance given in section 9.2, the SSP
should establish the following which relate to all security levels:
.1 The duties and responsibilities of all shipboard personnel
with a security role;
.2 The procedures or safeguards necessary to allow such
continuous communications to be maintained at all times;
.3 The procedures needed to assess the continuing effectiveness
of security procedures and any security and surveillance equipment
and systems, including procedures for identifying and responding to
equipment or systems failure or malfunction;
.4 The procedures and practices to protect security sensitive
information held in paper or electronic format;
.5 The type and maintenance requirements, of security and
surveillance equipment and systems, if any;
.6 The procedures to ensure the timely submission, and
assessment, of reports relating to possible breaches of security or
security concerns; and
.7 Procedures to establish, maintain and up-date an inventory of
any dangerous goods or hazardous substances carried on board,
including their location.
9.8 The remainder of this section addresses specifically the
security measures that could be taken at each security level
covering:
.1 Access to the Ship by ship's personnel, passengers, visitors,
etc;
.2 Restricted Areas on the Ship;
.3 Handling of Cargo;
.4 Delivery of Ship's Stores;
.5 Handling Unaccompanied Baggage; and
.6 Monitoring the Security of the Ship.
Access to the Ship
9.9 The SSP should establish the security measures covering all
means of access to the ship identified in the SSA. This should
include any:
.1 Access ladders;
.2 Access gangways;
.3 Access ramps;
.4 Access doors, side scuttles, windows and ports;
.5 Mooring lines and anchor chains; and
.6 Cranes and hoisting gear.
9.10 For each of these the SSP should identify the appropriate
locations where access restrictions or prohibitions should be
applied for each of the security levels. For each security level the
SSP should establish the type of restriction or prohibition to be
applied and the means of enforcing them.
9.11 The SSP should establish for each security level the means
of identification required to allow access to the ship and for
individuals to remain on the ship without challenge, this may
involve developing an appropriate identification system allowing for
permanent and temporary identifications, for ship's personnel and
visitors respectively.
Any ship identification system should, when it is practicable to
do so, be co-ordinated with that applying to the port facility.
Passengers should be able to prove their identity by boarding
passes, tickets, etc., but
[[Page 79771]]
should not be permitted access to restricted areas unless
supervised.
The SSP should establish provisions to ensure that the
identification systems are regularly updated, and that abuse of
procedures should be subject to disciplinary action.
9.12 Those unwilling or unable to establish their identity and/
or to confirm the purpose of their visit when requested to do so
should be denied access to the ship and their attempt to obtain
access should be reported, as appropriate, to the SSOs, the CSOs,
the Port Facility Security Officer (PFSO) and to the national or
local authorities with security responsibilities.
9.13 The SSP should establish the frequency of application of
any access controls particularly if they are to be applied on a
random, or occasional, basis.
Security Level 1
9.14 At security level 1, the SSP should establish the security
measures to control access to the ship, where the following may be
applied:
.1 Checking the identity of all persons seeking to board the
ship and confirming their reasons for doing so by checking, for
example, joining instructions, passenger tickets, boarding passes,
work orders etc;
.2 In liaison with the port facility the ship should ensure that
designated secure areas are established in which inspections and
searching of people, baggage (including carry on items), personal
effects, vehicles and their contents can take place;
.3 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;
.4 Segregating checked persons and their personal effects from
unchecked persons and their personal effects;
.5 Segregating embarking from disembarking passengers;
.6 Identification of access points that should be secured or
attended to prevent unauthorized access;
.7 Securing, by locking or other means, access to unattended
spaces adjoining areas to which passengers and visitors have access;
and
.8 Providing security briefings to all ship personnel on
possible threats, the procedures for reporting suspicious persons,
objects or activities and the need for vigilance.
9.15 At security level 1, all those seeking to board a ship
should be liable to search. The frequency of such searches,
including random searches, should be specified in the approved SSP
and should be specifically approved by the Administration. Such
searches may best be undertaken by the port facility in close co-
operation with the ship and in close proximity to it.
Unless there are clear security grounds for doing so, members of
the ship's personnel should not be required to search their
colleagues or their personal effects.
Any such search shall be undertaken in a manner which fully
takes into account the human rights of the individual and preserves
their basic human dignity.
Security Level 2
9.16 At security level 2, the SSP should establish the security
measures to be applied to protect against a heightened risk of a
security incident to ensure higher vigilance and tighter control,
which may include:
.1 Assigning additional personnel to patrol deck areas during
silent hours to deter unauthorised access;
.2 Limiting the number of access points to the ship, identifying
those to be closed and the means of adequately securing them;
.3 Deterring waterside access to the ship, including, for
example, in liaison with the port facility, provision of boat
patrols;
.4 Establishing a restricted area on the shore-side of the ship,
in close co-operation with the port facility;
.5 Increasing the frequency and detail of searches of people,
personal effects, and vehicles being embarked or loaded onto the
ship;
.6 Escorting visitors on the ship;
.7 Providing additional specific security briefings to all ship
personnel on any identified threats, re-emphasising the procedures
for reporting suspicious persons, objects, or activities and the
stressing the need for increased vigilance; and
.8 Carrying out a full or partial search of the ship.
Security Level 3
9.17 At security level 3, the ship should comply with the
instructions issued by those responding to the security incident or
threat thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:
.1 Limiting access to a single, controlled, access point;
.2 Granting access only to those responding to the security
incident or threat thereof;
.3 Directions of persons on board;
.4 Suspension of embarkation or disembarkation;
.5 Suspension of cargo handling operations, deliveries etc;
.6 Evacuation of the ship;
.7 Movement of the ship; and
.8 Preparing for a full or partial search of the ship.
Restricted Areas on the Ship
9.18 The SSP should identify the restricted areas to be
established on the ship, specify their extent, times of application,
the security measures to be taken to control access to them and
those to be taken to control activities within them. The purpose of
restricted areas are to:
.1 Prevent unauthorised access;
.2 Protect passengers, ship's personnel, and personnel from port
facilities or other agencies authorised to be on board the ship;
.3 Protect sensitive security areas within the ship; and
.4 Protect cargo and ship's stores from tampering.
9.19 The SSP should ensure that there are clearly established
policies and practices to control access to all restricted areas
them.
9.20 The SSP should provide that all restricted areas should be
clearly marked indicating that access to the area is restricted and
that unauthorised presence within the area constitutes a breach of
security.
9.21 Restricted areas may include:
.1 Navigation bridge, machinery spaces of category A and other
control stations as defined in chapter II-2;
.2 Spaces containing security and surveillance equipment and
systems and their controls and lighting system controls;
.3 Ventilation and air-conditioning systems and other similar
spaces;
.4 Spaces with access to potable water tanks, pumps, or
manifolds;
.5 Spaces containing dangerous goods or hazardous substances;
.6 Spaces containing cargo pumps and their controls;
.7 Cargo spaces and spaces containing ship's stores;
.8 Crew accommodation; and
.9 Any other areas as determined by the CSO, through the SSA to
which access must be restricted to maintain the security of the
ship.
Security Level 1
9.22 At security level 1, the SSP should establish the security
measures to be applied to restricted areas, which may include:
.1 Locking or securing access points;
.2 Using surveillance equipment to monitor the areas;
.3 Using guards or patrols; and
.4 Using automatic intrusion detection devices to alert the
ship's personnel of unauthorized access.
Security Level 2
9.23 At security level 2, the frequency and intensity of the
monitoring of, and control of access to restricted areas should be
increased to ensure that only authorized persons have access. The
SSP should establish the additional security measures to be applied,
which may include:
.1 Establishing restricted areas adjacent to access points;
.2 Continuously monitoring surveillance equipment; and
.3 Dedicating additional personnel to guard and patrol
restricted areas.
Security Level 3
9.24 At security level 3, the ship should comply with the
instructions issued by those responding to the security incident or
threat thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operations with those
responding and the port facility, which may include:
.1 Setting up of additional restricted areas on the ship in
proximity to the security incident, or the believed location of the
security threat, to which access is denied; and
.2 Searching of restricted areas as part of a search of the
ship.
Handling of Cargo
9.25 The security measures relating to cargo handling should:
.1 Prevent tampering, and
.2 Prevent cargo that is not meant for carriage from being
accepted and stored on board the ship.
9.26 The security measures, some of which may have to be applied
in liaison with the port facility, should include inventory
[[Page 79772]]
control procedures at access points to the ship. Once on board the
ship, cargo should be capable of being identified as having been
approved for loading onto the ship. In addition, security measures
should be developed to ensure that cargo, once on board, is not
tampered with.
Security Level 1
9.27 At security level 1, the SSP should establish the security
measures to be applied during cargo handling, which may include:
.1 Routine checking of cargo, cargo transport units and cargo
spaces prior to, and during, cargo handling operations;
.2 Checks to ensure that cargo being loaded matches the cargo
documentation;
.3 Ensuring, in liaison with the port facility, that vehicles to
be loaded on board car-carriers, ro-ro and passenger ships are
subjected to search prior to loading, in accordance with the
frequency required in the SSP; and
.4 Checking of seals or other methods used to prevent tampering.
9.28 Checking of cargo may be accomplished by the following
means:
.1 Visual and physical examination; and
.2 Using scanning/detection equipment, mechanical devices, or
dogs.
9.29 When there are regular, or repeated, cargo movement the CSO
or SSO may, in consultation with the port facility, agree
arrangements with shippers or others responsible for such cargo
covering off-site checking, sealing, scheduling, supporting
documentation, etc. Such arrangements should be communicated to and
agreed with the PFSO concerned.
Security Level 2
9.30 At security level 2, the SSP should establish the
additional security measures to be applied during cargo handling,
which may include:
.1 Detailed checking of cargo, cargo transport units and cargo
spaces;
.2 Intensified checks to ensure that only the intended cargo is
loaded;
.3 Intensified searching of vehicles to be loaded on car-
carriers, ro-ro and passenger ships; and
.4 Increased frequency and detail in checking of seals or other
methods used to prevent tampering.
9.31 Detailed checking of cargo may be accomplished by the
following means:
.1 Increasing the frequency and detail of visual and physical
examination;
.2 Increasing the frequency of the use of scanning/detection
equipment, mechanical devices, or dogs; and
.3 Co-ordinating enhanced security measures with the shipper or
other responsible party in accordance with an established agreement
and procedures.
Security Level 3
9.32 At security level 3, the ship should comply with the
instructions issued by those responding to the security incident or
threat thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:
.1 Suspension of the loading or unloading of cargo; and
.2 Verify the inventory of dangerous goods and hazardous
substances carried on board, if any, and their location.
Delivery of Ship's Stores
9.33 The security measures relating to the delivery of ship's
stores should:
.1 Ensure checking of ship's stores and package integrity;
.2 Prevent ship's stores from being accepted without inspection;
.3 Prevent tampering; and
.4 Prevent ship's stores from being accepted unless ordered.
9.34 For ships regularly using the port facility it may be
appropriate to establish procedures involving the ship, its
suppliers and the port facility covering notification and timing of
deliveries and their documentation. There should always be some way
of confirming that stores presented for delivery are accompanied by
evidence that they have been ordered by the ship.
Security Level 1
9.35 At security level 1, the SSP should establish the security
measures to be applied during delivery of ship's stores, which may
include:
.1 Checking to ensure stores match the order prior to being
loaded on board; and
.2 Ensuring immediate secure stowage of ship's stores.
Security Level 2
9.36 At security level 2, the SSP should establish the
additional security measures to be applied during delivery of ship's
stores by exercising checks prior to receiving stores on board and
intensifying inspections.
Security Level 3
9.37 At security level 3, the ship should comply with the
instructions issued by those responding to the security incident or
threat thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:
.1 Subjecting ship's stores to more extensive checking;
.2 Preparation for restriction or suspension of handling of
ship's stores; and
.3 Refusal to accept ship's stores on board the ship.
Handling Unaccompanied Baggage
9.38 The SSP should establish the security measures to be
applied to ensure that unaccompanied baggage (i.e. any baggage,
including personal effects, which is not with the passenger or
member of ship's personnel at the point of inspection or search) is
identified and subjected to appropriate screening, including
searching, before it is accepted on board the ship.
It is not envisaged that such baggage will be subjected to
screening by both the ship and the port facility, and in cases where
both are suitably equipped, the responsibility for screening should
rest with the port facility.
Close co-operation with the port facility is essential and steps
should be taken to ensure that unaccompanied baggage is handled
securely after screening.
Security Level 1
9.39 At security level 1, the SSP should establish the security
measures to be applied when handling unaccompanied baggage to ensure
that unaccompanied baggage is screened or searched up to and
including 100 percent, which may include use of x-ray screening.
Security Level 2
9.40 At security level 2, the SSP should establish the
additional security measures to be applied when handling
unaccompanied baggage which should include 100 percent x-ray
screening of all unaccompanied baggage.
Security Level 3
9.41 At security level 3, the ship should comply with the
instructions issued by those responding to the security incident or
threat thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:
.1 Subjecting such baggage to more extensive screening, for
example x-raying it from at least two different angles;
.2 Preparation for restriction or suspension of handling of
unaccompanied baggage; and
.3 Refusal to accept unaccompanied baggage on board the ship.
Monitoring the Security of the Ship
9.42 The ship should have the capability to monitor the ship,
the restricted areas on board and areas surrounding the ship. Such
monitoring capabilities may include use of:
.1 Lighting;
.2 Watch-keepers, security guards and deck watches including
patrols, and
.3 Automatic intrusion detection devices and surveillance
equipment.
9.43 When used, automatic intrusion detection devices should
activate an audible and/or visual alarm at a location that is
continuously attended or monitored.
9.44 The SSP should establish the procedures and equipment
needed at each security level and the means of ensuring that
monitoring equipment will be able to perform continually, including
consideration of the possible effects of weather conditions or of
power disruptions.
Security Level 1
9.45 At security level 1, the SSP should establish the security
measures to be applied which may be a combination of lighting, watch
keepers, security guards or use of security and surveillance
equipment to allow ship's security personnel to observe the ship in
general, and barriers and restricted areas in particular.
9.46 The ship's deck and access points to the ship should be
illuminated during hours of darkness and periods of low visibility
while conducting ship/port interface activities or at a port
facility or anchorage when necessary.
While underway, when necessary, ships should use the maximum
lighting available consistent with safe navigation, having regard to
the provisions of the International Regulation for the Prevention of
Collisions at Sea in force.
The following should be considered when establishing the
appropriate level and location of lighting:
[[Page 79773]]
.1 The ship's personnel should be able to detect activities
beyond the ship, on both the shore side and the waterside;
.2 Coverage should include the area on and around the ship;
.3 Coverage should facilitate personnel identification at access
points; and
.4 Coverage may be provided through coordination with the port
facility.
Security Level 2
9.47 At security level 2, the SSP should establish the
additional security measures to be applied to enhance the monitoring
and surveillance capabilities, which may include:
.1 Increasing the frequency and detail of security patrols;
.2 Increasing the coverage and intensity of lighting or the use
of security and surveillance and equipment;
.3 Assigning additional personnel as security lookouts; and
.4 Ensuring coordination with waterside boat patrols, and foot
or vehicle patrols on the shore-side, when provided.
9.48 Additional lighting may be necessary to protect against a
heightened risk of a security incidents. When necessary, the
additional lighting requirements may be accomplished by coordinating
with the port facility to provide additional shore side lighting.
Security Level 3
9.49 At security level 3, the ship should comply with the
instructions issued by those responding to the security incident or
threat thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:
.1 Switching on of all lighting on, or illuminating the vicinity
of, the ship;
.2 Switching on of all on board surveillance equipment capable
of recording activities on, or in the vicinity of, the ship;
.3 Maximising the length of time such surveillance equipment can
continue to record;
.4 Preparation for underwater inspection of the hull of the
ship; and
.5 Initiation of measures, including the slow revolution of the
ship's propellers, if practicable, to deter underwater access to the
hull of the ship.
Differing Security Levels
9.50 The SSP should establish details of the procedures and
security measures the ship could adopt if the ship is at a higher
security level than that applying to a port facility.
Activities Not Covered by the Code
9.51 The SSP should establish details of the procedures and
security measures the ship should apply when:
.1 It is at a port of a State which is not a Contracting
Government;
.2 It is interfacing with a ship to which this Code does not
apply\7\;
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\7\ Refer to Further Work by the International Maritime
Organization pertaining to Enhancement of Maritime Security, adopted
by the Conference on Maritime Security by resolution 3.;
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.3 It is interfacing with fixed or floating platforms or a
mobile drilling unit on location; or
.4 It is interfacing with a port or port facility which is not
required to comply with chapter XI-2 and part A of this Code.
Declarations of Security
9.52 The SSP should detail how requests for DoS from a port
facility will be handled and the circumstances under which the ship
itself should request a DoS.
Audit and Review
9.53 The SSP should establish how the CSO and the SSO intend to
audit the continued effectiveness of the SSP and the procedure to be
followed to review, update or amend the SSP.
10 Records
10.1 Records should be available to duly authorized officers of
Contracting Governments to verify that the provisions of ship
security plans are being implemented.
10.2 Records may be kept in any format but should be protected
from unauthorized access or disclosure.
11 Company Security Officer
Relevant guidance is provided under sections 8, 9 and 13.
12 Ship Security Officer
Relevant guidance is provided under sections 8, 9 and 13.
13 Training, Drills and Exercises on Ship Security
13.1 The Company Security Officer (CSO) and appropriate shore
based Company personnel, and the Ship Security Officer (SSO), should
have knowledge of, and receive training, in some or all of the
following, as appropriate:
.1 Security administration;
.2 Relevant international conventions, codes and
recommendations;
.3 Relevant Government legislation and regulations;
.4 Responsibilities and functions of other security
organisations;
.5 Methodology of ship security assessment;
.6 Methods of ship security surveys and inspections;
.7 Ship and port operations and conditions;
.8 Ship and port facility security measures;
.9 Emergency preparedness and response and contingency planning;
.10 Instruction techniques for security training and education,
including security measures and procedures;
.11 Handling sensitive security related information and security
related communications;
.12 Knowledge of current security threats and patterns;
.13 Recognition and detection of weapons, dangerous substances
and devices;
.14 Recognition, on a non discriminatory basis, of
characteristics and behavioural patterns of persons who are likely
to threaten security;
.15 Techniques used to circumvent security measures;
.16 Security equipment and systems and their operational
limitations;
.17 Methods of conducting audits, inspection, control and
monitoring;
.18 Methods of physical searches and non-intrusive inspections;
.19 Security drills and exercises, including drills and
exercises with port facilities; and
.20 Assessment of security drills and exercises.
13.2 In addition the SSO should have adequate knowledge of, and
receive training, in some or all of the following, as appropriate:
.1 The layout of the ship;
.2 The ship security plan and related procedures (including
scenario-based training on how to respond);
.3 Crowd management and control techniques;
.4 Operations of security equipment and systems; and
.5 Testing, calibration and whilst at sea maintenance of
security equipment and systems.
13.3 Shipboard personnel having specific security duties should
have sufficient knowledge and ability to perform their assigned
duties, including, as appropriate:
.1 Knowledge of current security threats and patterns;
.2 Recognition and detection of weapons, dangerous substances
and devices;
.3 Recognition of characteristics and behavioural patterns of
persons who are likely to threaten security;
.4 Techniques used to circumvent security measures;
.5 Crowd management and control techniques;
.6 Security related communications;
.7 Knowledge of the emergency procedures and contingency plans;
.8 Operations of security equipment and systems;
.9 Testing, calibration and whilst at sea maintenance of
security equipment and systems,
.10 Inspection, control, and monitoring techniques; and
.11 Methods of physical searches of persons, personal effects,
baggage, cargo, and ship's stores.
13.4 All other shipboard personnel should have sufficient
knowledge of and be familiar with relevant provisions of the SSP,
including:
.1 The meaning and the consequential requirements of the
different security levels;
.2 Knowledge of the emergency procedures and contingency plans;
.3 Recognition and detection of weapons, dangerous substances
and devices;
.4 Recognition, on a non discriminatory basis, of
characteristics and behavioural patterns of persons who are likely
to threaten security; and
.5 Techniques used to circumvent security measures.
13.5 The objective of drills and exercises is to ensure that
shipboard personnel are proficient in all assigned security duties
at all security levels and the identification of any security
related deficiencies, which need to be addressed.
[[Page 79774]]
13.6 To ensure the effective implementation of the provisions of
the ship security plan, drills should be conducted at least once
every three months. In addition, in cases where more than 25 percent
of the ship's personnel 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. These drills should test individual elements
of the plan such as those security threats listed in paragraph 8.9.
13.7 Various types of exercises which may include participation
of company security officers, port facility security officers,
relevant authorities of Contracting Governments as well as ship
security officers, if available, 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. These exercises may be:
.1 Full scale or live;
.2 Tabletop simulation or seminar; or
.3 Combined with other exercises held such as search and rescue
or emergency response exercises.
13.8 Company participation in an exercise with another
Contracting Government should be recognised by the Administration.
14 Port Facility Security
Relevant guidance is provided under section 15, 16 and 18.
15 Port Facility Security Assessment
General
15.1 The Port Facility Security Assessment (PFSA) may be
conducted by a Recognized Security Organization (RSO).
However, approval of a completed PFSA should only be given by
the relevant Contracting Government.
15.2 If a Contracting Government uses a RSO, to review or verify
compliance of the PFSA, the RSO should not be associated with any
other RSO that prepared or assisted in the preparation of that
assessment.
15.3 A PFSA should address the following elements within a port
facility:
.1 Physical security;
.2 Structural integrity;
.3 Personnel protection systems;
.4 Procedural policies;
.5 Radio and telecommunication systems, including computer
systems and networks;
.6 Relevant transportation infrastructure;
.7 Utilities; and
.8 Other areas that may, if damaged or used for illicit
observation, pose a risk to people, property, or operations within
the port facility.
15.4 Those involved in a PFSA should be able to draw upon expert
assistance in relation to:
.1 Knowledge of current security threats and patterns;
.2 Recognition and detection of weapons, dangerous substances
and devices;
.3 Recognition, on a non-discriminatory basis, of
characteristics and behavioural patterns of persons who are likely
to threaten security;
.4 Techniques used to circumvent security measures;
.5 Methods used to cause a security incident;
.6 Effects of explosives on structures and port facility
services;
.7 Port facility security;
.8 Port business practices;
.9 Contingency planning, emergency preparedness and response;
.10 Physical security measures e.g. fences;
.11 Radio and telecommunications systems, including computer
systems and networks;
.12 Transport and civil engineering; and
.13 Ship and port operations.
Identification and evaluation of important assets and
infrastructure it is important to protect.
15.5 The identification and evaluation of important assets and
infrastructure is a process through which the relative importance of
structures and installations to the functioning of the port facility
can be established.
This identification and evaluation process is important because
it provides a basis for focusing mitigation strategies on those
assets and structures which it is more important to protect from a
security incident.
This process should take into account potential loss of life,
the economic significance of the port, symbolic value, and the
presence of Government installations.
15.6 Identification and evaluation of assets and infrastructure
should be used to prioritise their relative importance for
protection.
The primary concern should be avoidance of death or injury. It
is also important to consider whether the port facility, structure
or installation can continue to function without the asset, and the
extent to which rapid re-establishment of normal functioning is
possible.
15.7 Assets and infrastructure that should be considered
important to protect may include:
.1 Accesses, entrances, approaches, and anchorages, manoeuvring
and berthing areas;
.2 Cargo facilities, terminals, storage areas, and cargo
handling equipment;
.3 Systems such as electrical distribution systems, radio and
telecommunication systems and computer systems and networks;
.4 Port vessel traffic management systems and aids to
navigation;
.5 Power plants, cargo transfer piping, and water supplies;
.6 Bridges, railways, roads;
.7 Port service vessels, including pilot boats, tugs, lighters
etc;
.8 Security and surveillance equipment and systems; and
.9 The waters adjacent to the port facility.
15.8 The clear identification of assets and infrastructure is
essential to the evaluation of the port facility's security
requirements, the prioritisation of protective measures, and
decisions concerning the allocation of resources to better protect
the port facility.
The process may involve consultation with the relevant
authorities relating to structures adjacent to the port facility
which could cause damage within the facility or be used for the
purpose of causing damage to the facility or for illicit observation
of the facility or for diverting attention.
Identification of the possible threats to the assets and
infrastructure and the likelihood of their occurrence, in order to
establish and prioritise security measures.
15.9 Possible acts that could threaten the security of assets
and infrastructure, and the methods of carrying out those acts,
should be identified to evaluate the vulnerability of a given asset
or location to a security incident, and to establish and prioritise
security requirements to enable planning and resource allocations.
Identification and evaluation of each potential act and its
method should be based on various factors, including threat
assessments by Government agencies.
By identifying and assessing threats those conducting the
assessment do not have to rely on worst-case scenarios to guide
planning and resource allocations.
15.10 The PFSA should include an assessment undertaken in
consultation with the relevant national security organizations to
determine:
.1 Any particular aspects of the port facility, including the
vessel traffic using the facility, which make it likely to be the
target of an attack;
.2 The likely consequences in terms of loss of life, damage to
property, economic disruption, including disruption to transport
systems, of an attack on, or at, the port facility;
.3 The capability and intent of those likely to mount such an
attack; and
.4 The possible type, or types, of attack.
Producing an overall assessment of the level of risk against
which security measures have to be developed.
15.11 The PFSA should consider all possible threats, which may
include the following types of security incidents:
.1 Damage to, or destruction of, the port facility or of the
ship, e.g. by explosive devices, arson, sabotage or vandalism;
.2 Hijacking or seizure of the ship or of persons on board;
.3 Tampering with cargo, essential ship equipment or systems or
ship's stores;
.4 Unauthorised access or use including presence of stowaways;
.5 Smuggling weapons or equipment, including weapons of mass
destruction;
.6 Use of the ship to carry those intending to cause a security
incident and their equipment;
.7 Use of the ship itself as a weapon or as a means to cause
damage or destruction;
.8 Blockage; of port entrances, locks, approaches etc; and
.9 Nuclear, biological and chemical attack.
15.12 The process should involve consultation with the relevant
authorities relating to structures adjacent to the port facility
which could cause damage within the facility or be used for the
purpose of causing damage to the facility or for illicit observation
of the facility or for diverting attention.
Identification, selection, and prioritisation of countermeasures
and procedural changes and their level of effectiveness in reducing
vulnerability.
[[Page 79775]]
15.13 The identification and prioritisation of countermeasures
is designed to ensure that the most effective security measures are
employed to reduce the vulnerability of a port facility or ship/port
interface to the possible threats.
15.14 Security measures should be selected on the basis of
factors such as whether they reduce the probability of an attack and
should be evaluated using information that includes:
.1 Security surveys, inspections and audits;
.2 Consultation with port facility owners and operators, and
owners/operators of adjacent structures if appropriate;
.3 Historical information on security incidents; and
.4 Operations within the port facility.
Identification of Vulnerabilities
15.15 Identification of vulnerabilities in physical structures,
personnel protection systems, processes, or other areas that may
lead to a security incident can be used to establish options to
eliminate or mitigate those vulnerabilities. For example, an
analysis might reveal vulnerabilities in a port facility's security
systems or unprotected infrastructure such as water supplies,
bridges etc. that could be resolved through physical measures, e.g.
permanent barriers, alarms, surveillance equipment etc.
15.16 Identification of vulnerabilities should include
consideration of:
.1 Waterside and shore-side access to the port facility and
ships berthing at the facility;
.2 Structural integrity of the piers, facilities, and associated
structures;
.3 Existing security measures and procedures, including
identification systems;
.4 Existing security measures and procedures relating to port
services and utilities;
.5 Measures to protect radio and telecommunication equipment,
port services and utilities, including computer systems and
networks;
.6 Adjacent areas that may be exploited during, or for, an
attack;
.7 Existing agreements with private security companies providing
waterside/shore-side security services;
.8 Any conflicting policies between safety and security measures
and procedures;
.9 Any conflicting port facility and security duty assignments;
.10 Any enforcement and personnel constraints;
.11 Any deficiencies identified during training and drills; and
.12 Any deficiencies identified during daily operation,
following incidents or alerts, the report of security concerns, the
exercise of control measures, audits etc.
16 Port Facility Security Plan
General
16.1 Preparation of the Port Facility Security Plan (PFSP) is
the responsibility of the Port Facility Security Officer (PFSO).
While the PFSO need not necessarily personally undertake all the
duties associated with the post the ultimate responsibility for
ensuring that they are properly performed remains with the
individual PFSO.
16.2 The content of each individual PFSP should vary depending
on the particular circumstances of the port facility, or facilities,
it covers.
The Port Facility Security (PFSA) will have identified the
particular features of the port facility, and of the potential
security risks, that have led to the need to appoint a PFSO and to
prepare a PFSP.
The preparation of the PFSP will require these features, and
other local or national security considerations, to be addressed in
the PFSP and for appropriate security measures to be established so
as to minimise the likelihood of a breach of security and the
consequences of potential risks.
Contracting Governments may prepare advice on the preparation
and content of a PFSP.
16.3 All PFSPs should:
.1 Detail the security organisation of the port facility,
.2 The organisation's links with other relevant authorities and
the necessary communication systems to allow the effective
continuous operation of the organisation and its links with others,
including ships in port;
.3 Detail the basic security level 1 measures, both operational
and physical, that will be in place;
.4 Detail the additional security measures that will allow the
port facility to progress without delay to security level 2 and,
when necessary, to security level 3;
.5 Provide for regular review, or audit, of the PFSP and for its
amendments in response to experience or changing circumstances; and
.6 Reporting procedures to the appropriate Contracting
Governments contact points.
16.4 Preparation of an effective PFSP will rest on a thorough
assessment of all issues that relate to the security of the port
facility, including, in particular, a thorough appreciation of the
physical and operational characteristics of the individual port
facility.
16.5 Contracting Government should approve the PFSPs of the port
facilities under their jurisdiction.
Contracting Governments should develop procedures to assess the
continuing effectiveness of each PFSP and may require amendment of
the PFSP prior to its initial approval or subsequent to its
approval.
The PFSP should make provision for the retention of records of
security incidents and threats, reviews, audits, training, drills
and exercises as evidence of compliance with those requirements.
16.6 The security measures included in the PFSP should be in
place within a reasonable period of the PFSP's approval and the PFSP
should establish when each measure will be in place.
If there is likely to be any delay in their provision this
should be discussed with the Contracting Government responsible for
approval of the PFSP and satisfactory alternative temporary security
measures that provide an equivalent level of security should be
agreed to cover any interim period.
16.7 The use of firearms on or near ships and in port facilities
may pose particular and significant safety risks, in particular in
connection with certain dangerous or hazardous substances and should
be considered very carefully.
In the event that a Contracting Government decides that it is
necessary to use armed personnel in these areas, that Contracting
Government should ensure that these personnel are duly authorised
and trained in the use of their weapons and that they are aware of
the specific risks to safety that are present in these areas.
If a Contracting Government authorizes the use of firearms they
should issue specific safety guidelines on their use.
The PFSP should contain specific guidance on this matter in
particular with regard its application to ships carrying dangerous
goods or hazardous substances.
Organization and Performance of Port Facility Security Duties
16.8 In addition to the guidance given under section 16.3, the
PFSP should establish the following which relate to all security
levels:
.1 The role and structure of the port facility security
organisation;
.2 The duties, responsibilities and training requirements of all
port facility personnel with a security role and the performance
measures needed to allow their individual effectiveness to be
assessed;
.3 The port facility security organisation's links with other
national or local authorities with security responsibilities;
.4 The communication systems provided to allow effective and
continuous communication between port facility security personnel,
ships in port and, when appropriate, with national or local
authorities with security responsibilities;
.5 The procedures or safeguards necessary to allow such
continuous communications to be maintained at all times;
.6 The procedures and practices to protect security sensitive
information held in paper or electronic format;
.7 The procedures to assess the continuing effectiveness of
security measures, procedures and equipment, including
identification of, and response to, equipment failure or
malfunction;
.8 The procedures to allow the submission, and assessment, of
reports relating to possible breaches of security or security
concerns;
.9 Procedures relating to cargo handling;
.10 Procedures covering the delivery of ship's stores;
.11 The procedures to maintain, and update, records of dangerous
goods and hazardous substances and their location within the port
facility;
.12 The means of alerting and obtaining the services of
waterside patrols and specialist search teams, including bomb
searches and underwater searches;
.13 The procedures for assisting ship security officers in
confirming the identity of those seeking to board the ship when
requested; and
.14 The procedures for facilitating shore leave for ship's
personnel or personnel changes, as well as access of visitors to the
ship including representatives of seafarers' welfare and labour
organisations.
16.9 The remainder of this section addresses specifically the
security measures
[[Page 79776]]
that could be taken at each security level covering:
.1 Access to the Port Facility;
.2 Restricted Areas within the Port Facility;
.3 Handling of Cargo;
.4 Delivery of Ship's Stores;
.5 Handling Unaccompanied Baggage; and
.6 Monitoring the Security of the Port Facility.
Access to the Port Facility
16.10 The PFSP should establish the security measures covering
all means of access to the port facility identified in the PFSA.
16.11 For each of these the PFSP should identify the appropriate
locations where access restrictions or prohibitions should be
applied for each of the security levels. For each security level the
PFSP should specify the type of restriction or prohibition to be
applied and the means of enforcing them.
16.12 The PFSP should establish for each security level the
means of identification required to allow access to the port
facility and for individuals to remain within the port facility
without challenge, this may involve developing an appropriate
identification system allowing for permanent and temporary
identifications, for port facility personnel and for visitors
respectively.
Any port facility identification system should, when it is
practicable to do so, be co-ordinated with that applying to ships
that regularly use the port facility.
Passengers should be able to prove their identity by boarding
passes, tickets, etc., but should not be permitted access to
restricted areas unless supervised.
The PFSP should establish provisions to ensure that the
identification systems are regularly updated, and that abuse of
procedures should be subject to disciplinary action.
16.13 Those unwilling or unable to establish their identity and/
or to confirm the purpose of their visit when requested to do so
should be denied access to the port facility and their attempt to
obtain access should be reported to the PFSO and to the national or
local authorities with security responsibilities.
16.14 The PFSP should identify the locations where people,
personal effects, and vehicle searches are to be undertaken. Such
locations should be covered to facilitate continuous operation
regardless of prevailing weather conditions, in accordance with the
frequency laid down in the PFSP. Once subjected to search people,
personal effects and vehicles should proceed directly to the
restricted holding, embarkation or car loading areas.
16.15 The PFSP should establish separate locations for checked
and unchecked persons and their effects and if possible separate
areas for embarking/disembarking passengers, ship's personnel and
their effects to ensure that unchecked persons are not able to come
in contact with checked persons.
16.16 The PFSP should establish the frequency of application of
any access controls particularly if they are to be applied on a
random, or occasional, basis.
Security Level 1
16.17 At security level 1, the PFSP should establish the control
points where the following security measures may be applied:
.1 Restricted areas which should be bound by fencing or other
barriers to a standard which should be approved by the Contracting
Government;
.2 Checking identity of all persons seeking entry to the port
facility in connection with a ship, including passengers, ship's
personnel and visitors and confirming their reasons for doing so by
checking, for example, joining instructions, passenger tickets,
boarding passes, work orders, etc;
.3 Checking vehicles used by those seeking entry to the port
facility in connection with a ship;
.4 Verification of the identity of port facility personnel and
those employed within the port facility and their vehicles;
.5 Restricting access to exclude those not employed by the port
facility or working within it, if they are unable to establish their
identity;
.6 Undertaking searches of people, personal effects, vehicles
and their contents; and
.7 Identification of any access points not in regular use which
should be permanently closed and locked.
16.18 At security level 1, all those seeking access to the port
facility should be liable to search. The frequency of such searches,
including random searches, should be specified in the approved PFSP
and should be specifically approved by the Contracting Government.
Unless there are clear security grounds for doing so, members of
the ship's personnel should not be required to search their
colleagues or their personal effects.
Any such search shall be undertaken in a manner which fully
takes into account the human rights of the individual and preserves
their basic human dignity.
Security Level 2
16.19 At security level 2, the PFSP should establish the
additional security measures to be applied, which may include:
.1 Assigning additional personnel to guard access points and
patrol perimeter barriers;
.2 Limiting the number of access points to the port facility,
and identify those to be closed and the means of adequately securing
them;
.3 Providing for means of impeding movement through the
remaining access points, e.g. security barriers;
.4 Increasing the frequency of searches of persons, personal
effects, and vehicle;
.5 Deny access to visitors who are unable to provide a
verifiable justification for seeking access to the port facility;
and
.6 Using of patrol vessels to enhance waterside security;
Security Level 3
16.20 At security level 3, the port facility should comply with
instructions issued by those responding to the security incident or
threat thereof. The PFSP should detail the security measures which
could be taken by the port facility, in close co-operation with
those responding and the ships at the port facility, which may
include:
.1 Suspension of access to all, or part of, the port facility;
.2 Granting access only to those responding to the security
incident or threat thereof;
.3 Suspension of pedestrian or vehicular movement within all, or
part, of the port facility;
.4 Increased security patrols within the port facility, if
appropriate;
.5 Suspension of port operations within all, or part, of the
port facility;
.6 Direction of vessel movements relating to all, or part, of
the port facility; and
.7 Evacuation of all, or part of, the port facility.
Restricted Areas Within the Port Facility
16.21 The PFSP should identify the restricted areas to be
established within the port facility, specify their extent, times of
application, the security measures to be taken to control access to
them and those to be taken to control activities within them. This
should also include, in appropriate circumstances, measures to
ensure that temporary restricted areas are security swept both
before and after that area is established.
The purpose of restricted areas is to:
.1 Protect passengers, ship's personnel, port facility personnel
and visitors, including those visiting in connection with a ship;
.2 Protect the port facility;
.3 Protect ships using, and serving, the port facility;
.4 Protect sensitive security locations and areas within the
port facility,
.5 To protect security and surveillance equipment and systems;
and
.6 Protect cargo and ship's stores from tampering.
16.22 The PFSP should ensure that all restricted areas have
clearly established security measures to control:
.1 Access by individuals;
.2 The entry, parking, loading and unloading of vehicles;
.3 Movement and storage of cargo and ship's stores, and
.4 Unaccompanied baggage or personal effects.
16.23 The PFSP should provide that all restricted areas should
be clearly marked indicating that access to the area is restricted
and that unauthorised presence within the area constitutes a breach
of security.
16.24 When automatic intrusion detection devices are installed
they should alert a control centre which can respond to the
triggering of an alarm.
16.25 Restricted areas may include:
.1 Shore and waterside areas immediately adjacent to the ship;
.2 Embarkation and disembarkation areas, passenger and ship's
personnel holding and processing areas including search points;
.3 Areas where loading, unloading or storage of cargo and stores
is undertaken;
.4 Locations where security sensitive information, including
cargo documentation, is held;
.5 Areas where dangerous goods and hazardous substances are
held;
.6 Vessel traffic management system control rooms, aids to
navigation and port
[[Page 79777]]
control buildings, including security and surveillance control
rooms;
.7 Areas where security and surveillance equipment are stored or
located;
.8 Essential electrical, radio and telecommunication, water and
other utility installations; and
.9 Other locations in the port facility where access by vessels,
vehicles and individuals should be restricted.
16.26 The security measures may extend, with the agreement of
the relevant authorities, to restrictions on unauthorised access to
structures from which the port facility can be observed.
Security Level 1
16.27 At security level 1, the PFSP should establish the
security measures to be applied to restricted areas, which may
include:
.1 Provision of permanent or temporary barriers to surround the
restricted area whose standard should be accepted by the Contracting
Government;
.2 Provision of access points where access can be controlled by
security guards when in operation and which can be effectively
locked or barred when not in use;
.3 Providing passes which must be displayed to identify
individuals entitlement to be within the restricted area;
.4 Clearly marking vehicles allowed access to restricted areas;
.5 Providing guards and patrols;
.6 Providing automatic intrusion detection devices, or
surveillance equipment or systems to detect unauthorised access
into, or movement within restricted areas; and
.7 Control of the movement of vessels in the vicinity of ships
using the port facility.
Security Level 2
16.28 At security level 2, the PFSP should establish the
enhancement of the frequency and intensity of the monitoring of, and
control of access to, restricted areas. The PFSP should establish
the additional security measures, which may include:
.1 Enhancing the effectiveness of the barriers or fencing
surrounding restricted areas, including the use of patrols or
automatic intrusion detection devices;
.2 Reducing the number of access points to restricted areas and
enhancing the controls applied at the remaining accesses;
.3 Restrictions on parking adjacent to berthed ships;
.4 Further restricting access to the restricted areas and
movements and storage within them;
.5 Use of continuously monitored and recording surveillance
equipment;
.6 Enhancing the number and frequency of patrols including
waterside patrols undertaken on the boundaries of the restricted
areas and within the areas;
.7 Establishing and restricting access to areas adjacent to the
restricted reas; and
.8 Enforcing restrictions on access by unauthorised craft to the
waters adjacent to ships using the port facility.
Security Level 3
16.29 At security level 3, the port facility should comply with
the instructions issued by those responding to the security incident
or threat thereof. The PFSP should detail the security measures
which could be taken by the port facility, in close co-operation
with those responding and the ships at the port facility, which may
include:
.1 Setting up of additional restricted areas within the port
facility in proximity to the security incident, or the believed
location of the security threat, to which access is denied; and
.2 Preparing for the searching of restricted areas as part of a
search of all, or part, of the port facility.
Handling of Cargo
16.30 The security measures relating to cargo handling should:
.1 Prevent tampering, and
.2 Prevent cargo that is not meant for carriage from being
accepted and stored within the port facility.
16.31 The security measures should include inventory control
procedures at access points to the port facility. Once within the
port facility cargo should be capable of being identified as having
been checked and accepted for loading onto a ship or for temporary
storage in a restricted area while awaiting loading. It may be
appropriate to restrict the entry of cargo to the port facility that
does not have a confirmed date for loading.
Security Level 1
16.32 At security level 1, the PFSP should establish the
security measures to be applied during cargo handling, which may
include:
.1 Routine checking of cargo, cargo transport units and cargo
storage areas within the port facility prior to, and during, cargo
handling operations;
.2 Checks to ensure that cargo entering the port facility
matches the delivery note or equivalent cargo documentation;
.3 Searches of vehicles; and
.4 Checking of seals and other methods used to prevent tampering
upon entering the port facility and upon storage within the port
facility.
16.33 Checking of cargo may be accomplished by some or all of
the following means:
.1 Visual and physical examination; and
.2 Using scanning/detection equipment, mechanical devices, or
dogs.
16.34 When there are regular, or repeated, cargo movement the
Company Security Officer (CSO) or the Ship Security Officer (SSO)
may, in consultation with the port facility, agree arrangements with
shippers or others responsible for such cargo covering off-site
checking, sealing, scheduling, supporting documentation, etc. Such
arrangements should be communicated to and agreed with the PFSO
concern.
Security Level 2
16.35 At security level 2, the PFSP should establish the
additional security measures to be applied during cargo handling to
enhance control, which may include:
.1 Detailed checking of cargo, cargo transport units and cargo
storage areas within the port facility;
.2 Intensified checks, as appropriate, to ensure that only the
documented cargo enters the port facility, is temporarily stored
there and then loaded onto the ship;
.3 Intensified searches of vehicles; and
.4 Increased frequency and detail in checking of seals and other
methods used to prevent tampering.
16.36 Detailed checking of cargo may be accomplished by some or
all of the following means:
.1 Increasing the frequency and detail of checking of cargo,
cargo transport units and cargo storage areas within the port
facility (visual and physical examination);
.2 Increasing the frequency of the use of scanning/detection
equipment, mechanical devices, or dogs; and
.3 Co-ordinating enhanced security measures with the shipper or
other responsible party in addition to an established agreement and
procedures.
Security Level 3
16.37 At security level 3, the port facility should comply with
the instructions issued by those responding to the security incident
or threat thereof. The PFSP should detail the security measures
which could be taken by the port facility, in close co-operation
with those responding and the ships at the port facility, which may
include:
.1 Restriction or suspension of cargo movements or operations
within all, or part, of the port facility or specific ships; and
.2 Verifying the inventory of dangerous goods and hazardous
substances held within the port facility and their location.
Delivery of Ship's Stores
16.38 The security measures relating to the delivery of ship's
stores should:
.1 Ensure checking of ship's stores and package integrity;
.2 Prevent ship's stores from being accepted without inspection;
.3 Prevent tampering;
.4 Prevent ship's stores from being accepted unless ordered;
.5 Ensure searching the delivery vehicle; and
.6 Ensure escorting delivery vehicles within the port facility.
16.39 For ships regularly using the port facility it may be
appropriate to establish procedures involving the ship, its
suppliers and the port facility covering notification and timing of
deliveries and their documentation. There should always be some way
of confirming that stores presented for delivery are accompanied by
evidence that they have been ordered by the ship.
Security Level 1
16.40 At security level 1, the PFSP should establish the
security measures to be applied to control the delivery of ship's
stores, which may include:
.1 Checking of ship's stores;
.2 Advance notification as to composition of load, driver
details and vehicle registration; and
.3 Searching the delivery vehicle.
16.41 Checking of ship's stores may be accomplished by some or
all of the following means:
.1 Visual and physical examination; and
.2 Using scanning/detection equipment, mechanical devices or
dogs.
[[Page 79778]]
Security Level 2
16.42 At security level 2, the PFSP should establish the
additional security measures to be applied to enhance the control of
the delivery of ship's stores, which may include:
.1 Detailed checking of ship's stores;
.2 Detailed searches of the delivery vehicles;
.3 Co-ordination with ship personnel to check the order against
the delivery note prior to entry to the port facility; and
.4 Escorting the delivery vehicle within the port facility.
16.43 Detailed checking of ship's stores may be accomplished by
some or all of the following means:
.1 Increasing the frequency and detail of searches of delivery
vehicles;
.2 Increasing the use of scanning/detection equipment,
mechanical devices, or dogs; and
.3 Restricting, or prohibiting, entry of stores that will not
leave the port facility within a specified period.
Security Level 3
16.44 At security level 3, the port facility should comply with
the instructions issued by those responding to the security incident
or threat thereof. The PFSP should detail the security measures
which could be taken by the port facility, in close co-operation
with those responding and the ships at the port facility which may
include preparation for restriction, or suspension, of the delivery
of ship's stores within all, or part, of the port facility.
Handling Unaccompanied Baggage
16.45 The PFSP should establish the security measures to be
applied to ensure that unaccompanied baggage (i.e., any baggage,
including personal effects, which is not with the passenger or
member of ship's personnel at the point of inspection or search) is
identified and subjected to appropriate screening, including
searching, before is allowed in the port facility and, depending on
the storage arrangements, before it is transferred between the port
facility and the ship.
It is not envisaged that such baggage will be subjected to
screening by both the port facility and the ship, and in cases where
both are suitably equipped, the responsibility for screening should
rest with the port facility.
Close co-operation with the ship is essential and steps should
be taken to ensure that unaccompanied baggage is handled securely
after screening.
Security Level 1
16.46 At security level 1, the PFSP should establish the
security measures to be applied when handling unaccompanied baggage
to ensure that unaccompanied baggage is screened or searched up to
and including 100 percent, which may include use of x-ray screening.
Security Level 2
16.47 At security level 2, the PFSP should establish the
additional security measures to be applied when handling
unaccompanied baggage which should include 100 percent x-ray
screening of all unaccompanied baggage.
Security Level 3
16.48 At security level 3, the port facility should comply with
the instructions issued by those responding to the security incident
or threat thereof. The PFSP should detail the security measures
which could be taken by the port facility, in close co-operation
with those responding and the ships at the port facility, which may
include:
.1 Subjecting such baggage to more extensive screening, for
example x-raying it from at least two different angles;
.2 Preparations for restriction or suspension of handling or
unaccompanied baggage; and
.3 Refusal to accept unaccompanied baggage into the port
facility.
Monitoring the Security of the Port Facility
16.49 The port facility security organization should have the
capability to monitor the port facility and its nearby approaches,
on land and water, at all times, including the night hours and
periods of limited visibility, the restricted areas within the port
facility, the ships at the port facility and areas surrounding
ships. Such monitoring can include use of:
.1 Lighting;
.2 Security guards, including foot, vehicle and waterborne
patrols, and
.3 Automatic intrusion detection devices and surveillance
equipment.
16.50 When used, automatic intrusion detection devices should
activate an audible and/or visual alarm at a location that is
continuously attended or monitored.
16.51 The PFSP should establish the procedures and equipment
needed at each security level and the means of ensuring that
monitoring equipment will be able to perform continually, including
consideration of the possible effects of weather or of power
disruptions.
Security Level 1
16.52 At security level 1, the PFSP should establish the
security measures to be applied which may be a combination of
lighting, security guards or use of security and surveillance
equipment to allow port facility security personnel to:
.1 Observe the general port facility area, including shore and
water-side accesses to it;
.2 Observe access points, barriers and restricted areas, and
.3 Allow port facility security personnel to monitor areas and
movements adjacent to ships using the port facility, including
augmentation of lighting provided by the ship itself.
Security Level 2
16.53 At security level 2, the PFSP should establish the
additional security measures to be applied to enhance the monitoring
and surveillance capability, which may include:
.1 Increasing the coverage and intensity of lighting and
surveillance equipment, including the provision of additional
lighting and surveillance coverage;
.2 Increasing the frequency of foot, vehicle or waterborne
patrols, and
.3 Assigning additional security personnel to monitor and
patrol.
Security Level 3
16.54 At security level 3, the port facility should comply with
the instructions issued by those responding to the security incident
or threat thereof. The PFSP should detail the security measures
which could be taken by the port facility, in close co-operation
with those responding and the ships at the port facility, which may
include:
.1 Switching on all lighting within, or illuminating the
vicinity of, the port facility;
.2 Switching on all surveillance equipment capable of recording
activities within, or adjacent to, the port facility; and
.3 Maximising the length of time such surveillance equipment can
continue to record.
Differing Security Levels
16.55 The PFSP should establish details of the procedures and
security measures the port facility could adopt if the port facility
is at a lower security level than that applying to a ship.
Activities not covered by the Code
16.56 The PFSP should establish details of the procedures and
security measures the port facility should apply when:
.1 It is interfacing with a ship which has been at a port of a
State which not a Contracting Government;
.2 It is interfacing with a ship to which this Code does not
apply; and
.3 It is interfacing with fixed or floating platforms or mobile
offshore drilling units on location.
Declarations of Security
16.57 The PFSP should establish the procedures to be followed
when on the instructions of the Contracting Government the PFSO
requests a Declaration of Security or when a DoS is requested by a
ship.
Audit, Review and Amendment
16.58 The PFSP should establish how the PFSO intends to audit
the continued effectiveness of the PFSP and the procedure to be
followed to review, update or amend the PFSP.
16.59 The PFSP should be reviewed at the discretion of the PFSO.
In addition it should be reviewed:
.1 If the PFSA relating to the port facility is altered;
.2 If an independent audit of the PFSP or the Contracting
Government's testing of the port facility security organization
identifies failings in the organization or questions the continuing
relevance of significant element of the approved PFSP;
.3 Following security incidents or threats thereof involving the
port facility; and
.4 Following changes in ownership or operational control of the
port facility.
16.60 The PFSO can recommend appropriate amendments to the
approved plan following any review of the plan. Amendments to the
PFSP relating to:
.1 Proposed changes which could fundamentally alter the approach
adopted to maintaining the security of the port facility; and
.2 The removal, alteration or replacement of permanent barriers,
security and surveillance equipment and systems etc.,
[[Page 79779]]
previously considered essential in maintaining the security of the
port facility;
Should be submitted to the Contracting Government that approved
the original PFSP for their consideration and approval. Such
approval can be given by, or on behalf of, the Contracting
Government with, or without, amendments to the proposed changes.
On approval of the PFSP the Contracting Government should
indicate which procedural or physical alterations have to be
submitted to it for approval.
Approval of Port Facility Security Plans
16.61 PFSPs have to be approved by the relevant Contracting
Government which should establish appropriate procedures to provide
for:
.1 The submission of PFSPs to them;
.2 The consideration of PFSPs;
.3 The approval of PFSPs, with or without amendments;
.4 Consideration of amendments submitted after approval, and
.5 Procedures for inspecting or auditing the continuing
relevance of the approved PFSP.
At all stages steps should be taken to ensure that the contents
of the PFSP remains confidential.
Statement of Compliance of a Port Facility
16.62 The Contracting Government within whose territory a port
facility is located may issue an appropriate Statement of Compliance
of a Port Facility (SoCPF) indicating:
.1 The port facility;
.2 That the port facility complies with the provisions of
chapter XI-2 and part A of the Code.
.3 The period of validity of the SoCPF which should be specified
by the Contracting Governments but should not exceed five years; and
.4 The subsequent verification arrangements established by the
Contracting Government and a confirmation when these are carried
out.
16.63 The Statement of Compliance for Port Facility should be in
form set out in the appendix to this Part of the Code. If the
language used is not Spanish, French or English, the Contracting
Government, if it considers it appropriate may also include a
translation into one of these languages.
17 Port facility security officer
17.1 In those exceptional instances where the ship security
officer has questions about the validity of credentials of those
seeking to board the ship for official purposes, the port facility
security officer should assist.
17.2 The port facility security officer should not be
responsible for routine confirmation of the identity of those
seeking to board the ship.
In addition relevant guidance is provided under sections 15, 16
and 18.
18 Training, drills and exercises for port facility security
18.1 The Port Facility Security Officer should have knowledge
and receive training, in some or all of the following, as
appropriate:
.1 Security administration;
.2 Relevant international conventions, codes and
recommendations;
.3 Relevant Government legislation and regulations;
.4 Responsibilities and functions of other security
organisations;
.5 Methodology of port facility security assessment;
.6 Methods of ship and port facility security surveys and
inspections;
.7 Ship and port operations and conditions;
.8 Ship and port facility security measures;
.9 Emergency preparedness and response and contingency planning;
.10 Instruction techniques for security training and education,
including security measures and procedures;
.11 Handling sensitive security related information and security
related communications;
.12 Knowledge of current security threats and patterns;
.13 Recognition and detection of weapons, dangerous substances
and devices;
.14 Recognition, on a non discriminatory basis, of
characteristics and behavioural patterns of persons who are likely
to threaten the security;
.15 Techniques used to circumvent security measures;
.16 Security equipment and systems, and their operational
limitations;
.17 Methods of conducting audits, inspection, control and
monitoring;
.18 Methods of physical searches and non-intrusive inspections;
.19 Security drills and exercises, including drills and
exercises with ships; and
.20 Assessment of security drills and exercises.
18.2 Port facility personnel having specific security duties
should have knowledge and receive training, in some or all of the
following, as appropriate:
.1 Knowledge of current security threats and patterns;
.2 Recognition and detection of weapons, dangerous substances
and devices;
.3 Recognition of characteristics and behavioural patterns of
persons who are likely to threaten security;
.4 Techniques used to circumvent security measures;
.5 Crowd management and control techniques;
.6 Security related communications;
.7 Operations of security equipment and systems;
.8 Testing, calibration and maintenance of security equipment
and systems,
.9 Inspection, control, and monitoring techniques; and
.10 Methods of physical searches of persons, personal effects,
baggage, cargo, and ship's stores.
18.3 All other port facility personnel should have knowledge of
and be familiar with relevant provisions of the PFSP, in some or all
of the following, as appropriate:
.1 The meaning and the consequential requirements of the
different security levels;
.2 Recognition and detection of weapons, dangerous substances
and devices;
.3 Recognition of characteristics and behavioural patterns of
persons who are likely to threaten the security; and
.4 Techniques used to circumvent security measures.
18.4 The objective of drills and exercises is to ensure that
port facility personnel are proficient in all assigned security
duties, at all security levels, and to identify any security related
deficiencies, which need to be addressed.
18.5 To ensure the effective implementation of the provisions of
the port facility security plan, drills should be conducted at least
every three months unless the specific circumstances dictate
otherwise. These drills should test individual elements of the plan
such as those security threats listed in paragraph 15.11.
18.6 Various types of exercises which may include participation
of port facility security officers, in conjunction with relevant
authorities of Contracting Governments, company security officers,
or ship security officers, if available, should be carried out at
least once each calendar year with no more than 18 months between
the exercises. Requests for the participation of company security
officers or ships security officers in joint exercise should be made
bearing in mind the security and work implications for the ship.
These exercises should test communication, coordination, resource
availability and response. These exercises may be:
.1 Full scale or live;
.2 Tabletop simulation or seminar; or
.3 Combined with other exercises held such as emergency response
or other port State authority exercises.
19 Verification and certification for ships
No additional guidance.
Appendix to Part B
Appendix 1--Form of a Declaration of Security
Declaration of Security
Name of Ship:
Port of Registry:
IMO Number:
Name of Port Facility:
This Declaration of Security is valid from----------------
until----------------, for the following activities----------------
---- (list the activities with relevant details) under the following
security levels:
Security level(s) for the ship:
Security level(s) for the port facility:
The port facility and ship agree to the following security
measures and responsibilities to ensure compliance with the
requirements of Part A of the International Code for the Security of
Ships and of Port Facilities.
[[Page 79780]]
------------------------------------------------------------------------
Activity The port facility The ship
------------------------------------------------------------------------
The affixing of the initials of the SSO or PFSO under these columns
indicates that the activity will be done, in accordance with relevant
approved plan, by
------------------------------------------------------------------------
Ensuring the performance of all
security duties
Monitoring restricted areas to
ensure that only authorized
personnel have access
Controlling access to the port
facility
Controlling access to the ship
Monitoring of the port facility,
including berthing areas and areas
surrounding the ship
Monitoring of the ship, including
berthing areas and areas
surrounding the ship
Handling of cargo
Delivery of ship's stores
Handling unaccompanied baggage
Controlling the embarkation of
persons and their effects
Ensuring that security
communication is readily available
between the ship and port facility
------------------------------------------------------------------------
The signatories to this agreement certify that security measures
and arrangements for both the port facility and the ship during the
specified activities meet the provisions of chapter XI-2 and Part A
of Code that will be implemented in accordance with the provisions
already stipulated in their approved plan or the specific
arrangements agreed to and set out in the attached annex.
Dated at----------------on the----------------.
Signed For and On Behalf of
------------------------------------------------------------------------
The port facility the ship
------------------------------------------------------------------------
(Signature of Port Facility (Signature of Master or Ship
Security Officer) Security Officer)
------------------------------------------------------------------------
Name and Title of Person Who Signed
------------------------------------------------------------------------
------------------------------------------------------------------------
Name: Name:
Title: Title:
------------------------------------------------------------------------
Contact Details (to be completed as appropriate)
[Indicate the telephone numbers or the radio channels or frequencies to
be used]
------------------------------------------------------------------------
for the port facility: for the ship:
------------------------------------------------------------------------
Port Facility Master
Port Facility Security Officer Ship Security Officer
Company
Company Security Officer
------------------------------------------------------------------------
Appendix 2--Form of a Statement of Compliance of a Port Facility
Statement of Compliance of a Port Facility
(Official seal)
(State)
Statement Number
Issued under the provisions of part B of the International Code
for the Security of Ships and of Port Facilities (ISPS CODE).
The Government of--------------------(name of the State).
Name of the Port Facility:---------------------------------------------
Address of the Port Facility :-----------------------------------------
This is to Certify that the compliance of this port facility
with the provisions of chapter XI-2 and part A of the International
Code for the Security of Ships and of Port Facilities (ISPS Code)
has been verified and that this port facility operates in accordance
with the approved Port Facility Security Plan. This plan has been
approved for the following :
(delete as appropriate):
Passenger ship
Passenger high speed craft
Cargo high speed craft
Bulk carrier
Oil tanker
Chemical tanker
Gas carrier
Mobile offshore Drilling Units
Cargo ships other than those referred to above
This Statement of Compliance is valid until--------------------,
subject to verifications (as indicated overleaf).
Issued at----------------(place of issue of the statement)
Date of issue----------------
-----------------------------------------------------------------------
(Signature of the duly authorized official issuing the document)
(Seal or stamp of issuing authority, as appropriate)
Endorsement for Verifications
The Government of has
established that the validity of this Document of Compliance is
subject to .
This is to Certify that, during a verification carried out in
accordance with paragraph B/16.40.3 of the ISPS Code, the Port
Facility was found to comply with the relevant provisions of chapter
XI-2 of the Convention and Part A of the ISPS Code.
1st Verification
Signed:----------------------------------------------------------------
(Signature of authorized official)
Place:-----------------------------------------------------------------
Date:------------------------------------------------------------------
[[Page 79781]]
2nd Verification
Signed:----------------------------------------------------------------
(Signature of authorized official)
Place:-----------------------------------------------------------------
Date:------------------------------------------------------------------
3rd Verification
Signed:----------------------------------------------------------------
(Signature of authorized official)
Place:-----------------------------------------------------------------
Date:------------------------------------------------------------------
4th Verification
Signed:----------------------------------------------------------------
(Signature of authorized official)
Place:-----------------------------------------------------------------
Date:------------------------------------------------------------------
Appendix C
Cost Analysis Report for Vessel, Facility, and Port Security, December
20, 2002, Standards Evaluation and Analysis Division, U.S. Coast Guard
Headquarters
Acronyms
AOR--Area of Responsibility
BLS--U.S. Department of Labor Bureau of Labor Statistics
CCTV--Closed Circuit Television
CFR--Code of Federal Regulations
COTP--Captain of the Port
CSO--Company Security Officer
DOT--U.S. Department of Transportation
FSA--Facility Security Assessment
FSO--Facility Security Officer
FSP--Facility Security Plan
GT--Gross Tons
IMO--International Maritime Organization
ISPS Code--International Code for the Security of Ships and of Port
Facilities
ITB--Integrated Tug-Barge
MARAD--U.S. Maritime Administration
MARSEC--Maritime Security Level
MODU--Mobile Offshore Drilling Unit
MSMS--Marine Safety Management System
NAICS--North American Industry Classification System
NVIC--Navigation and Vessel Inspection Circular
O&M--Operation and Maintenance
OSV--Offshore Supply Vessel
PFSA--Port Facility Security Assessment
PFSC--Port Facility Security Committee
PFSP--Port Facility Security Plan
PFSO--Port Facility Security Officer
PSA--Port Security Assessment
PSC--Port Security Committee
PSP--Port Security Plan
PV--Present Value
SBA--Small Business Administration
SOLAS--Convention for the Safety of Life at Sea
VSA--Vessel Security Assessment
VSP--Vessel Security Plan
Contents
Executive Summary
Vessel security
Summary
Analysis
Period of analysis
Population affected
Unit cost assumptions
Vessel costs
Company costs
Total national cost of vessel security
Facility security
Summary
Analysis
Period of analysis
Population affected
Unit cost assumptions
Facility costs
Total national cost for facility security
Port security
Summary
Analysis
Period of analysis
Population affected
Unit cost assumptions
Total national cost for port security
Tables
Table 1. Estimated U.S.-Flagged SOLAS population
Table 2. Estimated domestic population
Table 3. Unit cost of equipment
Table 4. Unit cost of personnel
Table 5. Cost per U.S.-flagged SOLAS freight ship
Table 6. Cost per U.S.-flagged SOLAS freight barge
Table 7. Cost per domestic freight ship
Table 8. Cost per domestic freight barge
Table 9. Cost per U.S.-flagged SOLAS tank ship
Table 10. Cost per U.S.-flagged SOLAS tank barge
Table 11. Cost per domestic tank ship
Table 12. Cost per domestic tank barge
Table 13. Cost per U.S.-flagged SOLAS towboat
Table 14. Cost per U.S.-flagged SOLAS fish processor
Table 15. Cost per domestic towboat
Table 16. Cost per U.S.-flagged SOLAS cruise vessel
Table 17. Cost per other U.S.-flagged SOLAS passenger vessel
Table 18. Cost per domestic passenger vessel, not ferry
Table 19. Cost per domestic ferry 500 passengers
Table 20. Cost per domestic ferry <= 500 passengers
Table 21. Cost per domestic cruise vessel
Table 22. Cost per domestic passenger vessel, not ferry
Table 23. Cost per domestic ferry 500 passengers
Table 24. Cost per domestic ferry <= 500 passengers
Table 25. Cost per U.S.-flagged SOLAS MODU
Table 26. Cost per domestic MODU
Table 27. Cost per U.S.-flagged SOLAS OSV
Table 28. Cost per domestic OSV
Table 29. Cost per U.S.-flagged SOLAS oil recovery vessel
Table 30. Cost per U.S.-flagged SOLAS research vessel
Table 31. Cost per U.S.-flagged SOLAS industrial vessel
Table 32. Cost per company by type
Table 33. Example cost for U.S.-flagged SOLAS company
Table 34. Example cost for large non-towing company (no passenger
vessels)
Table 35. Example cost for large non-towing company (with passenger
vessels)
Table 36. Example cost for large towing company
Table 37. Example cost for small non-towing company
Table 38. Example cost for small towing company
Table 39. Total national PV cost for vessel security, in $millions
Table 40. Total national initial and annual cost by element of
compliance, in $millions
Table 41. Estimated facility population
Table 42. Unit cost of equipment
Table 43. Unit cost of personnel
Table 44. Initial and annual cost for a non-specific group A
facility
Table 45. Initial and annual cost for a non-specific group B
facility
Table 46. Estimated percentage of facilities that will purchase or
enhance security measures
Table 47. Initial and annual cost for container or break-bulk
facilities, group A
Table 48. Initial and annual cost for container or break-bulk
facilities, group B
Table 49. Initial and annual cost for dry bulk facilities, group A
Table 50. Initial and annual cost for dry bulk facilities, group B
Table 51. Initial and annual cost for hazardous bulk liquid
facilities, group A
Table 52. Initial and annual cost for hazardous bulk liquid
facilities, group B
Table 53. Initial and annual cost for hazardous substance (other)
facilities, group A
Table 54. Initial and annual cost for hazardous substance (other)
facilities, group B
Table 55. Initial and annual cost for other bulk liquid facilities,
group A
Table 56. Initial and annual cost for other bulk liquid facilities,
group B
Table 57. Initial and annual cost for ferry terminals, group A
Table 58. Initial and annual cost for ferry terminals, group B
Table 59. Initial and annual cost for passenger terminals, group A
Table 60. Initial and annual cost for passenger terminals, group B
Table 61. Example cost for ferry terminal owner
Table 62. Example cost for dry bulk facility owner
Table 63. Example cost for petroleum facility owner
Table 64. Total national PV cost for facility security, in $millions
Table 65. Total national initial and annual cost by element of
compliance, in $millions
Table 66. PSC meeting frequency, hours, and unit cost per
stakeholder
Table 67. PSP planning and drill frequency, hours, and unit cost per
stakeholder
Table 68. Total national PV cost for port security, in $millions
Executive Summary
Note: for definition of acronyms, refer to the list at the
beginning of the report.
The United States has been a participant in negotiations at IMO
developing the ISPS Code. This analysis presents the scope and
magnitude of costs that the maritime transportation industry could
incur for implementing
[[Page 79782]]
and complying with the ISPS Code, parts A and B, and Coast Guard issued
NVICs (4-02, 9-02, 10-02). The purpose of this report is to present the
broad set of assumptions that we used to develop our cost estimates,
document our analysis, and make that information available to the
public for comment.
For the purposes of good business practice or regulations
promulgated by other Federal and State agencies, many companies have
spent, to date, a substantial amount of money and resources to upgrade
and improve security. The costs shown in this analysis do not include
resources these companies have already spent to enhance security.
We realize that every company engaged in maritime commerce would
not implement the ISPS Code exactly as presented in this analysis.
Depending on each company's choices, some companies could spend much
less than what is estimated herein while others could spend
significantly more. In general, we assume that each company would
implement the ISPS Code based on the type of vessels or facilities it
owns or operates and whether it engages in international or domestic
trade.
The ISPS Code provides requirements for ``Port Facilities.''
Because the Coast Guard differentiates between ports and facilities in
domestic regulations, however, we are presenting this cost analysis in
three sections: vessel security, facility security, and port security.
As a result, for the purposes of this cost analysis, the terms PFSC,
PFSO, PFSA, and PFSP have been replaced with PSC and PSP for the port
security section and FSO, FSA, and FSP for the facility security
section.
This analysis presents the estimated cost if vessels, facilities,
and ports are operating at MARSEC 1 (the current level of operations
since the events of September 11, 2001). We do not estimate costs for
MARSEC 2 or 3 because the nature of a threat will determine the cost of
responding to that threat. Depending on circumstances, one port, a U.S.
coast, or the entire country could have an elevated MARSEC level. The
costs for this vast range of threat levels are difficult to estimate
with any accuracy. Under MARSEC 2 and 3, we would expect not just the
immediate effects of increasing security with more personnel and more
screening, but also ``ripple'' effects--delayed commerce, decreased
product availability, price increases, increased unemployment, unstable
markets worldwide, even negative psychological effects of threats. The
recent shut-down of the West Coast ports, while not in response to a
security threat, present a good example of the economic costs that we
could experience under increased MARSEC levels.
We do not anticipate that implementing the ISPS Code will require
additional manning aboard vessels; the duties envisioned can be assumed
by existing personnel. For facilities, we anticipate additional
personnel in the form of security guards that can be hired through
contracting with a private firm specializing in security.
Based on this analysis, the first-year cost of implementing the
ISPS Code for vessels, facilities, and ports is approximately $1.4
billion, with costs of approximately PV $6.0 billion over the next 10
years (2003-2012, 7 percent discount rate). Estimated costs are as
follows.
[sbull] Vessel Security--The first-year cost of purchasing
equipment, hiring security officers, and preparing paperwork is
approximately $188 million. Following initial implementation, the
annual cost is approximately $144 million. Over the next 10 years, the
cost would be PV $1.1 billion approximately. The paperwork burden
associated with planning would be approximately 141,000 hours in the
first year and 7,000 hours in subsequent years.
[sbull] Facility Security--The first-year cost of purchasing
equipment, hiring security officers, and preparing paperwork is an
estimated $963 million. Following initial implementation, the annual
cost is approximately $535 million. Over the next 10 years, the cost
would be PV $4.4 billion approximately. The paperwork burden associated
with planning would be approximately 464,000 hours in the first year
and 17,000 hours in subsequent years.
[sbull] Port Security--The first-year cost is approximately $120
million. The second-year cost is approximately $106 million. In
subsequent years, the annual cost is approximately $46 million. Over
the next 10 years, the cost would be PV $477 million approximately. The
paperwork burden associated with planning would be approximately
1,090,000 hours in 2003, 1,278,000 hours in 2004, and 827,000 hours in
subsequent years.
Vessel Security
Summary
Note: for definition of acronyms throughout this analysis, refer
to the list at the beginning of the report.
Implementing the ISPS Code and NVICs could affect about 10,625
vessels.
The estimated cost of complying with the ISPS Code, parts A and B,
and NVICs is PV $1.129 billion (2003-2012, 7 percent discount rate).
Approximately PV $257 million of this total is attributable to U.S.-
flagged SOLAS vessels. The remaining PV $871 million is attributable to
domestic vessels (non-SOLAS) that are affected. In the first year of
compliance, the cost of purchasing equipment, hiring security officers,
and preparing paperwork is an estimated $188 million (non-discounted,
$42 million for the U.S.-flagged SOLAS fleet, $146 million for the
domestic fleet). Following initial implementation, the annual cost of
compliance is an estimated $144 million (non-discounted, $33 million
for the U.S.-flagged SOLAS fleet, $111 million for the domestic fleet).
For the U.S.-flagged SOLAS fleet, approximately 60 percent of the
initial cost is for hiring CSOs and training, 24 percent is for vessel
equipment, 7 percent is for assigning VSOs to ships, and 9 percent is
associated with paperwork (VSAs, VSPs). Following the first year,
approximately 79 percent of the cost is for CSOs and training, 3
percent is for vessel equipment, 6 percent is for drilling, 9 percent
is for VSOs, and 3 percent is associated with paperwork. CSOs and
training are the primary cost driver for U.S.-flagged SOLAS vessels.
For the domestic fleet, approximately 61 percent of the initial
cost is for hiring CSOs and training, 25 percent is for vessel
equipment, 8 percent is for assigning VSOs to ships, and 6 percent is
associated with paperwork (VSAs, VSPs). Following the first year,
approximately 82 percent of the cost is for CSOs and training, 1
percent is for vessel equipment, 6 percent is for drilling, 10 percent
is for VSOs, and 1 percent is associated with paperwork. As with SOLAS
vessels, CSOs are the primary cost driver for the domestic fleet.
We estimate approximately 140,000 burden hours for paperwork during
the first year of compliance (36,000 hours for U.S.-flagged SOLAS,
104,000 hours for the domestic fleet). We estimate approximately 7,000
burden hours annually following full implementation of the ISPS Code
and NVICs (1,000 hours for U.S.-flagged SOLAS, 6,000 hours for the
domestic fleet).
We assume shipping companies would apply the ISPS Code and NVICs
differently based on the types of ships they own or operate and whether
they operate internationally or domestically. Because an unacceptable
amount of detail would be lost if we developed an ``average'' ship or
an ``average'' company, this analysis calculates cost per affected
vessel as well as cost per
[[Page 79783]]
affected company to capture characteristics unique to these entities.
Analysis
Period of Analysis
The period of analysis is 2003-2012 (10 years). Companies must come
into compliance with the ISPS Code in 2004, but we assume that
companies will purchase equipment and develop security plans prior to
the effective date. We assume, therefore, that initial costs will be
incurred in 2003, and annual costs will be incurred each year 2004-
2012.
Population Affected
The population of affected vessels is derived from the Coast
Guard's MSMS database and DOT's National Ferry Database. The U.S.-
flagged SOLAS population affected is presented in Table 1. As shown,
most of the U.S.-flagged SOLAS fleet are freight ships, tank ships,
small passenger vessels, or OSVs. Approximately 170 companies own/
operate these vessels.
Table 1.--Estimated U.S.-Flagged SOLAS Population1, 2, 3, 4
------------------------------------------------------------------------
Vessel Count Percent \5\
------------------------------------------------------------------------
Freight ship............................ 241 37.6
Freight barge........................... 2 0.3
Tank ship............................... 114 17.8
Tank barge.............................. 14 2.2
Towboat................................. 14 2.2
Fishing................................. 39 6.1
Cruise vessel........................... 2 0.3
Other passenger vessel.................. 109 17.0
MODU.................................... 2 0.3
OSV..................................... 75 11.7
Oil recovery............................ 1 0.2
Research vessel......................... 8 1.2
Industrial vessel....................... 20 3.1
-----------------
Total............................... 641 100.0
------------------------------------------------------------------------
\1\ All vessels engaged on international voyages (no GT threshold).
There are 96 vessels < 100 GT; there are 112 < 300 GT.
\2\ There are 89 freight ships, 19 tanks ships, 1 MODU, and 1 research
vessel owned by MARAD.
\3\ There are 15 ITBs. They are included in the tank ship population.
\4\ There is 1 recreational vessel that is not included in these
estimates.
\5\ Sum may not add to total due to independent rounding.
The domestic population (non-SOLAS) affected is presented in Table
2. As shown, most of the domestic fleet are tank barges, towboats, or
OSVs. Approximately 1,950 companies own/operate these vessels.
Table 2.--Estimated Domestic Population
------------------------------------------------------------------------
Vessel Count Percent \1\
------------------------------------------------------------------------
Freight ship............................ 99 1.0
Freight barge........................... 262 2.6
Tank ship............................... 34 0.3
Tank barge.............................. 2,891 29.0
Towboat 6 meters \2\......... 4,645 46.5
Passenger, <=100 GT, not ferry.......... 223 2.2
Passenger, <=100 GT, ferry, 500 passengers......................
Passenger, <=100 GT, ferry, <=500 435 4.4
passengers.............................
Passenger, 100 GT, cruise.... 2 0.0
Passenger, 100 GT, not ferry. 67 0.7
Passenger, 100 GT, ferry, 500 passengers..................
Passenger, 100 GT, ferry, 92 0.9
<=500 passengers.......................
MODU.................................... 159 1.6
OSV..................................... 983 9.9
-----------------
Total............................... 9,984 100.0
------------------------------------------------------------------------
\1\ Sum may not add to total due to independent rounding.
\2\ Towboats over 50 GT. This is a good proxy for towboats 6
meters.
Unit Cost Assumptions
Equipment
Costs of equipment are based on extensive research and analysis of
several studies that addressed security needs. We estimate annual O&M
cost for equipment is 5 percent of the purchase price. Not all vessels
would install each piece of equipment. Unit costs of equipment are
presented in Table 3.
[[Page 79784]]
Table 3.--Unit Cost of Equipment
------------------------------------------------------------------------
Equipment Initial Annual
------------------------------------------------------------------------
Hand-held metal detector................ $200 $10
Hand-held radio......................... 200 10
Lock.................................... 300 15
Light................................... 400 20
Camera.................................. 475 24
Auto-intrusion alarm.................... 500 25
Ship security system (SOLAS only)....... 2,000 100
Archway metal detector.................. 5,500 275
Portable vapor detector................. 8,000 400
X-ray baggage machine................... 39,000 1,950
------------------------------------------------------------------------
Personnel, Training, Drilling, and Planning
Costs of personnel and training are based on extensive research and
previous Coast Guard analyses that estimated training and planning
costs. Personnel and training costs will be incurred each year of the
analysis. Drilling costs will be incurred annually, but not initially.
Planning costs will be incurred initially and annually, with more costs
incurred initially as companies develop their security plans.
We assume costs will vary based on the types of vessels companies
own. Companies differ by size and whether or not they are ``towing''
companies. For the purpose of this analysis, we assume that a large
company owns more than 10 vessels (excluding towboats and barges). A
small company owns 10 or fewer vessels (excluding towboats and
barges).\1\ A ``towing'' company owns only towboats and barges. A
``non-towing'' company is any other company (it owns only non-towing
vessels or it owns a combination of towboats and non-towing vessels).
---------------------------------------------------------------------------
\1\ Our use of ``large'' or ``small'' to characterize a vessel
company does not have the same meaning as the SBA's definition. SBA
uses NAICS, revenues, and number of employees to determine company
size.
---------------------------------------------------------------------------
We assume that large companies will have a dedicated CSO. Small
companies will have a part-time CSO (we estimate 0.25 of a dedicated
person). CSOs and key crew will have some form of training annually as
refresher courses and to address potential employee turnover within a
company. The ISPS Code also requires all CSOs to participate in an
annual security exercise; for the purposes of this analysis, these
costs have been accounted for in the ``Port Security'' section. VSOs
will be existing personnel on board vessels that will allocate part of
their time toward security activities. Towing vessels will not have
VSOs. For VSAs and VSPs, we assume the company will prepare the core
documents, and there will be an incremental cost for each vessel
included in the assessment or plan. The incremental cost added to each
plan will be based on the number and type of vessels. We assume each
hour of planning costs an average of $100/hour. This is a ``loaded''
labor rate, which means it includes the costs of benefits and other
overhead costs. While some employees cost more than this and some cost
less, we believe $100/hour is a reasonable average cost of the
employees that would conduct this work. To calculate costs for VSAs and
VSPs, we estimated number of hours that would be required initially
(plan development and submission) and annually (plan updates), then
multiplied by hourly cost.
For drilling, the time required will depend on the number of
crewmembers aboard the vessel. We assume each hour of drilling also
costs an average of $100/hour per crewmember (again, a loaded labor
rate that represents an average cost of the labor performing these
duties). Drilling for all vessels except towboats and barges will be
conducted quarterly. Towboats and associated barges will drill under
order of the COTP (approximately every 18 months). Table 4 summarizes
personnel costs.
Table 4.--Unit Cost of Personnel
[Loaded labor costs]
----------------------------------------------------------------------------------------------------------------
Large company Small company
Personnel ---------------------------------------------------------------
Initial Annual Initial Annual
----------------------------------------------------------------------------------------------------------------
CSO............................................. $150,000 $150,000 $37,500 $37,500
CSO training.................................... 3,500 3,500 2,000 2,000
Training of key crew............................ 5,000 5,000 3,500 3,500
VSO............................................. 5,000 5,000 5,000 5,000
VSA, non-towing................................. 8,000 400 4,000 200
VSA, towing..................................... 1,600 100 800 100
VSP, non-towing................................. 8,000 400 4,000 200
VSP, towing..................................... 1,600 100 800 100
----------------------------------------------------------------------------------------------------------------
Vessel Costs
The following is a summary of the costs for each type of vessel.
Company costs are estimated separately. These costs reflect the current
state of the industry and the current level of compliance with security
rulemakings already in effect, but not cost incurred in response to the
events of September 11, 2001. Since neither the ISPS Code nor the NVICs
require specific equipment, we estimated what an ``average'' vessel
within each service type would likely install.
[[Page 79785]]
Freight Ships and Barges
Tables 5-8 present the per-vessel cost for U.S.-flagged SOLAS and
domestic freight ships and freight barges.
Table 5.--Cost per U.S.-Flagged SOLAS Freight Ship
[241 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
Portable vapor detector......... 1................... 8,000............... 8,000 1................... 400................ 400
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 16.00 hrs........... 100/hr.............. 1,600 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 15 crew....... 1,500/drill........ 6,000
-----------------------
Total cost per vessel....... .................... .................... 25,900 .................... ................... 11,949
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 6.--Cost per U.S.-Flagged SOLAS Freight Barge
[2 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
VSA (incremental cost).......... 4.00 hrs............ $100/hr............. $400 0.02 hrs............ $100/hr............ $2
VSP (incremental cost).......... 0.25 hrs............ 100/hr.............. 25 0.02 hrs............ 100/hr............. 2
-----------------------
Total cost per vessel....... .................... .................... 425 .................... ................... 4
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 7.--Cost per Domestic Freight Ship
[99 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Portable vapor detector......... 1................... 8,000............... 8,000 1................... 400................ 400
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 15 crew....... 1,500/drill........ 6,000
-----------------------
Total cost per vessel....... .................... .................... 23,100 .................... ................... 11,849
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 8.--Cost per Domestic Freight Barge
[262 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
VSA (incremental cost).......... 0.02................ $100................ $2 0.02 hrs............ 100/hr............. $2
VSP (incremental cost).......... 0.02 hrs............ 100/hr.............. 2 0.02 hrs............ 100/hr............. 2
-----------------------
Total cost per vessel....... .................... .................... 4 .................... ................... 4
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tank Ships and Barges
Tables 9-12 present the per-vessel cost for U.S.-flagged SOLAS and
domestic tank ships and tank barges.
[[Page 79786]]
Table 9.--Cost per U.S.-Flagged SOLAS Tank Ship
[114 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 16.00 hrs........... 100/hr.............. 1,600 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 15 crew....... 1,500/drill........ 6,000
-----------------------
Total cost per vessel....... .................... .................... 17,700 .................... ................... 11,539
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 10.--Cost per U.S.-Flagged SOLAS Tank Barge
[14 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
VSA (incremental cost).......... 4.00 hrs............ $100/hr............. $400 0.02 hrs............ $100/hr............ $2
VSP (incremental cost).......... 0.08 hrs............ 100/hr.............. 8 0.02 hrs............ 100/hr............. 2
-----------------------
Total cost per vessel....... .................... .................... 408 .................... ................... 4
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 11.--Cost per Domestic Tank Ship
[34 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 15 crew....... 1,500/drill........ 6,000
-----------------------
Total cost per vessel....... .................... .................... 14,900 .................... ................... 11,439
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 12.--Cost per Domestic Tank Barge
[2,891 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
VSA (incremental cost).......... 0.02 hrs............ $100/hr............. $2 0.02 hrs............ $100/hr............ $2
VSP (incremental cost).......... 0.02 hrs............ 100/hr.............. 2 0.02 hrs............ 100/hr............. 2
-----------------------
Total cost per vessel....... .................... .................... 4 .................... ................... 4
--------------------------------------------------------------------------------------------------------------------------------------------------------
Uninspected Vessels
Tables 13-15 present the per-vessel cost for U.S.-flagged SOLAS
towboats and fish processors and domestic towboats.
[[Page 79787]]
Table 13.--Cost per U.S.-Flagged SOLAS Towboat
[14 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 1................... $200................ $200 1................... $10................ $10
Lock............................ 3................... 300................. 900 3................... 15................. 45
Light........................... 2................... 400................. 800 2................... 20................. 40
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 2.00 hrs............ 100/hr.............. 200 0.02 hrs............ 100/hr............. 2
-----------------------
Total cost per vessel....... .................... .................... 4,900 .................... ................... 199
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 14.--Cost per U.S.-Flagged SOLAS Fish Processor
[39 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 3................... 200................. 600 3................... 10................. 30
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 2................... 400................. 800 2................... 20................. 40
Auto-intrusion alarm............ 2................... 500................. 1,000 2................... 25................. 50
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 2.00 hrs............ 100/hr.............. 200 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 5 crew........ 500/drill.......... 2,000
-----------------------
Total cost per vessel....... .................... .................... 13,600 .................... ................... 7,384
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 15.--Cost per Domestic Towboat
[4,645 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lock............................ 3................... $300................ $900 3................... $15................ $45
Light........................... 2................... 400................. 800 2................... 20................. 40
VSA (incremental cost).......... 0.02 hrs............ 100/hr.............. 2 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 0.02 hrs............ 100/hr.............. 2 0.02 hrs............ 100/hr............. 2
-----------------------
Total cost per vessel....... .................... .................... 1,704 .................... ................... 89
--------------------------------------------------------------------------------------------------------------------------------------------------------
U.S.-Flagged SOLAS Passenger Vessels
Tables 16 and 17 present the per-vessel cost for U.S.-flagged SOLAS
passenger vessels.
Table 16.--Cost per U.S.-Flagged SOLAS Cruise Vessel
[2 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 10.................. $200................ $2,000 10.................. $10................ $100
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 24.00 hrs........... 100/hr.............. 2,400 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 20 crew....... 2,000/drill........ 8,000
-----------------------
Total cost per vessel....... .................... .................... 11,800 .................... ................... 13,204
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 79788]]
Table 17.--Cost per Other U.S.-Flagged SOLAS Passenger Vessel
[109 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 20.................. 300................. 6,000 20.................. 15................. 300
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
Archway metal detector.......... 1................... 5,500............... 5,500 1................... 275................ 275
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 2.00 hrs............ 100/hr.............. 200 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 10 crew....... 1,000/drill........ 4,000
-----------------------
Total cost per vessel....... .................... .................... 23,400 .................... ................... 9,874
--------------------------------------------------------------------------------------------------------------------------------------------------------
Passenger Vessels <= 100 GT
Tables 18-20 present the per-vessel cost for domestic passenger
vessels.
Table 18.--Cost per Domestic Passenger Vessel, Not Ferry
[223 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 5 crew........ 500/drill.......... 2,000
-----------------------
Total cost per vessel....... .................... .................... 12,400 .................... ................... 7,314
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 19.--Cost per Domestic Ferry 500 Passengers
[43 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/ item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Archway metal detector.......... 2................... 5,500............... 11,000 2................... 275................ 550
Portable vapor detector......... 1................... 8,000............... 8,000 1................... 400................ 400
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 15 crew....... 1,500/drill........ 6,000
-----------------------
Total cost per vessel....... .................... .................... 34,100 .................... ................... 12,399
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 20.--Cost per Domestic Ferry <=500 Passengers
[435 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
[[Page 79789]]
Portable vapor detector......... 1................... 8,000............... 8,000 1................... 400................ 400
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 10 crew....... 1,000/drill........ 4,000
-----------------------
Total cost per vessel....... .................... .................... 20,600 .................... ................... 9,724
--------------------------------------------------------------------------------------------------------------------------------------------------------
Passenger Vessels 100 GT
Tables 21-24 present the per-vessel cost for domestic passenger
vessels.
Table 21.--Cost per Domestic Cruise Vessel
[2 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 10.................. $200................ $2,000 10.................. $10................ $100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 16.00 hrs........... 100/hr.............. 1,600 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 20 crew....... 2,000/drill........ 8,000
-----------------------
Total cost per vessel....... .................... .................... 9,000 .................... ................... 13,104
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 22.--Cost per Domestic Passenger Vessel, not Ferry
[67 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 10.................. 200................. 2,000 10.................. 10................. 100
Lock............................ 20.................. 300................. 6,000 20.................. 15................. 300
Camera.......................... 5................... 475................. 2,375 5................... 24................. 120
Auto-intrusion alarm............ 10.................. 500................. 5,000 10.................. 25................. 250
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 10 crew....... 1,000/drill........ 4,000
-----------------------
Total cost per vessel....... .................... .................... 21,775 .................... ................... 9,784
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 23.--Cost per Domestic Ferry 500 Passengers
[49 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 10.................. 200................. 2,000 10.................. 10................. 100
Lock............................ 20.................. 300................. 6,000 20.................. 15................. 300
Camera.......................... 5................... 475................. 2,375 5................... 24................. 120
Auto-intrusion alarm............ 10.................. 500................. 5,000 10.................. 25................. 250
Archway metal detector.......... 2................... 5,500............... 11,000 2................... 275................ 550
Portable vapor detector......... 1................... 8,000............... 8,000 1................... 400................ 400
X-ray baggage machine........... 1................... 39,000.............. 39,000 1................... 1,950.............. 1,950
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 15 crew....... 1,500/drill........ 6,000
-----------------------
[[Page 79790]]
Total cost per vessel....... .................... .................... 79,975 .................... ................... 14,694
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 24.--Cost per Domestic Ferry <=500 Passengers
[92 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 2................... $200................ $400 2................... $10................ $20
Hand-held radio................. 5................... 200................. 1,000 5................... 10................. 50
Lock............................ 20.................. 300................. 6,000 20.................. 15................. 300
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Archway metal detector.......... 2................... 5,500............... 11,000 2................... 275................ 550
Portable vapor detector......... 1................... 8,000............... 8,000 1................... 400................ 400
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 10 crew....... 1,000/drill........ 4,000
-----------------------
Total cost per vessel....... .................... .................... 35,100 .................... ................... 10,449
--------------------------------------------------------------------------------------------------------------------------------------------------------
MODUs
Tables 25 and 26 present the per-vessel cost for U.S.-flagged SOLAS
and domestic MODUs.
Table 25.--Cost per U.S.-Flagged SOLAS MODU
[2 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 5................... $200................ $1,000 5................... $10................ $50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 16.00 hrs........... 100/hr.............. 1,600 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 10 crew....... 1,000/drill........ 4,000
-----------------------
Total cost per vessel....... .................... .................... 17,500 .................... ................... 9,529
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 26.--Cost per Domestic MODU
[159 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 5................... $200................ $1,000 5................... $10................ $50
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 5................... 400................. 2,000 5................... 20................. 100
Auto-intrusion alarm............ 5................... 500................. 2,500 5................... 25................. 125
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 16.00 hrs........... 100/hr.............. 1,600 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 10 crew....... 1,000/drill........ 4,000
-----------------------
Total cost per vessel....... .................... .................... 15,500 .................... ................... 9,429
--------------------------------------------------------------------------------------------------------------------------------------------------------
OSVs
Tables 27 and 28 present the per-vessel cost for U.S.-flagged SOLAS
and domestic OSVs.
[[Page 79791]]
Table 27.--Cost per U.S.-Flagged SOLAS OSV
[75 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 3................... 200................. 600 3................... 10................. 30
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 2................... 400................. 800 2................... 20................. 40
Auto-intrusion alarm............ 2................... 500................. 1,000 2................... 25................. 50
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1hr, 4 crew......... 400/drill.......... 1,600
-----------------------
Total cost per vessel....... .................... .................... 13,800 .................... ................... 6,984
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 28.--Cost per Domestic OSV
[983 Vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held metal detector........ 1................... $200................ $200 1................... $10................ $10
Hand-held radio................. 3................... 200................. 600 3................... 10................. 30
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 2................... 400................. 800 2................... 20................. 40
Auto-intrusion alarm............ 2................... 500................. 1,000 2................... 25................. 50
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 4.00 hrs............ 100/hr.............. 400 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1hr, 4 crew......... 400/drill.......... 1,600
-----------------------
Total cost per vessel....... .................... .................... 11,800 .................... ................... 6,884
--------------------------------------------------------------------------------------------------------------------------------------------------------
Other U.S.-Flagged SOLAS Vessels
Tables 29-31 present the per-vessel cost for other U.S.-flagged
SOLAS vessels.
Table 29.--Cost per U.S.-Flagged SOLAS Oil Recovery Vessel
[1 Vessel affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 3................... $200................ $600 3................... $10................ $30
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 2................... 400................. 800 2................... 20................. 40
Auto-intrusion alarm............ 2................... 500................. 1,000 2................... 25................. 50
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 2.00 hrs............ 100/hr.............. 200 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1hr, 3 crew......... 300/drill.......... 1,200
-----------------------
Total cost per vessel....... .................... .................... 13,400 .................... ................... 6,574
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 30.--Cost per U.S.-Flagged SOLAS Research Vessel
[8 vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 3................... $200................ $600 3................... $10................ $30
Lock............................ 10.................. 300................. 3,000 10.................. 15................. 150
Light........................... 2................... 400................. 800 2................... 20................. 40
Auto-intrusion alarm............ 2................... 500................. 1,000 2................... 25................. 50
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
[[Page 79792]]
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 2.00 hrs............ 100/hr.............. 200 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 5 crew........ 500/drill.......... 2,000
-----------------------
Total cost per vessel....... .................... .................... 13,400 .................... ................... 7,374
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 31.--Cost per U.S.-Flagged SOLAS Industrial Vessel
[20 vessels affected]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio................. 1................... $200................ $200 1................... $10................ $10
Lock............................ 3................... 300................. 900 3................... 15................. 45
Light........................... 2................... 400................. 800 2................... 20................. 40
Ship security system............ 1................... 2,000............... 2,000 1................... 100................ 100
VSO............................. 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
VSA (incremental cost).......... 8.00 hrs............ 100/hr.............. 800 0.02 hrs............ 100/hr............. 2
VSP (incremental cost).......... 2.00 hrs............ 100/hr.............. 200 0.02 hrs............ 100/hr............. 2
Quarterly drills................ .................... .................... ............... 1 hr, 5 crew........ 500/drill.......... 2,000
-----------------------
Total cost per vessel....... .................... .................... 9,900 .................... ................... 7,199
--------------------------------------------------------------------------------------------------------------------------------------------------------
Company Costs
The cost per company depends on the number and type of vessels a
company owns. For this analysis, companies are defined as follows.
[sbull] Large non-towing company--company owns more than 10
vessels, none is a towboat or barge; there are 19 companies in our
population
[sbull] Large towing company--company owns more than 10 vessels, at
least one is a towboat or barge; there are 10 companies in our
population
[sbull] Small non-towing company--company owns 10 or fewer vessels,
none is a towboat or barge; there are 616 companies in our population
[sbull] Small towing company--company owns only towboats or barges,
regardless of the number; there are 1,398 companies in our population
[sbull] U.S.-flagged SOLAS company--treated as a large non-towing
company; there are 167 companies in our population
The cost per company by type is presented in Table 32.
Table 32.--Cost per Company by Type
------------------------------------------------------------------------
Company type Initial Annual
------------------------------------------------------------------------
Large non-towing company:
CSO................................. $150,000 $150,000
CSO training........................ 3,500 3,500
Training of key crew................ 5,000 5,000
VSA................................. 8,000 400
VSP................................. 8,000 400
-----------------
Total cost...................... 174,500 159,300
=================
Large towing company:
CSO................................. $150,000 $150,000
CSO training........................ 3,500 3,500
Training of key crew................ 5,000 5,000
VSA................................. 1,600 100
VSP................................. 1,600 100
-----------------
Total cost...................... 161,700 158,700
=================
Small non-towing company:
CSO................................. $37,500 $37,500
CSO training........................ 2,000 2,000
Training of key crew................ 3,500 3,500
VSA................................. 4,000 200
[[Page 79793]]
VSP................................. 4,000 200
-----------------
Total cost...................... 51,000 43,400
=================
Small towing company:
CSO................................. $37,500 $37,500
CSO training........................ 2,000 2,000
Training of key crew................ 3,500 3,500
VSA................................. 800 100
VSP................................. 800 100
-----------------
Total cost...................... 44,600 43,200
------------------------------------------------------------------------
To calculate total costs per company, we added the company-level
costs (above) and the vessel-level costs (equipment, VSO, incremental
VSA and VSP costs, drilling). Example calculations are presented below.
The companies in these examples are good representations of the types
of companies affected.
Example 1--U.S.-Flagged SOLAS Company
Company A owns 2 freight ships, 4 industrial vessels, 20 OSVs, and
4 research vessels, all of which are U.S.-flagged SOLAS vessels. The
initial and annual costs for this company are presented in Table 33.
Table 33.--Example Cost for U.S.-Flagged SOLAS Company
----------------------------------------------------------------------------------------------------------------
Initial Annual
Cost --------------------------------------------------------------------------------
Number Cost/item Total cost Cost/item Total cost
----------------------------------------------------------------------------------------------------------------
Company (Table 32)............. 1 $174,500 $174,500 $159,300 $159,300
Freight ships (Table 5)........ 2 25,900 51,800 11,949 23,898
Industrial vessels (Table 31).. 4 9,900 39,600 7,199 28,796
OSVs (Table 27)................ 20 13,800 276,000 6,984 139,680
Research vessels (Table 30).... 4 13,400 53,600 7,374 29,496
-----------------
Total company cost......... .............. .............. 595,500 .............. 381,170
----------------------------------------------------------------------------------------------------------------
Example 2a--Large Non-Towing Company (No Passenger Vessels)
Company B owns 19 MODUs and 25 OSVs (i.e., no passenger vessels).
The initial and annual costs for this company are presented in Table
34.
Table 34.--Example Cost For Large Non-Towing Company
[No Passenger Vessels]
----------------------------------------------------------------------------------------------------------------
Initial Annual
Cost Number ----------------------------------------------------------------
Cost/item Total cost Cost/item Total cost
----------------------------------------------------------------------------------------------------------------
Company (Table 32)............. 1 $174,500 $174,500 $159,300 $159,300
MODUs (Table 26)............... 19 15,500 294,500 9,429 179,151
OSVs (Table 28)................ 25 11,800 295,000 6,884 172,100
-----------------
Total company cost......... .............. .............. 764,000 .............. 510,551
----------------------------------------------------------------------------------------------------------------
Example 2b--Large Non-Towing Company (With Passenger Vessels)
Company C owns 9 ferries 100 GT or less carrying fewer than 500
passengers, 11 ferries over 100 GT carrying more than 500 passengers,
and 14 ferries over 100 GT carrying fewer than 500 passengers. The
initial and annual costs for this company are presented in Table 35.
Table 35.--Example Cost For Large Non-Towing Company
[With Passenger Vessels]
----------------------------------------------------------------------------------------------------------------
Initial Annual
Cost Number ----------------------------------------------------------------
Cost/item Total cost Cost/item Total cost
----------------------------------------------------------------------------------------------------------------
Company (Table 32)............. 1 $174,500 $174,500 $159,300 $159,300
Ferries, <= 100 GT, <= 500 9 20,600 185,400 9,724 87,516
pass. (Table 20)..............
Ferries, 100 GT, 11 79,975 879,725 14,694 161,634
500 pass. (Table
23)...........................
Ferries, 100 GT, <= 14 35,100 491,400 10,449 146,286
500 pass. (Table 24)..........
-----------------
[[Page 79794]]
Total company cost......... .............. .............. 1,731,025 .............. 544,736
----------------------------------------------------------------------------------------------------------------
Example 3--Large Towing Company
Company D owns 12 OSVs and 5 towboats. The initial and annual costs
for this company are presented in Table 36.
Table 36.--Example Cost For Large Towing Company
----------------------------------------------------------------------------------------------------------------
Initial Annual
Cost Number ----------------------------------------------------------------
Cost/item Total cost Cost/item Total cost
----------------------------------------------------------------------------------------------------------------
Company (Table 32)............. 1 $161,700 $161,700 $158,700 $158,700
OSVs (Table 28)................ 12 11,800 141,600 6,884 82,608
Towboats (Table 15)............ 5 1,704 8,520 89 445
-----------------
Total company cost......... .............. .............. 311,820 .............. 241,753
----------------------------------------------------------------------------------------------------------------
Example 4--Small Non-Towing Company
Company E owns 3 ferries 100 GT or less carrying more than 500
passengers and 6 ferries 100 GT or less carrying fewer than 500
passengers. The initial and annual costs for this company are presented
in Table 37.
Table 37.--Example Cost For Small Non-Towing Company
----------------------------------------------------------------------------------------------------------------
Initial Annual
Cost Number ----------------------------------------------------------------
Cost/item Total cost Cost/item Total cost
----------------------------------------------------------------------------------------------------------------
Company (Table 32)............. 1 $51,000 $51,000 $43,400 $43,400
Large ferries (Table 19)....... 3 34,100 102,300 12,399 37,197
Small ferries (Table 20)....... 6 20,600 123,600 9,724 58,344
-----------------
Total company cost......... .............. .............. 276,900 .............. 138,941
----------------------------------------------------------------------------------------------------------------
Example 5--Small Towing Company
Company F owns 1 freight barge, 6 tank barges, and 6 towboats. The
initial and annual costs for this company are presented in Table 38.
Table 38.--Example Cost for Small Towing Company
----------------------------------------------------------------------------------------------------------------
Initial Annual
Cost --------------------------------------------------------------------------------
Number Cost/item Total cost Cost/item Total cost
----------------------------------------------------------------------------------------------------------------
Company (Table 32)............. 1 $44,600 $44,600 $43,200 $43,200
Freight barges (Table 8)....... 1 4 4 4 4
Tank barges (Table 12)......... 6 4 24 4 24
Towboats (Table 15)............ 6 1,704 10,224 89 534
-----------------
Total company cost......... .............. .............. 54,852 .............. 43,762
----------------------------------------------------------------------------------------------------------------
Total National Cost of Vessel Security
The national cost of vessel security is the sum of the individual
cost estimated for each company affected. National cost is discounted
to its PV at 7 percent (2003-2012). The national initial and annual
cost is presented in Table 39.
Table 39.--Total National PV Cost for Vessel Security, In $Millions
[2003-2012, 7 Percent discount rate]
----------------------------------------------------------------------------------------------------------------
U.S.-flagged
SOLAS Domestic Total PV total
----------------------------------------------------------------------------------------------------------------
2003 (initial).................................. $42 $146 $188 $188
2004 (annual)................................... 33 111 144 135
2005 (annual)................................... 33 111 144 126
2006 (annual)................................... 33 111 144 118
2007 (annual)................................... 33 111 144 110
[[Page 79795]]
2008 (annual)................................... 33 111 144 103
2009 (annual)................................... 33 111 144 96
2010 (annual)................................... 33 111 144 90
2011 (annual)................................... 33 111 144 84
2012 (annual)................................... 33 111 144 79
-----------------
Total cost ($m)............................. 339 1,145 1,484 1,129
----------------------------------------------------------------------------------------------------------------
Table 40 presents the national cost for different elements of
compliance for U.S.-flagged SOLAS and domestic vessels (these costs are
not discounted).
Table 40.--Total National Initial and Annual Cost by Element of Compliance, In $Millions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
--------------------------------------------------------------------------------------------------------
Cost U.S.- U.S.-
flagged Percent of Domestic Percent of flagged Percent of Domestic Percent
SOLAS total total SOLAS total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Equipment...................................... $10 24 $36 25 $1 3 $1 1
Drilling....................................... 0 0 0 0 2 6 7 6
VSO............................................ 3 7 11 8 3 9 11 10
CSO, training.................................. 25 60 89 61 26 79 91 82
Paperwork...................................... 4 9 10 6 1 3 1 1
--------------
Total...................................... 42 100 146 100 33 100 111 100
--------------------------------------------------------------------------------------------------------------------------------------------------------
As shown, CSOs and training are the driving costs both initially
and annually. In the initial year, equipment accounts for approximately
25 percent of the total cost. Following implementation, drilling and
VSO costs are a notable portion of the costs.
Facility Security
Summary
Note: for definition of acronyms throughout this analysis, refer
to the list at the beginning of the report.
Implementing the ISPS Code could affect about 4,400 facilities.
The estimated cost for U.S. facilities to implement the ISPS Code
is PV $4.4 billion (2003 to 2012, 7 percent discount rate).
Approximately PV $2.4 billion of this total is attributable to
facilities engaged in the transfer of hazardous bulk liquids
(petroleum, edible oils, and liquefied gases). The remaining PV $2.0
billion is attributable to facilities that receive ships on
international voyages or carry more than 149 passengers. During the
initial year of compliance, the cost is attributable to purchasing
equipment, hiring security officers, and preparing paperwork. The
initial cost is an estimated $963 million (non-discounted, $478 million
for the facilities with hazardous bulk liquids, $485 million for the
other facilities). Following initial implementation, the annual cost is
an estimated $535 million (non-discounted, $300 million for the
facilities with hazardous bulk liquids, $235 million for the other
facilities).
Approximately 46 percent of the initial cost is for installing or
upgrading equipment, 37 percent for hiring and training FSOs\2\, 13
percent for hiring additional security guards, and 4 percent for
paperwork (FSAs and FSPs). Following the first year, approximately 4
percent of the annual cost is for O&M for equipment, 66 percent for
FSOs, 23 percent for security guards, 7 percent for drills, and
approximately 1 percent for paperwork (updating FSAs and FSPs).
Installing or upgrading equipment and FSOs are the primary cost drivers
for the cost of facility security.
---------------------------------------------------------------------------
\2\ The ISPS Code provides requirements for ``Port Facilities.''
The Coast Guard, however, differentiates between ports anf
facilities in domestic regulations. As a result, for the purposes of
this cost analysis, the terms PFSO, PFSA, and PFSP have been
replaced with FSO, FSA, and FSP for the facility security section.
---------------------------------------------------------------------------
The paperwork burden for developing FSAs and FSPs is approximately
465,000 hours during the initial year. In subsequent years, the annual
burden is approximately 17,000 hours.
Analysis
Period of Analysis
The period of analysis is 2003-2012 (10 years). Implementation will
become effective in 2004, but we assume that companies will purchase
equipment and develop security plans prior to the effective date. We
assume, therefore, that initial costs will be incurred in 2003, and
annual costs will be incurred each year 2004-2012.
Population Affected
Implementing the ISPS Code would affect about 4,400 facilities that
engage in the transfer of hazardous substances or that service vessels
on international voyages. The facility population affected is presented
in Table 41. To determine the number of facilities we used data from
the U.S. Army Corps of Engineers, DOT's National Ferry Database, and
the Coast Guard's MSMS database.
Table 41.--Estimated Facility Population 1 2 3
------------------------------------------------------------------------
Percent
Facility Count \4\
------------------------------------------------------------------------
Container and break-bulk.......................... 263 6.0
Dry bulk.......................................... 255 5.8
Hazardous bulk liquid............................. 2,718 6.2
Hazardous substance (other)....................... 565 12.9
Other bulk liquid................................. 150 3.4
Ferry............................................. 306 7.0
Other passenger................................... 108 2.5
------------
Total......................................... 4,365 100.0
------------------------------------------------------------------------
\1\ Facilities that transfer, store, or otherwise contain hazardous
cargoes.
\2\ Facilities servicing vessels that carry more than 149 passengers.
\3\ Facilities receiving ships on international voyages.
\4\ Sum may not add to total due to independent rounding.
[[Page 79796]]
Container and break-bulk facilities include container, general
cargo, and Ro-Ro facilities. Hazardous bulk liquid facilities include
petroleum, liquefied gases, and edible oils. Other hazardous substances
are dry hazardous cargoes specified in 33 CFR 126, 127, and 154. The
cargoes are further discussed in 49 CFR 172 and 46 CFR 148.
We recognize that not all facilities will incur the same cost for
personnel salaries, hire the same number of security guards or spend
the same hours in drafting FSAs and FSPs. For the purpose of this
analysis we have divided the facility population in two. One group is
composed of one third of all facilities and would pay high salaries,
hire more guards, and spend more time drafting FSAs and FSPs than the
other group composed of two thirds of the total population. Facilities
in the first group are addressed in this analysis as ``A'' and
facilities in the second group as ``B.''
Unit Cost Assumptions
Equipment
Costs of equipment are based on internal Coast Guard data and
market research. We estimate annual O&M cost for equipment is 5 percent
of the purchase price. Not all facilities will install each piece of
equipment. The unit costs for upgrading or installing equipment are
presented in Table 42.
Table 42.--Unit Cost of Equipment
------------------------------------------------------------------------
Equipment Initial Annual
------------------------------------------------------------------------
Hand-held radio................................... $200 $10
Upgrading/installing gates........................ 100,000 5,000
Upgrading/installing CCTV......................... 130,000 6,500
Upgrading/installing lights....................... 200,000 10,000
Upgrading/installing communications system........ 300,000 15,000
Upgrading/installing fencing...................... 500,000 25,000
------------------------------------------------------------------------
Personnel, Training, Drilling, and Planning
Costs of personnel and training are based on extensive research and
previous Coast Guard analyses that estimated training and planning
costs.
We assume that group A facilities will have a dedicated FSO while
facilities in group B will have a part-time FSO (we estimate 0.25 or
0.5 of a dedicated person depending on the type of facility). FSOs or
key facility personnel will have training annually as refresher courses
and to address potential employee turnover within a facility. We also
assume that the cost of a full time FSO is $150,000 per year. The ISPS
Code requires all FSOs to participate in an annual security exercise;
for the purposes of this analysis, these costs have been accounted for
in the ``Port Security'' section.
The cost of a security guard was determined using the annual wage
estimate from the 2001 National Occupation Employment and Wage
Statistics published by the BLS. We took the annual salary for the
upper 90th percentile of $28,660 per year and multiplied (or
``loaded'') this estimate by an assumed average benefit multiplier of
1.4 to create a wage that reflects current industry benefits and
administrative costs paid by owners and operators. We assumed this
higher-than-average wage reflects a full-time, permanent wage for
skilled labor.
Personnel and training costs will be incurred each year of the
analysis. Drilling costs will be incurred quarterly, but not initially.
Planning costs will be incurred initially and annually, with more costs
incurred initially as facilities develop their security plans.
We assume each hour of planning or drilling costs an average of
$100/hour. This is a ``loaded'' labor rate, which means it includes the
costs of benefits and other overhead costs. While some employees cost
more than this and some cost less, we believe $100/hour is a reasonable
average cost of the employees that would conduct this work. Drilling
for all facilities will be conducted following initial implementation
of the ISPS Code. We assume that conducting a quarterly drill would
take about 2 hours per facility. We also assume that group A facilities
will use 20 people in conducting the drill and that group B facilities
will use 5 people. Table 43 summarizes personnel costs.
Table 43.--Unit Cost of Personnel
--------------------------------------------------------------------------------------------------------------------------------------------------------
Group A Group B dry bulk Group B other
Personnel -----------------------------------------------------------------------------------------------
Initial Annual Initial Annual Initial Annual
--------------------------------------------------------------------------------------------------------------------------------------------------------
FSO..................................................... $150,000 $150,000 $75,000 $75,000 $37,500 $37,500
Security guard.......................................... 40,000 40,000 40,000 40,000 40,000 40,000
FSA..................................................... 8,000 400 4,000 100 4,000 100
FSP..................................................... 8,000 400 4,000 100 4,000 100
Training................................................ 5,000 5,000 3,500 3,500 3,500 3,500
Quarterly drill......................................... .............. 4,000 .............. 1,000 .............. 1,000
--------------------------------------------------------------------------------------------------------------------------------------------------------
Facility costs
Facilities differ greatly from one another, and they must do a
variety of activities to implement the ISPS Code. Within group A or
group B facilities, we assume that a facility will have to upgrade/
install equipment based on cargo received and current level of
compliance with the ISPS Code. For example, to comply with the ISPS
Code a facility may upgrade/install CCTV, lights, or fencing, but it
does not have to do all three. For illustration purposes, Tables 44 and
45 present potential costs for a non-specific group A facility and a
non-specific group B facility.
Table 44.--Initial and Annual Cost for a Non-specific Group A Facility
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Communications system........... 1................... $300,000............ $300,000 1................... $15,000............ $15,000
Gates........................... 1................... 100,000............. 100,000 1................... 5,000.............. 5,000
Hand-held radio................. 18.................. 200................. 3,600 18.................. 10................. 180
[[Page 79797]]
Security guards................. 9................... 40,000.............. 360,000 9................... 40,000............. 360,000
FSO............................. 1................... 150,000............. 150,000 1................... 150,000............ 150,000
Training........................ 1................... 5,000............... 5,000 1................... 5,000.............. 5,000
FSA............................. 80 hrs.............. 100/hr.............. 8,000 4 hrs............... 100/hr............. 400
FSP............................. 80 hrs.............. 100/hr.............. 8,000 4 hrs............... 100/hr............. 400
Quarterly drills................ .................... .................... ............... 4................... 4,000.............. 16,000
-----------------------
Base cost per facility...... .................... .................... 934,600 .................... ................... 551,980
=======================
Cost per facility with CCTV..... 1................... 130,000............. $1,064,600 1................... 6,500.............. $558,480
Cost per facility with lights... 1................... 200,000............. 1,134,600 1................... 10,000............. 561,980
Cost per facility with fencing.. 1................... 500,000............. 1,434,600 1................... 25,000............. 576,980
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 45.--Initial and Annual Cost for a Non-Specific Group B Facility
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
Item -----------------------------------------------------------------------------------------------------------------------
Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Communications system........... 1................... $300,000............ $300,000 1................... $15,000............ $15,000
Gates........................... 1................... 100,000............. 100,000 1................... 5,000.............. 5,000
Hand-held radio................. 18.................. 200................. 3,600 18.................. 10................. 180
Security guards................. 3................... 40,000.............. 120,000 3................... 40,000............. 120,000
FSO............................. 1................... 37,500.............. 37,500 1................... 37,500............. 37,500
Training........................ 1................... 3,500............... 3,500 1................... 3,500.............. 3,500
FSA............................. 40 hrs.............. 100/hr.............. 4,000 1 hr................ 100/hr............. 100
FSP............................. 40 hrs.............. 100/hr.............. 4,000 1 hr................ 100/hr............. 100
Quarterly drills................ .................... .................... ............... 4................... 1,000.............. 4,000
-----------------------
Base cost per facility.......... .................... .................... 572,600 .................... ................... 185,380
Cost per facility with CCTV..... 1................... 130,000............. 702,600 1................... 6,500.............. 191,880
Cost per facility with lights... 1................... 200,000............. 772,600 1................... 10,000............. 195,380
Cost per facility with fencing.. 1................... 500,000............. 1,072,600 1................... 25,000............. 210,380
--------------------------------------------------------------------------------------------------------------------------------------------------------
The estimated percentage of facilities that would need to purchase,
install, or upgrade security measures is presented in Table 46. The
figure in each cell represents the percentage of facilities of that
type that would install or employ the various security items.
Table 46.--Estimated Percentage of Facilities That Will Purchase or Enhance Security Measures, by Facility Type 1, 2, 3
--------------------------------------------------------------------------------------------------------------------------------------------------------
Container, Haz. bulk Other bulk Other
Item break-bulk Dry bulk liquid Haz. sub other liquid Ferry passenger
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hand-held radio.................. 5 70 5 5 10 5 5
Gates............................ 30 70 10 5 10 60 (A), 80 (B) 5
CCTV............................. 5 10 5 5 10 10 5
Lights........................... 5 60 5 5 10 10 5
Coms system...................... 5 0 5 5 10 0 5
Fencing.......................... 5 20 5 5 10 50 5
Security guards.................. 30 70 10 5 10 60 (A), 80 (B) 5
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Facilities that transfer, store, or otherwise contain hazardous cargoes.
\2\ Facilities servicing vessels that carry more than 149 passengers.
\3\ Facilities receiving ships on international voyages.
Tables 47 through 60 present initial and annual costs of complying
with the ISPS Code for different types of facilities.
Table 47.--Initial and Annual Cost for Container or Break-Bulk Facilities, Group A
[87 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 4 (5%) 1 $300,000 $1,200,000 1 $15,000 $60,000
Gates.................................. 26 (30%) 1 100,000 2,600,000 1 5,000 130,000
Hand-held radio........................ 4 (5%) 18 200 14,400 18 10 720
CCTV................................... 4 (5%) 1 130,000 520,000 1 6,500 26,000
[[Page 79798]]
Lights................................. 4 (5%) 1 200,000 800,000 1 10,000 40,000
Fencing................................ 4 (5%) 1 500,000 2,000,000 1 25,000 100,000
Security guards........................ 26 (30%) 15 40,000 15,600,000 15 40,000 15,600,000
FSO.................................... 87 (100%) 1 150,000 13,050,000 1 150,000 13,050,000
Training............................... 87 (100%) 1 5,000 435,000 1 5,000 435,000
FSA.................................... 87 (100%) 1 8,000 696,000 1 400 34,800
FSP.................................... 87 (100%) 1 8,000 696,000 1 400 34,800
Quarterly drills....................... 87 (100%) .............. .............. ............... 1 16,000 1,392,000
-----------------
Total cost......................... .............. .............. .............. 37,611,400 .............. .............. 30,903,320
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 48.--Initial and Annual Cost for Container or Break-Bulk Facilities, Group B
[176 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 9 (5%) 1 $300,000 $2,700,000 1 $15,000 $135,000
Gates.................................. 53 (30%) 1 100,000 5,300,000 1 5,000 265,000
Hand-held radio........................ 9 (5%) 18 200 32,400 18 10 1,620
CCTV................................... 9 (5%) 1 130,000 1,170,000 1 6,500 58,500
Lights................................. 9 (5%) 1 200,000 1,800,000 1 10,000 90,000
Fencing................................ 9 (5%) 1 500,000 4,500,000 1 25,000 225,000
Security guards........................ 53 (30%) 4 40,000 8,480,000 4 40,000 8,480,000
FSO.................................... 176 (100%) 1 37,500 6,600,000 1 37,500 6,600,000
Training............................... 176 (100%) 1 3,500 616,000 1 3,500 616,000
FSA.................................... 176 (100%) 1 4,000 704,000 1 100 17,600
FSP.................................... 176 (100%) 1 4,000 704,000 1 100 17,600
Quarterly drills....................... 176 (100%) .............. .............. ............... 1 4,000 704,000
-----------------
Total cost......................... .............. .............. .............. 32,606,400 .............. .............. 17,210,320
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 49.--Initial and Annual Cost for Dry Bulk Facilities, Group A
[84 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gates.................................. 59 (70%) 1 $100,000 $5,900,000 1 $5,000 $295,000
Hand-held radio........................ 59 (70%) 2 200 23,600 2 10 1,180
CCTV................................... 8 (10%) 1 130,000 1,040,000 1 6,500 52,000
Lights................................. 50 (60%) 1 200,000 10,000,000 1 10,000 500,000
Fencing................................ 17 (20%) 1 500,000 8,500,000 1 25,000 425,000
Security guards........................ 59 (70%) 2 40,000 4,720,000 2 40,000 4,720,000
FSO.................................... 84 (100%) 1 150,000 12,600,000 1 150,000 12,600,000
Training............................... 84 (100%) 1 5,000 420,000 1 5,000 420,000
FSA.................................... 84 (100%) 1 8,000 672,000 1 400 33,600
FSP.................................... 84 (100%) 1 8,000 672,000 1 400 33,600
Quarterly drills....................... 84 (100%) .............. .............. ............... 1 16,000 1,344,000
-----------------
Total cost......................... .............. .............. .............. 44,547,600 .............. .............. 20,424,380
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 50.--Initial and Annual Cost for Dry Bulk Facilities, Group B
[171 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gates.................................. 120 (70%) 1 $100,000 $12,000,000 1 $5,000 $600,000
Hand-held radio........................ 120 (70%) 2 200 48,000 2 10 2,400
CCTV................................... 17 (10%) 1 130,000 2,210,000 1 6,500 110,500
Lights................................. 103 (60%) 1 200,000 20,600,000 1 10,000 1,030,000
Fencing................................ 34 (20%) 1 500,000 17,000,000 1 25,000 850,000
[[Page 79799]]
Security guards........................ 120 (70%) 1 40,000 4,800,000 1 40,000 4,800,000
FSO.................................... 171 (100%) 1 75,000 12,825,000 1 75,000 12,825,000
Training............................... 171 (100%) 1 3,500 598,500 1 3,500 598,500
FSA.................................... 171 (100%) 1 4,000 684,000 1 100 17,100
FSP.................................... 171 (100%) 1 4,000 684,000 1 100 17,100
Quarterly drills....................... 171 (100%) .............. .............. ............... 1 4,000 684,000
-----------------
Total cost......................... .............. .............. .............. 71,449,500 .............. .............. 21,534,600
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 51.--Initial and Annual Cost for Hazardous Bulk Liquid Facilities, Group A
[897 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 45 (5%) 1 $300,000 $13,500,000 1 $15,000 $675,000
Gates.................................. 90 (10%) 1 100,000 9,000,000 1 5,000 450,000
Hand-held radio........................ 45 (5%) 18 200 162,000 18 10 8,100
CCTV................................... 45 (5%) 1 130,000 5,850,000 1 6,500 292,500
Lights................................. 45 (5%) 1 200,000 9,000,000 1 10,000 450,000
Fencing................................ 45 (5%) 1 500,000 22,500,000 1 25,000 1,125,000
Security guards........................ 90 (10%) 9 40,000 32,400,000 9 40,000 32,400,000
FSO.................................... 897 (100%) 1 150,000 134,550,000 1 150,000 134,550,000
Training............................... 897 (100%) 1 5,000 4,485,000 1 5,000 4,485,000
FSA.................................... 897 (100%) 1 8,000 7,176,000 1 400 358,800
FSP.................................... 897 (100%) 1 8,000 7,176,000 1 400 358,800
Quarterly drills....................... 897 (100%) .............. .............. ............... 1 16,000 14,352,000
-----------------
Total cost......................... .............. .............. .............. 245,799,000 .............. .............. 189,505,200
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 52.--Initial and Annual Cost for Hazardous Bulk Liquid Facilities, Group B
[1,821 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 91 (5%) 1 $300,000 $27,300,000 1 $15,000 $1,365,000
Gates.................................. 182 (10%) 1 100,000 18,200,000 1 5,000 910,000
Hand-held radio........................ 91 (5%) 18 200 327,600 18 10 16,380
CCTV................................... 91 (5%) 1 130,000 11,830,000 1 6,500 591,500
Lights................................. 91 (5%) 1 200,000 18,200,000 1 10,000 910,000
Fencing................................ 91 (5%) 1 500,000 45,500,000 1 25,000 2,275,000
Security guards........................ 182 (10%) 3 40,000 21,840,000 3 40,000 21,840,000
FSO.................................... 1,821 (100%) 1 37,500 68,287,500 1 37,500 68,287,500
Training............................... 1,821 (100%) 1 3,500 6,373,500 1 3,500 6,373,500
FSA.................................... 1,821 (100%) 1 4,000 7,284,000 1 100 182,100
FSP.................................... 1,821 (100%) 1 4,000 7,284,000 1 100 182,100
Quarterly drills....................... 1,821 (100%) .............. .............. ............... 1 4,000 7,284,000
-----------------
Total cost......................... .............. .............. .............. 232,426,600 .............. .............. 110,217,080
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 53.--Initial and Annual Cost for Hazardous Substance (Other) Facilities, Group A
[186 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 9 (5%) 1 $300,000 $2,700,000 1 $15,000 $135,000
Gates.................................. 9 (5%) 1 100,000 900,000 1 5,000 45,000
Hand-held radio........................ 9 (5%) 18 200 32,400 18 10 1,620
CCTV................................... 9 (5%) 1 130,000 1,170,000 1 6,500 58,500
Lights................................. 9 (5%) 1 200,000 1,800,000 1 10,000 90,000
Fencing................................ 9 (5%) 1 500,000 4,500,000 1 25,000 225,000
[[Page 79800]]
Security guards........................ 9 (5%) 9 40,000 3,240,000 9 40,000 3,240,000
FSO.................................... 186 (100%) 1 150,000 27,900,000 1 150,000 27,900,000
Training............................... 186 (100%) 1 5,000 930,000 1 5,000 930,000
FSA.................................... 186 (100%) 1 8,000 1,488,000 1 400 74,400
FSP.................................... 186 (100%) 1 8,000 1,488,000 1 400 74,400
Quarterly drills....................... 186 (100%) .............. .............. ............... 1 16,000 2,976,000
-----------------
Total cost......................... .............. .............. .............. 46,148,400 .............. .............. 35,749,920
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 54.--Initial and Annual Cost for Hazardous Substance (Other) Facilities, Group B
[379 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 19 (5%) 1 $300,000 $5,700,000 1 $15,000 $285,000
Gates.................................. 19 (5%) 1 100,000 1,900,000 1 5,000 95,000
Hand-held radio........................ 19 (5%) 18 200 68,400 18 10 3,420
CCTV................................... 19 (5%) 1 130,000 2,470,000 1 6,500 123,500
Lights................................. 19 (5%) 1 200,000 3,800,000 1 10,000 190,000
Fencing................................ 19 (5%) 1 500,000 9,500,000 1 25,000 475,000
Security guards........................ 19 (5%) 3 40,000 2,280,000 3 40,000 2,280,000
FSO.................................... 379 (100%) 1 37,500 14,212,500 1 37,500 14,212,500
Training............................... 379 (100%) 1 3,500 1,326,500 1 3,500 1,326,500
FSA.................................... 379 (100%) 1 4,000 1,516,000 1 100 37,900
FSP.................................... 379 (100%) 1 4,000 1,516,000 1 100 37,900
Quarterly drills....................... 379 (100%) .............. .............. ............... 1 4,000 1,516,000
-----------------
Total cost......................... .............. .............. .............. 44,289,400 .............. .............. 20,582,720
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 55.--Initial and Annual Cost for Other Bulk Liquid Facilities, Group A (50 Facilities)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 5 (10%) 1 $300,000 $1,500,000 1 $15,000 $75,000
Gates.................................. 5 (10%) 1 100,000 500,000 1 5,000 25,000
Hand-held radio........................ 5 (10%) 18 200 18,000 18 10 900
CCTV................................... 5 (10%) 1 130,000 650,000 1 6,500 32,500
Lights................................. 5 (10%) 1 200,000 1,000,000 1 10,000 50,000
Fencing................................ 5 (10%) 1 500,000 2,500,000 1 25,000 125,000
Security guards........................ 5 (10%) 2 40,000 400,000 2 40,000 400,000
FSO.................................... 50 (100%) 1 150,000 7,500,000 1 150,000 7,500,000
Training............................... 50 (100%) 1 5,000 250,000 1 5,000 250,000
FSA.................................... 50 (100%) 1 8,000 400,000 1 400 20,000
FSP.................................... 50 (100%) 1 8,000 400,000 1 400 20,000
Quarterly drills....................... 50 (100%) .............. .............. ............... 1 16,000 800,000
-----------------
Total cost......................... .............. .............. .............. 15,118,000 .............. .............. 9,298,400
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 56.--Initial and Annual Cost for Other Bulk Liquid Facilities, Group B
[100 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 10 (10%) 1 $300,000 $3,000,000 1 $15,000 $150,000
Gates.................................. 10 (10%) 1 100,000 1,000,000 1 5,000 50,000
Hand-held radio........................ 10 (10%) 18 200 36,000 18 10 1,800
CCTV................................... 10 (10%) 1 130,000 1,300,000 1 6,500 65,000
Lights................................. 10 (10%) 1 200,000 2,000,000 1 10,000 100,000
Fencing................................ 10 (10%) 1 500,000 5,000,000 1 25,000 250,000
Security guards........................ 10 (10%) 1 40,000 400,000 1 40,000 400,000
[[Page 79801]]
FSO.................................... 100 (100%) 1 75,000 7,500,000 1 75,000 7,500,000
Training............................... 100 (100%) 1 3,500 350,000 1 3,500 350,000
FSA.................................... 100 (100%) 1 4,000 400,000 1 100 10,000
FSP.................................... 100 (100%) 1 4,000 400,000 1 100 10,000
Quarterly drills....................... 100 (100%) .............. .............. ............... 1 4,000 400,000
-----------------
Total cost......................... .............. .............. .............. 21,386,000 .............. .............. 9,286,800
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 57.--Initial and Annual Cost for Ferry Terminals, Group A
[101 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gates.................................. 61 (60%) 1 $100,000 $6,100,000 1 $5,000 $305,000
Hand-held radio........................ 5 (5%) 12 200 12,000 12 10 600
CCTV................................... 10 (10%) 1 130,000 1,300,000 1 6,500 65,000
Lights................................. 10 (10%) 1 200,000 2,000,000 1 10,000 100,000
Fencing................................ 51 (50%) 1 500,000 25,500,000 1 25,000 1,275,000
Security guards........................ 61 (60%) 6 40,000 14,640,000 6 40,000 14,640,000
FSO.................................... 101 (100%) 1 150,000 15,150,000 1 150,000 15,150,000
Training............................... 101 (100%) 1 5,000 505,000 1 5,000 505,000
FSA.................................... 101 (100%) 1 8,000 808,000 1 400 40,400
FSP.................................... 101 (100%) 1 8,000 808,000 1 400 40,400
Quarterly drills....................... 101 (100%) .............. .............. ............... 1 16,000 1,616,000
-----------------
Total cost......................... .............. .............. .............. 66,823,000 .............. .............. 33,737,400
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 58.--Initial and Annual Cost for Ferry Terminals, Group B
[205 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gates.................................. 164 (80%) 1 $30,000 4,920,000 1 $1,500 $246,000
Hand-held radio........................ 10 (5%) 12 200 24,000 12 10 1,200
CCTV................................... 21 (10%) 1 130,000 2,730,000 1 6,500 136,500
Lights................................. 21 (10%) 1 200,000 4,200,000 1 10,000 210,000
Fencing................................ 103 (50%) 1 500,000 51,500,000 1 25,000 2,575,000
Security guards........................ 164 (80%) 2 40,000 13,120,000 2 40,000 13,120,000
FSO.................................... 205 (100%) 1 37,500 7,687,500 1 37,500 7,687,500
Training............................... 205 (100%) 1 3,500 717,500 1 3,500 717,500
FSA.................................... 205 (100%) 1 4,000 820,000 1 100 20,500
FSP.................................... 205 (100%) 1 4,000 820,000 1 100 20,500
Quarterly drills....................... 205 (100%) .............. .............. ............... 1 4,000 820,000
-----------------
Total cost......................... .............. .............. .............. 86,539,000 .............. .............. 25,554,700
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 59.--Initial and Annual Cost for Passenger Terminals, Group A
[36 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 2 (5%) 1 $300,000 $600,000 1 $15,000 $30,000
Gates.................................. 2 (5%) 1 100,000 200,000 1 5,000 10,000
Hand-held radio........................ 2 (5%) 18 200 7,200 18 10 360
CCTV................................... 2 (5%) 1 130,000 260,000 1 6,500 13,000
Lights................................. 2 (5%) 1 200,000 400,000 1 10,000 20,000
Fencing................................ 2 (5%) 1 500,000 1,000,000 1 25,000 50,000
Security guards........................ 2 (5%) 15 40,000 1,200,000 15 40,000 1,200,000
FSO.................................... 36 (100%) 1 150,000 5,400,000 1 150,000 5,400,000
Training............................... 36 (100%) 1 5,000 180,000 1 5,000 180,000
[[Page 79802]]
FSA.................................... 36 (100%) 1 8,000 288,000 1 400 14,400
FSP.................................... 36 (100%) 1 8,000 288,000 1 400 14,400
Quarterly drills....................... 36 (100%) .............. .............. ............... 1 16,000 576,000
-----------------
Total cost......................... .............. .............. .............. 9,823,200 .............. .............. 7,508,160
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 60.--Initial and Annual Cost for Passenger Terminals, Group B
[72 Facilities]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coms system............................ 4 (5%) 1 $300,000 $1,200,000 1 $15,000 $60,000
Gates.................................. 4 (5%) 1 100,000 400,000 1 5,000 20,000
Hand-held radio........................ 4 (5%) 18 200 14,400 18 10 720
CCTV................................... 4 (5%) 1 130,000 520,000 1 6,500 26,000
Lights................................. 4 (5%) 1 200,000 800,000 1 10,000 40,000
Fencing................................ 4 (5%) 1 500,000 2,000,000 1 25,000 100,000
Security guards........................ 4 (5%) 4 40,000 640,000 4 40,000 640,000
FSO.................................... 72 (100%) 1 37,500 2,700,000 1 37,500 2,700,000
Training............................... 72 (100%) 1 3,500 252,000 1 3,500 252,000
FSA.................................... 72 (100%) 1 4,000 288,000 1 100 7,200
FSP.................................... 72 (100%) 1 4,000 288,000 1 100 7,200
Quarterly drills....................... 72 (100%) .............. .............. ............... 1 4,000 288,000
-----------------
Total cost......................... .............. .............. .............. 9,102,400 .............. .............. 4,141,120
--------------------------------------------------------------------------------------------------------------------------------------------------------
Example cost calculations for different facility owners are
presented below. The companies in these examples are good
representations of the types of companies affected.
Example 1--Ferry Terminal Owner
Company A owns 11 group A and 21 group B terminals. The estimated
costs for this company are presented in Table 61.
Table 61.--Example Cost for Ferry Terminal Owner
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Group A terminals:
Gates.............................. 7 (60%) 1 $100,000 $700,000 1 $5,000 $35,000
Hand-held radio.................... 1 (5%) 12 200 2,400 12 10 120
CCTV............................... 1 (10%) 1 130,000 130,000 1 6,500 6,500
Lights............................. 1 (10%) 1 200,000 200,000 1 10,000 10,000
Fencing............................ 6 (10%) 1 500,000 3,000,000 1 25,000 1 50,000
Security guards.................... 7 (60%) 6 40,000 1,680,000 2 40,000 1,680,000
FSO................................ 11 (100%) 1 150,000 1,650,000 1 150,000 1,650,000
Training........................... 11 (100%) 1 5,000 55,000 1 5,000 55,000
FSA................................ 11 (100%) 1 8,000 88,000 1 400 4,400
FSP................................ 11 (100%) 1 8,000 88,000 1 400 4,400
Quarterly drills................... 11 (100%) .............. .............. ............... 1 16,000 176,000
-----------------
Subtotal....................... .............. .............. .............. 7,593,400 .............. .............. 3,771,420
Group B terminals:
Gates.............................. 17 (80%) 1 30,000 510,000 1 15,000 25,500
Hand-held radio.................... 1 (5%) 12 200 2,400 12 10 120
CCTV............................... 2 (10%) 1 130,000 260,000 1 6,500 13,000
Lights............................. 2 (10%) 1 200,000 400,000 1 10,000 20,000
Fencing............................ 11 (50%) 1 500,000 5,500,000 1 25,000 275,000
Security guards.................... 17 (80%) 2 40,000 1,360,000 2 40,000 1,360,000
FSO................................ 21 (100%) 1 37,500 787,500 1 37,500 787,500
Training........................... 21 (100%) 1 3,500 73,500 1 3,500 73,500
FSA................................ 21 (100%) 1 4,000 84,000 1 100 2,100
FSP................................ 21 (100%) 1 4,000 84,000 1 100 2,100
Quarterly drills................... 21 (100%) .............. .............. ............... 1 4,000 84,000
-----------------
[[Page 79803]]
Subtotal....................... .............. .............. .............. 9,061,400 .............. .............. 2,642,820
=================
Grand total................ .............. .............. .............. 16,654,800 .............. .............. 6,414,240
--------------------------------------------------------------------------------------------------------------------------------------------------------
Example 2--Dry Bulk Facility Owner
Company B owns 7 group A and 13 group B dry bulk facilities. The
estimated costs for this company are presented in Table 62.
Table 62.--Example Cost for Dry Bulk Facility Owner
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Group A facilities:
Gates.............................. 5 (70%) 1 $100,000 $500,000 1 $5,000 $25,000
Hand-held radio.................... 5 (70%) 2 200 2,000 2 10 100
CCTV............................... 1 (10%) 1 130,000 130,000 1 6,500 6,500
Lights............................. 4 (60%) 1 200,000 800,000 1 10,000 40,000
Fencing............................ 1 (20%) 1 500,000 500,000 1 25,000 25,000
Security guards.................... 5 (70%) 2 40,000 400,000 2 40,000 400,000
FSO................................ 7 (100%) 1 150,000 1,050,000 1 150,000 1,050,000
Training........................... 7 (100%) 1 5,000 35,000 1 5,000 35,000
FSA................................ 7 (100%) 1 8,000 56,000 1 400 2,800
FSP................................ 7 (100%) 1 8,000 56,000 1 400 2,800
Quarterly drills................... 7 (100%) .............. .............. ............... 1 16,000 112,000
-----------------
Subtotal....................... .............. .............. .............. 3,529,000 .............. .............. 1,699,200
Group B facilities:
Gates.............................. 9 (70%) 1 $100,000 $900,000 1 $1,500 $45,000
Hand-held radio.................... 9 (70%) 2 200 3,600 2 10 180
CCTV............................... 1 (10%) 1 130,000 130,000 1 6,500 6,500
Lights............................. 8 (60%) 1 200,000 1,600,000 1 10,000 80,000
Fencing............................ 3 (20%) 1 500,000 1,500,000 1 25,000 75,000
Security guards.................... 9 (70%) 1 40,000 360,000 1 40,000 360,000
FSO................................ 13 (100%) 1 75,000 975,000 1 75,000 975,000
Training........................... 13 (100%) 1 3,500 45,500 1 3,500 45,500
FSA................................ 13 (100%) 1 4,000 52,000 1 100 1,300
FSP................................ 13 (100%) 1 4,000 52,000 1 100 1,300
Quarterly drills................... 13 (100%) .............. .............. ............... 1 4,000 52,000
-----------------
Subtotal....................... .............. .............. .............. 5,618,100 .............. .............. 1,641,780
=================
Grand total................ .............. .............. .............. 9,147,100 .............. .............. 3,340,980
--------------------------------------------------------------------------------------------------------------------------------------------------------
Example 3--Petroleum Facility Owner
Company C owns 7 group A and 13 group B petroleum facilities. The
estimated costs for this company are presented in Table 63.
Table 63.--Example Cost for Petroleum Facility Owner
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number (%) Initial Annual
Item estimated to ------------------------------------------------------------------------------------------------
purchase/draft Number Cost/item Total cost Number Cost/item Total cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Group A facilities:
Gates.............................. 1 (10%) 1 $100,000 $100,000 1 $5,000 $5,000
Security guards.................... 1 (10%) 9 40,000 360,000 9 40,000 360,000
FSO................................ 7 (100%) 1 150,000 1,050,000 1 150,000 1,050,000
Training........................... 7 (100%) 1 5,000 35,000 1 5,000 35,000
FSA................................ 7 (100%) 1 8,000 56,000 1 400 2,800
FSP................................ 7 (100%) 1 8,000 56,000 1 400 2,800
[[Page 79804]]
Quarterly drills................... 7 (100%) .............. .............. ............... 1 16,000 112,000
-----------------
Subtotal....................... .............. .............. .............. 1,657,000 .............. .............. 1,567,600
Group B facilities:
Coms system........................ 1 (5%) 1 $300,000 $300,000 1 $15,000 $15,000
Gates.............................. 1 (10%) 1 100,000 100,000 1 5000 5,000
Hand-held radio.................... 1 (5%) 18 200 3,600 18 10 180
CCTV............................... 1 (5%) 1 130,000 130,000 1 6,500 6,500
Lights............................. 1 (5%) 1 200,000 200,000 1 10,000 10,000
Fencing............................ 1 (5%) 1 500,000 500,000 1 25,000 25,000
Security guards.................... 1 (10%) 3 40,000 120,000 3 40,000 120,000
FSO................................ 13 (100%) 1 37,500 487,500 1 37,500 487,500
Training........................... 13 (100%) 1 3,500 45,500 1 3,500 45,500
FSA................................ 13 (100%) 1 4,000 52,000 1 100 1,300
FSP................................ 13 (100%) 1 4,000 52,000 1 100 1,300
Quarterly drills................... 13 (100%) .............. .............. ............... 1 4,000 52,000
-----------------
Subtotal........................... .............. .............. .............. 1,990,600 .............. .............. 769,280
=================
Grand total.................... .............. .............. .............. 3,647,600 .............. .............. 2,336,880
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total national cost for facility security
The national cost of the facility security aspects of the ISPS Code
is the sum of the individual costs estimated for each facility
affected. National cost is discounted to its PV at 7 percent
(2003[dash]2012). The total national initial and annual cost is
presented in Table 64.
Table 64.--Total National PV Cost for Facility Security, in $Millions
[2003-2012, 7 Percent Discount Rate]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Other
Year Container, Dry bulk Haz. bulk Haz. sub bulk Ferry Other Total PV Total
break-bulk liquid other liquid passenger
--------------------------------------------------------------------------------------------------------------------------------------------------------
2003 (initial)...................................... $70 $116 $478 $90 $37 $153 $19 $963 $963
2004 (annual)....................................... 48 42 300 55 19 59 12 535 500
2005 (annual)....................................... 48 42 300 55 19 59 12 535 467
2006 (annual)....................................... 48 42 300 55 19 59 12 535 437
2007 (annual)....................................... 48 42 300 55 19 59 12 535 408
2008 (annual)....................................... 48 42 300 55 19 59 12 535 381
2009 (annual)....................................... 48 42 300 55 19 59 12 535 356
2010 (annual)....................................... 48 42 300 55 19 59 12 535 333
2011 (annual)....................................... 48 42 300 55 19 59 12 535 311
2012 (annual)....................................... 48 42 300 55 19 59 12 535 291
-------------
Total........................................... 502 494 3,178 585 208 684 127 5,778 4,447
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 65 presents the national cost for different elements of
implementing the ISPS Code for facilities (these costs are not
discounted).
Table 65.--Total National Initial and Annual Cost by Element of Compliance, in $Millions
----------------------------------------------------------------------------------------------------------------
Percent of Percent of
Element Initial cost total Annual cost total
----------------------------------------------------------------------------------------------------------------
FSA............................................. $23 2 $1 0
FSP............................................. 23 2 1 0
FSO............................................. 335 35 335 63
Training........................................ 17 2 17 3
Drilling........................................ 0 0 35 7
Security guards................................. 124 13 124 23
Equipment....................................... 441 46 22 4
-----------------
Total....................................... 963 100 509 100
----------------------------------------------------------------------------------------------------------------
[[Page 79805]]
As shown, upgrading/installing equipment is the driving costs of
implementing the ISPS Code initially. Annually, FSOs are the driving
cost. In the initial year, FSOs account for approximately 35 percent of
the initial cost and increase in significance to 66 percent annually.
Port Security
Summary
Note: for definition of acronyms throughout this analysis, refer
to the list at the beginning of the report.
Implementing the ISPS Code and NVICs could affect stakeholders in
47 COTP AORs containing 361 ports.\3\ The following analysis details
preliminary costs to public and private stakeholders and does not
include costs to the Coast Guard.
---------------------------------------------------------------------------
\3\ The ISPS Code provides requirements for ``Port Facilities.''
The Coast Guard, however, differentiates between ports and
facilities in domestic regulations. As a result, for the purposes of
this cost analysis, the terms PFSC and PFSP have been replaced with
PSC and PSP for the port security section.
---------------------------------------------------------------------------
The preliminary cost estimate of implementing ISPS Code as it
pertains to port security is PV $477 million (2003-2012, 7 percent
discount rate). The initial cost of the startup period (June 2003-
December 2003) for establishing PSCs and creating PSPs in all AORs is
estimated to be $120 million (non-discounted). Following the startup
period, the first year of implementation (2004), consisting of monthly
PSC meetings and PSP drill exercises for all AORs, is estimated to be
$106 million (non-discounted). After the first year of implementation,
the annual cost of quarterly PSC meetings and PSP drills for all AORs
is estimated to be $46 million (non-discounted). The startup period
cost associated with creating PSCs and PSPs for each AOR is the primary
cost driver of implementing the ISPS Code at U.S. ports. Both the
startup and implementation year period (2003-2004) combined is nearly
half of the total 10-year PV cost estimate, making initial development,
planning, and testing the primary costs of port security.
Implementing the ISPS Code and complying with NVICs would require
all COTPs to develop security committees, plans, and training drills
for their AORs, with the participation of maritime transportation
stakeholders in their AORs. The above costs to stakeholders would be
paperwork, travel, and communication costs associated with
participation in PSP implementation.
We estimate 1,090,400 hours of paperwork and other associated
planning activities during 2003, the initial period of port security
meetings and development. In 2004, the first year of implementation, we
estimate the value will rise slightly to 1,278,400 hours of paperwork
and other related information and communication activities related to
monthly PSC meetings. In subsequent years, we estimate the hours will
fall to 827,200 hours annually associated with PSC meetings, PSP
revisions, and information drills.
Analysis
Period of Analysis
The period of analysis is from mid 2003 (the startup year) to 2012
(approximately 10 years). The port security aspects would be effective
in 2004, so we assume the last 6 months in 2003 of the project to be a
startup period of establishing PSCs and creating PSPs for all COTP
AORs. We assume, therefore, that initial costs will be incurred in
2003, and annual costs will be incurred each year 2004-2012.
Population Affected
Implementing the ISPS Code would affect stakeholders nationally in
47 COTP AORs containing 361 total ports. The Army Corps of Engineers
Navigation Data Center and MARAD provided the data for total ports
affected. For this analysis, ``ports'' include all areas located within
or adjacent to a marine environment through which maritime commerce is
conducted or people are transported. Consistent with NVIC 9-02,
Guidelines for Port Security Committees and Port Security Plans
Required for U.S. Ports, and parts A and B of the ISPS Code, PSPs will
be developed by PSCs headed by COTPs. COTPs also determine the size and
composition of the PSCs. The affected population per COTP AOR is
assumed to be stakeholders who participate in the PSC, planning, and
drilling. A stakeholder is considered to be any business, organization,
(non-Federal) government entity, or individual involved with maritime
commerce in a given port area.
We believe the composition and number of stakeholders will vary
greatly from AOR to AOR and will be determined by the commercial scope
of the ports in each AOR. For the purpose of estimating average costs,
we assumed the average level of meeting, planning, and drilling
participation to be 200 stakeholders per AOR, based on discussions with
COTPs and estimates of average U.S. facility and vessel presence per
port. We understand that some AORs may have higher participation levels
and other AORs have very lower participation levels; however, we
believe this to be a reasonable national estimate of stakeholder
participation per AOR.
Unit Cost Assumptions
The port security implementation cost per stakeholder is expected
to be small in comparison to facility and vessel security
implementation. Stakeholders are not required to purchase or upgrade
materials or services, as in the implementation of the ISPS Code for
facilities or vessels. Some companies and facilities are required to
have CSOs and FSOs (as detailed in the vessel and facility security
sections) attend at least one of the quarterly PSC meetings a year;
however, we expect few stakeholders to fully participate in all of the
implementation or annual activities for a given COTP AOR. Finally, most
stakeholders in large to medium-sized ports have already completed or
adopted appropriate and transferable PSPs before the ISPS Code will
become effective.
All costs for ISPS Code implementation for port security are
related to personnel. Stakeholder hourly costs are assumed to be $100
per burden hour for managerial personnel and $35 per burden hour for
administrative/clerical personnel. These costs are ``loaded'' wage
rates, which means they include benefits, local travel, and other
overhead costs. These rates are based on BLS data and previous Coast
Guard analyses that estimated meeting and planning costs. While some
employees cost more than this and some cost less, we believe these
estimates for the two labor types are reasonable average costs of the
employees that would conduct this work.
The stakeholder costs are divided into three hourly activities: PSC
meetings, PSP development, and drilling, which include tabletop
management drills and administrative drills. PSC meetings are estimated
to consume an average of 6 hours for office preparation and meeting
time, plus 2 hours of travel time. PSC meetings are monthly for the
first 18 months and quarterly thereafter. Initial PSP development and
planning is estimated to be a maximum of 80 hours (2 weeks) of non-PSC
meeting time in 2003. PSP administrative and management drills are
information and communication exercises that will take place at the
stakeholder site. Administrative drills will occur twice a year for 2
hours to update company and facility contact information. Management
drills will occur four times
[[Page 79806]]
a year for 4 hours to exercise PSP information and communication
readiness. These activities collectively involve meetings, planning
coordination, and communication drills that are information-gathering
events. Costs to stakeholders, therefore, are determined by the labor
rates and the number of hours each type of labor will be involved in
each activity.
The frequency of the PSC meeting activity, estimated hours, and
unit cost per stakeholder at a full participation level is presented in
Table 66, and the frequency of the PSP planning and drill activities,
estimated hours, and unit cost per stakeholder at a full participation
level is presented in Table 67.
Table 66.--PSC Meeting Frequency, Hours, and Unit Cost per Stakeholder
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
----------------------------------------------------------------
Stakeholder meeting Hours per Frequency \1\ Cost per hour Total hours Total hours
meeting per Total cost per per Total cost per
stakeholder stakeholder stakeholder stakeholder
--------------------------------------------------------------------------------------------------------------------------------------------------------
Startup PSC meetings--2003...... 8 1/month.............. $100 48 $4,800 .............. ..............
Annual PSC meetings:
2004........................ 8 1/month.............. 100 .............. ............... 96 9,600
2005-2012................... 8 4/year............... 100 .............. ............... 28 2,800
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Startup meetings (July-December 2003) consist of monthly planning meetings; the first year of implementation beginning 2004 consists of 12 monthly
meetings; meetings for future years will be quarterly.
Table 67.--PSP Planning and Drill Frequency, Hours, and Unit Cost per Stakeholder
--------------------------------------------------------------------------------------------------------------------------------------------------------
Initial Annual
----------------------------------------------------------------
Stakeholder activity Hours per Frequency Cost per hour Total hours Total hours
activity per Total cost per per Total cost per
stakeholder stakeholder stakeholder stakeholder
--------------------------------------------------------------------------------------------------------------------------------------------------------
PSP Planning--Year 2003......... 80 1/year............... $100 80 $8,000 .............. ..............
PSP Drilling (2004-2012):
Management.................. 4 4/year............... 100 .............. ............... 16 400
Administrative.............. 2 2/year............... 35 .............. ............... 4 140
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total National Cost for Port Security
We estimated national cost (both initial and annual) to public and
private stakeholders for implementation of the ISPS Code for port
security. Each cost is discounted to its PV at 7 percent for years
2003-2012. National cost for port security is presented in Table 68.
Table 68.--Total National PV Cost for Port Security, In $Millions
[2003-2012, 7 percent discount rate]
----------------------------------------------------------------------------------------------------------------
PSPs Meetings Drills Total PV total
----------------------------------------------------------------------------------------------------------------
2003 (initial).................. $75 $45 $ $120 $120
2004 (annual)................... .............. 90 16 106 99
2005 (annual)................... .............. 30 16 46 40
2006 (annual)................... .............. 30 16 46 38
2007 (annual)................... .............. 30 16 46 35
2008 (annual)................... .............. 30 16 46 33
2009 (annual)................... .............. 30 16 46 31
2010 (annual)................... .............. 30 16 46 29
2011 (annual)................... .............. 30 16 46 27
2012 (annual)................... .............. 30 16 46 25
-----------------
Total cost ($m)............. 75 375 144 594 $477
----------------------------------------------------------------------------------------------------------------
As shown, the initial cost associated with creating a PSP and
holding development PSC meetings for each AOR is the primary cost
driver for implementing the ISPS Code at U.S. ports. In addition, both
the startup and implementation year periods (2003-2004) combined are
nearly half of the total 10-year PV cost, making initial development
and planning the primary costs to port security. These estimates are
conservative because most COTP AORs have already done some security
planning and organization. Furthermore, the level of stakeholder
participation may not be as high as 200 per COTP AOR, and stakeholders
will not be required to participate in all of the port security
activities and drills in a given year.
[FR Doc. 02-32845 Filed 12-24-02; 11:41am]
BILLING CODE 4910-15-P