European Maritime Safety Agency Training on …€¦ · in respect of Ship Security European Maritime Safety Agency Training on Maritime Security ... Ship Security Plan (procedures

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Obligations for

Maritime Administrations

in respect of Ship Security

European Maritime Safety Agency

Training on Maritime Security

9 -10 November 2010

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Overview

1. EU Maritime Security Legislation

2. Role of Administrations

3. Commission inspections

4. Case Studies

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How many EU legislative acts on ship security?

• Regulation (EC) No 725/2004 of 31 March 2004 on enhancing ship & port facility security (implements SOLAS XI-2 & ISPS Code)

• Commission Decision 2009/83/EC of 23 January 2009 amending Regulation (EC) No 725/2004 (IMO Company ID number required on ISSC)

• Regulation (EC) No 219/2009 of 11 March 2009 amending Regulation (EC) No 725/2004 (Comitology)

• Commission Regulation (EC) No 324/2008 of 9 April 2008 (Commission inspections)

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EU Maritime Security Legislation

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Regulation (EC) No.725/2004:

– 17 Recital

– 15 Articles

– Annex I – SOLAS 74, as amended, Chapter XI-2

– Annex II – ISPS Code, Part A , mandatory

– Annex III – ISPS Code, Part B, mandatory for

paragraphs listed in Article 3.5


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Article 1 - Outlines the objectives of the regulation

Objectives – Harmonised interpretation and implementation (SOLAS

amendments including ISPS Code)

Regulation (EC) No.725/2004

Article 3 – Scope (Application)

1. International Shipping 1 July 2004

2. Domestic shipping 1 July 2005

(Chap.XI-2 of SOLAS and Part A of ISPS Code to Class A passenger ships (Art.4

of Council Directive 98/18/EC) including port facilities serving Class A passenger ships)

3. Extent of application 1 July 2007

(other domestic shipping and their companies, based on security risk

assessment)

- Review security risk assessment by 1 July 2012, then at least every 5 years! (Reg.725/2004, Article 3.3)


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Informing the IMO, Commission and MS’s:

1. Details of the names & contact details of the officials

2. On security concerns (B/4.16) and if any ship has been

expelled or refused entry (B/4.41)

3. List of port facilities identified by MS’s – occasionally serve

international voyages!


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Article 4 – Communication of information


Enforcing SOLAS Chapter XI-2 regulation 13

(security related information to be relayed to IMO)

24hrs

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Article 8 – Security checks in Member State ports

Certificate verification as defined in paragraph 1.1 of regulation 9 (SOLAS

Chap.XI-2) – competent authority for maritime security or by inspectors

defined in Art.2(5) of Directive 95/21/EC (PSC).

Article 8.1 “Where the officer conducting the certificate verification (…) has

clear grounds (…) but does not belong to an authority which in that

Member State is responsible for carrying out the measures provided for in

paragraphs 1.2 and 1.3 of regulation 9 (…) s/he shall immediately refer

the matter to the said authority”

Enforcing port State control as mandated by SOLAS


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Article 9 – Implementation and conformity checking

9(1) – MS shall carry administrative and control tasks +

ensure that all necessary means are allocated and effectively

provided

9(2) – Designate a focal point

9(3) – Obligation of Members States to develop a national

programme (implementation process) (Doc. 0305 and Proposal

MSC 84/4/4)

9(4) – Monitoring reports – outcome of MS national inspections

(Doc. 01707 final)


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Article 10 - MARSEC Committee

– Tasks

• Integration of amendments to the international instruments

• Definition of harmonised procedures

• Define, as appropriate, a common position

Article 11 - MARSEC Committee

– Appointment


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MARSEC Common Interpretations (MARSEC Doc.3306)

Already agreed in MARSEC – should be implemented by Member States:

1. Regulation (EC) 725/2004 - Interpretations:

– “Relevant companies”, Article 9(4)

– Exceptions for "vessels not engaged in commercial activities“, Article 3.7

– Traditional sailing vessels (Doc.0102)

2. Alternative Security Agreements - Updated Guidelines (Doc.1705)

3. Directive 2005/65/EC:

– Workshops: 25 October 2006 & 21 October 2010

4. Security Levels:

– Setting of SL – Committee appropriate forum for this!

– Communicating changes in SL

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5. Interpretation of International Rules:

– Coordination between MS’s; including submissions to the IMO on maritime security issues

6. Security pre-arrival information by ships (Doc.0508 & Doc.0602)

7. Changes to Port Facility Security Plans (Doc.2205 Rev.1)

8. Changes to Ship Security Plans (Doc.2204 Rev.2)

9. Covert access tests onboard foreign flag ships (Doc.2802, point 7 of 27th MARSEC)

10. Monitoring reports: Templates (Doc.1707)

11. IMO unique company & registered owner ID number scheme (Minutes of the 26th MARSEC)

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12. Languages of records (Minutes of the 26th MARSEC, Doc.2702)

13. Commission Regulation (EC) No 324/2008: Article 16 for Major NC (Doc.2905)

14. SSAS on non-SOLAS ships (Doc. 3106 and Doc. 3302)

Currently under discussion:

• Laid-up ships (Doc. 3205, Annex 4 rev.3)

• Drills & Exercises

• ISSC with minor deviations (Doc. 3505)

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Implementation - Key issues

1. Administrations – Setting Security Levels

2. Ship Security Assessment – Ship Security Plan (procedures

corresponding to security level set)

3. Flag State – RSO – SSP Approval

4. On board Verification & Certification

5. Implementation – Security Management System (drills,

training, records, etc)

6. Control and Compliance

7. Commission oversight and inspections

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Overview




4. Scenarios

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1. Designating responsible national authorities (Art.2)

2. Deciding scope of application to domestic ships

3. Notifying information to COM, IMO and EU Member States

4. Decide national requirements for security regime

5. Responding to external events/requests

6. Setting and notifying changes to Security Levels

7. Verification of SSPs and Certification of ships

8. National programme

9. National oversight regimes

Key tasks…

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Role of Administrations

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Who is responsible for what?

Designate:

• Competent authorities for ship security

• Recipients of SSAS

• To act re control and compliance measures on ships

• Provide advice and assistance to ships

• RSOs (but: appointment is optional)

Notify:

• COM

• IMO (GISIS http://gisis.imo.org/Public/IAS/Public/Login.aspx?ReturnUrl=%2fPublic%2fISPS%2fDefault.aspx)

• EU Member States (Reg. 725/2004, Article 4)

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http://gisis.imo.org/Public/IAS/Public/Login.aspx?ReturnUrl=%2fPublic%2fISPS%2fDefault.aspx

http://gisis.imo.org/Public/IAS/Public/Login.aspx?ReturnUrl=%2fPublic%2fISPS%2fDefault.aspx

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1. Designating responsible national authorities









Key tasks…

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Scope of application:

• Article 3(1) - International shipping by 1 July 2004

• Article 3(2) - Class A ships and their companies by 1 July

2005

• Article 3(4) - Other domestic shipping, based on a security

risk assessment, by 1 July 2007

– Review security risk assessment by 1 July 2012, then

at least every 5 years (Reg.725/2004, Article 3.3)

Notify:

• COM

• EU Member States

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Key tasks…

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Instructions to ships:

• Changes to SSPs requiring prior approval (A/9.5)

• When a Declaration of Security (DoS) should be requested by ships – based on risk assessment (A/5.1)

• The minimum period a DoS must be retained on board (A/5.7)

• The period for retention of records on board (A/10.1)

• To ensure that appropriate measures against unauthorised disclosure of SSA & SSP (B/4.1)

• Establish safe manning levels considering security workload of crew (B/4.28 - Mandatory under Reg.725/Article 3.5)

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Key tasks…

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Respond to external events:

1. Set SL and provide ships entitled to fly their flag with info on the SL and guidance for protection from security incidents

(Reg. XI-2/3.1 and ISPS Code A/4.1 & 7.9)

2. Notify changes to flag ships based on intelligence about the likelihood of a security incident

(ISPS Code A/4.1)

3. Notify port State when SL2 or SL3 are set (ISPS Code A/7.8)

4. Give instructions on security measures at SL3 (ISPS Code A/4.2)

5. Notify the State (s) in the vicinity of which the ship is presently operating if SSAS is activated

(SOLAS XI-2/6.6)


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Key tasks…

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What is relevant?

1. Approved SSP and relevant amendments on board (A/9.1 & A/9.5.1)

2. To ensure appropriate measures against unauthorised disclosure of the SSA & SSP (B/4.1)

3. To determine which changes to an approved SSP shall not be implemented (A/9.5)

4. Test approved SSP (A/4.4)

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1. Specify the period of validity (max. 5 years) for ISSCs

(A/19.3.1)

2. Specify, but not exceeding 5 years, a renewal verification interval

(A/19.1.1.2)

3. Carry out:

Initial verifications to ensure full compliance with the security requirements and SSPs

(A/19.1.1.1)

Renewal verifications (A/19.1.1.2)

Intermediate verifications (A/19.1.1.3)

Additional verifications (A/19.1.1.4)

Or delegate these tasks to RSOs

(A/19.1.2 & 19.2.2)

Duration and validity of Certificate


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Decide on extending the validity of individual ISSCs:

1. Up to 5 years if ISSC originally for less (A/19.3.3)

2. If renewal verification carried out but new ISSC cannot be

issued or placed on board before expiry of the existing

certificate (A/19.3.4) – BUT NOT EXCEEDING 5 MONTHS

3. To allow a ship to reach port if ISSC expires when at sea

(A/19.3.5)

4. Extend for grace period of to one month where ship engaged

on short voyages (A/19.3.6)


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An ISSC cease to be valid when?

1.Relevant verifications out of the periods

(A/19.3.8.1)

2.Certificate not endorsed accordingly

(A/19.3.8.2)

3.Different Company assumes the operation of

the ship (A/19.3.8.3)

4.Transfer to another flag (A/19.3.8.4)


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1. To verify compliance with Regulation 725/2004 (A/19.1.2)

2. To issue identification documents to Government Officials entitled to board ship (B/4.18)

3. To specify, but not exceeding five years, a renewal verification interval (A/19.1.1.2 & 19.3.1)

4. To determine any additional verification (optional) (A/19.1.1.4)

5. To fully guarantee the completeness and efficiency of the verification (A/19.1.3)

6. No changes in an approved ship security system, in associated security equipment or in the approved SSP, shall be made without the sanction of the Administration (A/19.1.4)

7. To provide sanctions for breaching the provisions of Regulation 725/2004 (Article 14)

Verification

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1. To issue the ISSC (A/19.2.2 and B/1.6 (not mandatory))

2. To extend the validity of the Certificate, if less than 5 years (optional) (A/19.3)

3. To endorse the Certificate if a renewal verification has been completed but a new certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate (A/19.3.4)

4. To issue an Interim ISSC (A/19.4)

For Interim ISSC….

NO CG shall cause a subsequent, consecutive Interim ISSC

IF in the judgement of the Administration or the RSO

one of the purposes of the ship or Company is requesting to

avoid full compliance with Chapter XI-2 and part A (A/19.4.5)

Certification

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What’s new after 1 January 2009?

COMMISSION DECISION 2009/83/EC

of 23 January 2009

• Amends Regulation (EC) No 725/2004

• Mandates IMO Unique Company ID Number Scheme

under IMO Resolution MSC 196(80)

• Applies to ships engaged on both international and

domestic voyages within scope of article 3(2) of Reg.

725/2004

• ISSCs issued on or after 1 January 2009 must

include the Company identification number

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• Oversee implementation by industry and other bodies appointed to carry out tasks on their behalf:

– Test the effectiveness of SSPs (ISPS Code A/4.4)

• Carry out checks to guarantee the completeness and efficiency of verifications – flag State control (ISPS Code A/19.1.3)

– Must be done even if verification and certification is delegated to RSOs

– Includes monitoring and verification of RSOs

Oversight regimes

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RSOs may be delegated the following tasks:

• Carry out the SSA for a specific ship (A/8.3)

• Prepare the SSP for a ship (A/9.1.1)

• Review and approve SSPs (A/9.2)

– but preparation must be by a different RSO (A/9.2.1)

• Carry out verifications of ships (A/19.1.2)

• Issue an ISSC for a ship (A/19.2.2)

• Endorsement of ISSCs (A/19.3.4)

• Issue an Interim ISSC for a ship (A/19.4.3)

Delegation of tasks to RSOs…

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Administrations must:

• Lay down criteria on which to base appointment

• Verify applicants meet the criteria before appointment

• Specify any national requirements or guidance (e.g. security threats) to be taken into account in SSAs and SSPs

• Verify RSOs continue to meet the criteria for their appointment – national inspections of RSOs

• Verify the quality of RSOs’ work - flag State inspections/verifications of ships

• Specify frequency and scope of additional verifications

• Fully guarantee the completeness and efficiency of the verification (A/19.1.3)

Authorising an RSO (B/4.5) …

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Key tasks …

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Regulation (EC) 725/2004, Article 9(3):

“Each Member State shall adopt a national programme for the

implementation of this Regulation”

• Allocation of responsibilities within Administration

• Administration oversight regimes for ships, companies, RSOs - flag State control

• Instructions and guidance to companies, ships and RSOs in respect of ship security

– for SSPs, DoS, records, verifications etc.

– contact points for security advice, SSAS etc.

• Scope of application to domestic traffic

National programme (MARSEC Doc. 0305)

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Overview




4. Case Studies

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COMMISSION REGULATION (EC) No 324/2008

of 9 April 2008

laying down revised procedures for conducting Commission inspections in the field of

maritime security

– Purpose of inspections is to monitor the application by Member States of Regulation (EC) 725/2004

– Member States have an obligation to co-operate with the Commission prior to and during inspections

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Commission inspections

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• Ensure that Commission inspectors can exercise their authority to inspect

• Complete pre-inspection questionnaires (when necessary/requested)

• Ensure full access to relevant documents:

– National programme

– Monitoring reports

– SSA and SSP

– ISSC

– …

• Facilitate inspections on board flag ships

Co-operation with Commission inspections

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Commission inspections

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Administrations must have in place the structures, procedures and personnel to ensure

that the security responsibilities allocated to them can be carried out effectively,

comprehensively and in a timely manner.

Conclusion

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“A EU security system needs…

…EU implementation”

Documents

European Maritime Safety Agency Training on …€¦ · in respect of Ship Security European Maritime Safety Agency Training on Maritime Security ... Ship Security Plan (procedures