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PORT & SHIPPING GLOBAL COMPLIANCESBY

DR. D. SINHA, IIFT, Kolkata CampusISPS SOLASMARPOLCOMPLIANCEISPS

The USS Cole bombing a suicide attack against the United States Navy guided-missile destroyer USSCole(DDG-67) on 12 October 2000, while it was harbored and being refuelled in the Yemeni port of Aden.

17 American sailors were killed, and 39 were injured.

The USS Cole (DDG 67) is towed away from the port city of Aden, Yemen, into open sea by the Military Sealift Command ocean-going tug USNS Catawba (T-ATF 168) on Oct. 29, 2000.

Cole placed aboard the Norwegian heavy transport ship M/V Blue Marlin and transported back to the United States for repair

A Singapore special police forces commando is seen on board a container vessel during a security exercise at Singapore's port Source: msnbc.com updated 6/21/2004 10:20:51 AM ET Kolkata port on high alert after terror threatHT Correspondents, Hindustan Times Kolkata/ New Delhi, November 04, 2014Security forces in Kolkata are on high alert following a central intelligence warning that the citys port may be the target of an attack by militants posing as fishermen, home ministry officials told HT on Tuesday.Central Industrial Security Force (CISF) headquarters in Delhi alerted top West Bengal and Kolkata police officials on Monday through an email, cautioning them of a possible attack on the port by Pakistani navy-backed terrorists.The Indian navy moved two warships INS Khukri and INS Sumitra out of the port after receiving the alert and increased patrolling in the sea. The ships were supposed to be open to the public on Wednesday and Thursday.The alert came after Pakistani security forces foiled an attempt by al-Qaeda militants to capture a Pakistani frigate at Karachi in September. The militants aimed to use the ship to attack Indian and American vessels in the Indian Ocean.The International Ship and Port Facility Security (ISPS )is a comprehensive set of measures to enhance the security of ships and port facilities,

developed in response to the perceived threats to ships and port facilities in the wake of the 9/11 attacks in the United States.

The ISPS Code is implemented through chapter XI-2 Special measures to enhance maritime security in the International Convention for the Safety of Life at Sea (SOLAS), 1974.

The Code has two parts, one mandatory and one recommendatory.

ISPS CodeIn essence, the Code takes the approach that ensuring the security of ships and port facilities is a risk management activity and that,

to determine what security measures are appropriate, an assessment of the risks must be made in each particular case.

The purpose of the Code is to provide a standardised, consistent framework for:

evaluating risk,

enabling Governments to offset changes in threat with changes in vulnerability for ships and port facilities

through determination of appropriate security levels and corresponding security measures.What has changed since 1 July 2004?The biggest change is that the Contracting Governments to the 1974 SOLAS Convention are able to formally exercise of control over ships in accordance with the provisions of chapter XI-2 and of the ISPS Code.

At the same time, the Contracting Governments are obliged to address all the objectives and functional requirements of the ISPS Code and to ensure that appropriate security measures and procedures are in place in the port facilities and waterways located within their territory.

The new requirements form the international framework through which Governments, ships and port facilities can co-operate to detect and deter acts which threaten security in the maritime transport sector.

The new regulatory maritime security regime will have a huge impact for those port facilities and ship operators who had not already taken on board the increased threat to maritime security in the current climate. They will need to catch up, according to the rules and guidelines in the ISPS Code.

For those Governments and ship operators who have already implemented enhanced security regimes, the ISPS Code formalises and standardises globally the security measures.ISPSThe point is that there is a very real threat. We have already seen attacks on maritime infrastructures elsewhere (such as Yemen and Iraq).

The whole idea of the ISPS Code is to reduce the vulnerability of the industry to attack, thus countering the threat and reducing the risk.

There are potential commercial benefits to the maritime industry in implementing the Code.

It seems clear that, in the long run, implementation of the Code should provide considerable cost-benefit for the port industry as a whole and for individual ports.

By putting in place an effective and compliant security regime, ports will be able to continue to participate fully in global trade and, of course, the potential economic consequences of a major security breach, which might result in disruption or even port closure, are serious indeed.What does implementing the ISPS Code involve?Ship and port facility security is a risk management activity.

As with all risk management efforts, the most effective course of action is to eliminate the source of the threat.

Eliminating the source of the threat, which in this case is those that would commit acts of terrorism or otherwise threaten the security of ships or of the port facilities, is essentially a Government function.

100% security is an aim but cannot be guaranteed - hence the risk reduction approach to lessen possibilities to the lowest practicableWhat does implementing the ISPS Code involve?In order to determine what security measures are appropriate, Governments must assess the threat and evaluate the risk of a potential unlawful act.

The ISPS Code provides a standardized, consistent framework for managing risk and

permitting the meaningful exchange and evaluation of information between Contracting Governments, companies, port facilities, and ships.

What does implementing the ISPS Code involve?Because each ship and each port facility is subject to different threats, the method by which they will meet the specific requirements of this ISPS Code will be determined and eventually be approved by the Administration or Contracting Government, as the case may be.In order to communicate the threat at a port facility or for a ship and to initiate the appropriate response actions the Contracting Government must set the appropriate security level. The security level creates a link between the ship and the port facility, since it triggers the implementation of appropriate security measures for the ship and for the port facility.

What does implementing the ISPS Code involve?As threat increases, the only logical counteraction is to reduce vulnerability.

This ISPS Code provides several ways to reduce vulnerabilities.

Each ship and each port facility will have to determine the measures needed to intensify its security measures to appropriately offset the threat by reducing its vulnerability.

After 1 July 2004 ships and port facilities will be required to demonstrate that they are implementing proper and standardized risk management procedures.

The different security levels referred to in the ISPS CodeSecurity level 1: normal, the level at which the ship or port facility normally operates.

Security level 1 means the level for which minimum appropriate protective security measures shall be maintained at all times.

Security level 2: heightened, the level applying for as long as there is a heightened risk of a security incident.

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.

The different security levels referred to in the ISPS CodeSecurity level 3: exceptional, the level applying for the period of time when there is the probable or imminent risk of a security incident.

Security level 3 means the level for which further specific protective security measures shall be maintained for a limited period of time when a security incident is probable or imminent, although it may not be possible to identify the specific target.

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.

The security levels may change from security level 1, through security level 2 to security level 3Other measures adopted in addition to the ISPS CodeThe measures adopted in 2002 include:

Modifications to SOLAS Chapter V (Safety of Navigation) contain a new timetable for the fitting of Automatic Information Systems (AIS).

Ships, other than passenger ships and tankers, of 300 gross tonnage and upwards but less than 50,000 gross tonnage, will be required to fit AIS not later than the first safety equipment survey after 1 July 2004 or by 31 December 2004, whichever occurs earlier.

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."Other measures adopted in addition to the ISPS CodeThe existing SOLAS Chapter XI (Special measures to enhance maritime safety) has been re-numbered as Chapter XI-1. Regulation XI-1/3 is modified to require ships' identification numbers to be permanently marked in a visible place either on the ship's hull or superstructure.

Passenger ships should carry the marking on a horizontal surface visible from the air.

Ships should also be marked with their ID numbers internally.

A new regulation XI-1/5 requires ships to be issued with a Continuous Synopsis Record (CSR) which is intended to provide an on-board record of the history of the ship. Other measures adopted in addition to the ISPS CodeThe CSR shall be issued by the Administration and shall contain information such as: the name of the ship and of the State whose flag the ship is entitled to fly, the date on which the ship was registered with that State, the ship's identification number, the port at which the ship is registered and the name of the registered owner(s) and their registered address.

Any changes shall be recorded in the CSR so as to provide updated and current information together with the history of the changes.

New Chapter XI-2 (Special measures to enhance maritime security)A new Chapter XI-2 (Special measures to enhance maritime security) is added after the renumbered Chapter XI-1.Other measures adopted in addition to the ISPS CodeThis chapter applies to passenger ships and cargo ships of 500 gross tonnage and upwards, including high speed craft, mobile offshore drilling units and port facilities serving such ships engaged on international voyages.

Regulation XI-2/2 of the new chapter enshrines the International Ship and Port Facilities Security Code (ISPS Code).

Part A of this Code is mandatory and part B contains guidance as to how best to comply with the mandatory requirements.

Other measures adopted in addition to the ISPS CodeRegulation XI-2/3 requires Administrations to set security levels and ensure the provision of security level information to ships entitled to fly their flag.

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 that security level is higher than the security level set by the Administration for that ship.

Regulation XI-2/8 confirms the role of the Master in exercising his professional judgement over decisions necessary to maintain the security of the ship.

It says he shall not be constrained by the Company, the charterer or any other person in this respect.Other measures adopted in addition to the ISPS CodeRegulation XI-2/6 requires all ships to be provided with a ship security alert system, according to a strict timetable that will see most vessels fitted by 2004 and the remainder by 2006.

When activated the ship security alert system shall initiate and transmit a ship-to-shore security alert to a competent authority designated by the Administration, identifying the ship, its location and indicating that the security of the ship is under threat or it has been compromised.

The system will not raise any alarm on-board the ship. The ship security alert system shall be capable of being activated from the navigation bridge and in at least one other location.

Other measures adopted in addition to the ISPS CodeRegulation XI-2/10 covers requirements for port facilities, providing among other things for Contracting Governments to ensure that :port facility security assessments are carried out and that port facility security plans are developed, implemented and reviewed in accordance with the ISPS Code.

Other regulations in this chapter cover the provision of information to IMO, the control of ships in port (including measures such as the delay, detention, restriction of operations including movement within the port, or expulsion of a ship from port), and the specific responsibility of CompaniesISPS - OBJECTIVESTo establish an international framework to detect security threats and take preventive measures against security incidents affecting ships and port facilities used in INTERNATIONAL TRADE.

To establish the respective roles and responsibilities of all parties concerned at the national and international level for ensuring MARITIME SECURITY.

AGENCIES RESPONSIBLEContracting GovernmentsGovernment AgenciesShipping Industries Port Industries Local Administrations

ISPS CODE Risk Management for PortsRequirements include :Port Facility Security Plans - PFSPPort Facility Security Officers PFSO

ISPS CODE Risk Management for Port facilitiesRequirements include :

Monitoring & controlling access Monitoring the activities of people and cargo Ensuring security communications.

ISPS CODE IS APPLICABLE TO :Passenger ships, including passenger high-speed craft

Cargo ships, including high-speed craft of 500 gross tonnage and upwards

Mobile offshore drilling units

Port facilities serving ships engaged on international voyages

Part A is mandatory Part B is a Guidance but may become mandatory.

ISPS CODE Part A - Mandatory Requirements1 - General2 - Definition3 - Application4 - Responsibilities of Contracting Governments5 - Declaration Of Security ( DOS )6 - Obligations of the Company7 - Ship security8 - Ship Security Assessment9 - Ship Security Plan10 Records

Apply to Ship 11 - Company Security Officer12 - Ship Security Officer13 - Training, drills and exercises on ship14 - Verification and certification for ship

Apply to Port facility15 - Port Facility Security

16 - Port Facility Security Assessment

17 - Port Facility Security Plan

18 - Port Facility Security Officer

19 - Training, drills and exercises on port facility

ISPS CODE FUNCTIONAL REQUIREMENTSGathering and assessing information with respect to security threatsRequiring the maintenance of communication protocols for ships and port facilitiesPreventing unauthorised access to ships, port facilities and their restricted areasPreventing the introduction of unauthorised weapons, incendiary devices or explosives to ships or port facilitiesProviding means for raising the alarm in reaction to security threats or security incidentsRequiring ships and port facility security plans based upon security assessmentsRequiring training and drills to ensure familiarity with security plans and procedures

SHIP SECURITY PLAN

A plan to ensure the application of measures on board the ship designed to protect persons on board, cargo, cargo transport units, ships stores or the ship from the risks of a security incident.

PORT FACILITY SECURITY PLANA plan to ensure the application of measures designed to protect the port facility and ships, persons, cargo, cargo transport units and ships stores within the port facility from the risks of a security incident. The person on board the ship accountable to the master for security of the ship, including implementation and maintenance of the Ship Security Plan and for liaison with the Company Security Officer and the Port Facility Security Officers.COMPANY SECURITY OFFICERThe person ashore designated by the company for ensuring that a ship security assessment is carried out, that the Ship Security Plan is developed, approved implemented and maintained and for liaison with Port Facility Security Officer and the Ship Security Officer.

PORT FACILITY SECURITY OFFICERThe person appointed as responsible for the development, implementation, revision and maintenance of the Port Facility Security Plan and for liaison with the Ship Security Officers and the Company Security Officers.

DECLARATION OF SECURITY ( DOS )The purpose of the DOS is to ensure agreement is reached between the ship and the Port facility as to the respective security measures each will undertake in accordance with the provisions of their respective security plans.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 the declaration of security between Contracting Governments covering certain international voyages or specifics ships on those voyages.

3- There has been a security threat or a security incident involving the ship or the port facility, as applicable.

4- The ship is at port which is not required to have implemented an approved port facility security plan.

5- The ship is conducting ship to ship activities with another ship not required to have and implement an approved ship security plan.

TRAINING DRILLS & EXERCISE on SHIP SECURITYShipboard personnel having specific security duties and responsibilities shall have sufficient knowledge and ability to perform their assigned duties.

The Company Security Officer and appropriate shore-based personnel and the Ship Security Officer shall have knowledge and receive training Drills and exercises shall be conducted at appropriate intervals taking into account the ship type, ship personnel changes, port facilities to be visited and other relevant circumstances.

The Company Security Officer shall ensure the effective co-ordination and implementation of the SSP by participating in exercises at appropriate intervals

SOLASInternational Convention for the Safety of Life at Sea (SOLAS), 1974

Adoption: 1 November 1974; Entry into force: 25 May 1980The SOLAS Convention in its successive forms is generally regarded as the most important of all international treaties concerning the safety of merchant ships.

The first version was adopted in 1914, in response to the Titanic disaster, the second in 1929, the third in 1948, and the fourth in 1960.

The 1974 version includes the tacit acceptance procedure - which provides that an amendment shall enter into force on a specified date unless, before that date, objections to the amendment are received from an agreed number of Parties.

As a result the 1974 Convention has been updated and amended on numerous occasions. The Convention in force today is sometimes referred to as SOLAS, 1974, as amended.Technical provisionsThe main objective of the SOLAS Convention is to specify minimum standards for the construction, equipment and operation of ships, compatible with their safety.

Flag States are responsible for ensuring that ships under their flag comply with its requirements, and a number of certificates are prescribed in the Convention as proof that this has been done.

Control provisions also allow Contracting Governments to inspect ships of other Contracting States if there are clear grounds for believing that the ship and its equipment do not substantially comply with the requirements of the Convention - this procedure is known as port State control.

The current SOLAS Convention includes Articles setting out general obligations, amendment procedure and so on, followed by an Annex divided into 12 Chapters.SOLAS - CHAPTERSChapter I - General ProvisionsChapter II-1 - Construction - Subdivision and stability, machinery and electrical installationsChapter II-2 - Fire protection, fire detection and fire extinctionChapter III - Life-saving appliances and arrangementsChapter IV Radio-communicationsSOLAS - CHAPTERSChapter V - Safety of navigationChapter VI - Carriage of CargoesChapter VII - Carriage of dangerous goodsChapter VIII - Nuclear shipsChapter IX - Management for the Safe Operation of ShipsChapter X - Safety measures for high-speed craftChapter XI-1 - Special measures to enhance maritime safetyChapter XI-2 - Special measures to enhance maritime securityChapter XII - Additional safety measures for bulk carriersMARPOLInternational Convention for the Prevention of Pollution from Ships (MARPOL)

Adoption:

1973 (Convention), 1978 (1978 Protocol), 1997 (Protocol - Annex VI);

Entry into force: 2 October 1983 (Annexes I and II).

Annex VI was added entered into force on 19 May 2005. MARPOL has been updated by amendments through the years.MARPOLThe Convention includes regulations aimed at:

preventing and minimizing pollution from ships :

both accidental pollution and

that from routine operations - and

currently includes six technical Annexes.

Special Areas with strict controls on operational discharges are included in most Annexes.

Annex IRegulations for the Prevention of Pollution by Oil (entered into force 2 October 1983)

Covers prevention of pollution by oil from operational measures as well as from accidental discharges;

the 1992 amendments to Annex I made it mandatory for new oil tankers to have double hulls and

brought in a phase-in schedule for existing tankers to fit double hulls, which was subsequently revised in 2001 and 2003. Annex II Regulations for the Control of Pollution by Noxious Liquid Substances in Bulk (entered into force 2 October 1983) Details the discharge criteria and measures for the control of pollution by noxious liquid substances carried in bulk;

some 250 substances were evaluated and included in the list appended to the Convention;

the discharge of their residues is allowed only to reception facilities until certain concentrations and conditions (which vary with the category of substances) are complied with.

In any case, no discharge of residues containing noxious substances is permitted within 12 miles of the nearest land.

Annex IIIPrevention of Pollution by Harmful Substances Carried by Sea in Packaged Form (entered into force 1 July 1992) Contains general requirements for the issuing of detailed standards on packing, marking, labelling, documentation, stowage, quantity limitations, exceptions and notifications.

For the purpose of this Annex, harmful substances are those substances which are identified as marine pollutants in the International Maritime Dangerous Goods Code (IMDG Code) or which meet the criteria in the Appendix of Annex III.Annex IVPrevention of Pollution by Sewage from Ships (entered into force 27 September 2003)

Contains requirements to control pollution of the sea by sewage;

the discharge of sewage into the sea is prohibited, except when the ship has in operation an approved sewage treatment plant or when the ship is discharging comminute and disinfected sewage using an approved system at a distance of more than three nautical miles from the nearest land;

sewage which is not comminute or disinfected has to be discharged at a distance of more than 12 nautical miles from the nearest land.In July 2011, IMO adopted the most recent amendments to MARPOL Annex IV which are expected to enter into force on 1 January 2013.

The amendments introduce the Baltic Sea as a special area under Annex IV and add new discharge requirements for passenger ships while in a special area.

Annex VPrevention of Pollution by Garbage from Ships(entered into force 31 December 1988)

Deals with different types of garbage and specifies the distances from land and the manner in which they may be disposed of; the most important feature of the Annex is the complete ban imposed on the disposal into the sea of all forms of plastics.In July 2011, IMO adopted extensive amendments to Annex V which are expected to enter into force on 1 January 2013.

The revised Annex V prohibits the discharge of all garbage into the sea, except as provided otherwise, under specific circumstances.

Annex VIPrevention of Air Pollution from Ships (entered into force 19 May 2005)

Sets limits on sulphur oxide and nitrogen oxide emissions from ship exhausts and prohibits deliberate emissions of ozone depleting substances; designated emission control areas set more stringent standards for SOx, NOx and particulate matter.

In 2011, after extensive work and debate, IMO adopted ground breaking mandatory technical and operational energy efficiency measures which will significantly reduce the amount of greenhouse gas emissions from ships; these measures were included in Annex VI and are expected to enter into force on 1 January 2013.

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