1131 Interim guidance on voluntary self-assessment by SOLAS contracting governments and by port facilities

1 The Maritime Safety Committee (the Committee), at its seventy-ninth session (1 to 10 December 2004), developed Interim Guidance on voluntary self-assessment by SOLAS Contracting Governments and by port facilities is set out at annex to assist SOLAS Contracting Governments in the implementation of, and the maintenance of compliance with, the requirements of SOLAS chapter XI-2 and of the ISPS Code.

2 The methodologies set out in the annex are designed solely for use by Contracting Governments and by port facilities in conducting internal voluntary self-assessments.

3 SOLAS Contracting Governments are invited to bring the attached Interim Guidance to the attention of Designated Authorities, of port facility owners and operators and of port facility security officers.

4 SOLAS Contracting Governments, international organizations and non-governmental organizations with consultative status are also invited to bring to the attention of the Committee, at the earliest opportunity, the results of the experience gained from the use of the Interim Guidance so as to assist the Committee in deciding on any action to be taken.

Annex

PORT FACILITY SECURITY INTERIM GUIDANCE ON VOLUNTARY SELF-ASSESSMENT BY SOLAS CONTRACTING GOVERNMENTS AND BY PORT FACILITIES

1 SOLAS chapter XI-2 and the ISPS Code have, inter alia, placed new responsibilities on SOLAS Contracting Governments (Contracting Governments) and port facilities for port facility security. The provisions entered into force on 1 July 2004 and the appendices to this document provide interim guidance on:

.1 a method of self-assessing the effectiveness with which a SOLAS Contracting Government fulfilled, and continues to fulfil, its obligations in respect of port facility security, and
.2 a tool to allow port facilities to self-assess the continuing effectiveness of their port facility security plans and the implementation of the relevant security measures in such plans.
2 Self-assessment by a Contracting Government can be undertaken within Government, who could also appoint experts to assist them in the process. Similarly, port facility personnel can use the self-assessment tool with the support of experts, if appropriate.

3 Anyone undertaking the self-assessment should, at least, have knowledge of:

.1 the requirements of SOLAS chapter XI-2 and the ISPS Code;
.2 general security principles; and
.3 the operation of port facilities.
4 The processes and the completed self-assessments should be protected from unauthorized access or disclosure.

5 The effective implementation of port facility security measures is a continuing responsibility. It is suggested that Contracting Governments self-assess their processes post-implementation and thereafter at least on a five yearly basis and that port facilities self-assess annually.

Appendix 1 Voluntary self-assessment questionnaire for contracting governments

This Questionnaire may be used by SOLAS Contracting Governments in the self-assessment process for port facility security. Those conducting the voluntary self-assessment of compliance with the International Ship and Port Facility Security Code (ISPS Code), on behalf of the SOLAS Contracting Government, should be familiar with the ISPS Code implementation process before conducting the Port Facility Security Self-assessment. This effort can be assisted by documenting the ISPS Code implementation process by collecting the information below before reviewing the implementation process at the port facilities. This Questionnaire will aid those conducting the voluntary self-assessment in documenting the Contracting Government strategy used in the implementation of the ISPS Code.

When using this questionnaire, a Contracting Government should consider SOLAS chapter XI-2, ISPS Code part A, and part B as applicable.

Implementation Process

1. Who is the Designated Authority? (SOLAS regulation XI-2/1.11)
2. What is the national legislative basis for the implementation of the ISPS Code? (SOLAS regulations XI-2/2 and XI-2/10)
3. What guidance to industry was released to implement the ISPS Code? (SOLAS regulations XI-2/2 and XI-2/10)
4. What are the means of communication with port facilities regarding ISPS Code implementation? (SOLAS regulations XI-2/3 and XI-2/10)
5. What processes are in place to document initial and subsequent compliance with the ISPS Code? (SOLAS regulation XI-2/10.2)
6. What is the Contracting Government.s definition of a Port Facility? (SOLAS regulation XI-2/1.1)
7. What are the procedures used to determine the extent to which port facilities are required to comply with the ISPS Code, with particular reference to those port facilities that occasionally serve ships on international voyages? (SOLAS regulations XI-2/1, XI-2/2.2)
8. Has the Contracting Government concluded in writing bi-lateral or multi-lateral agreements with other Contracting Governments on alternative security agreements? (SOLAS regulation XI-2/11.1)
9. Has the Contracting Government allowed a port facility or group of port facilities to implement equivalent security arrangements? (SOLAS regulation XI-2/12.1)
10. Who has the responsibility for notifying and updating the IMO with information in accordance with SOLAS regulation XI-2/13? (SOLAS regulation XI-2/13)

Port Facility Security Assessment (PFSA)

1. Who conducts PFSAs? (SOLAS regulation XI-2/10.2.1, ISPS Code sections A/15.2 and 15.2.1)
2. How are PFSAs conducted and approved? (ISPS Code sections A/15.2 and 15.2.1)
3. What minimum skills are required for persons conducting PSFAs? (ISPS Code section A/15.3)
4. Are PFSAs used for each Port Facility Security Plan? (ISPS Code section A/15.1)
5. Do single PFSAs cover more than one port facility? (ISPS Code section A/15.6)
6. Who is responsible for informing the IMO if the single PFSA covers more than one port facility? (ISPS Code section A/15.6)
7. What national guidance has been developed to assist with the completion of PFSAs? (SOLAS regulation XI-2/10.2.1)
8. What procedures are in place for determining when re-assessment takes place? (ISPS Code section A/15.4)
9. What procedures are in place for protecting the PFSAs from unauthorized access or disclosure? (ISPS Code section A/15.7)

Port Facility Security Plans (PFSPs)

1. How are Port Facility Security Officers designated? (ISPS Code section A/17.1)
2. What are the minimum training requirements that have been set by the contracting government for PFSOs? (ISPS Code section A/18.1)
3. Are procedures used to determine the individuals/organizations responsible for the preparation of the PFSP? If yes, please describe.
4. Are procedures in place to protect PFSPs from unauthorized access? (ISPS Code sections A/16.7 and A/16.8)
5. What procedures are in place for approval and subsequent amendments of the PFSPs? (ISPS Code section A/16.6)

Security Levels

1. Who is the authority responsible for setting the security level for port facilities? (SOLAS regulation XI-2/3.2)
2. What are the procedures for communicating security levels to port facilities by the responsible authority? (SOLAS regulation XI-2/3.2)
3. What are the procedures for communicating port facilities. security levels to ships? (SOLAS regulations XI-2/4.3 and XI-2/7.1)
4. What are the contact points and procedures for receiving ships. security level information in the Contracting Government and for notifying ships of contact details? (SOLAS regulation XI-2/7.2)

Declaration of Security

1. What procedures are used to determine when a Declaration of Security is required? (SOLAS regulation XI-2/10.3, ISPS Code section A/5.1)
2. What is the minimum time frame that a Declaration of Security is required to be retained? (ISPS Code section A/5.6)

Delegation of Tasks and Duties

1. What tasks and duties have the contracting government delegated to Recognized Security Organizations (RSOs) or others? (ISPS Code section A/4.3)
2. To whom have these tasks and duties been delegated? What oversight procedures are in place? (SOLAS regulation XI-2/13.2)

Appendix 2 Voluntary self-assessment tool for port facility security

The following tool can be used to examine the status of ISPS Code implementation. This tool will help to identify any aspects of the ISPS Code that the port facility / port facility security officer (PFSO) or SOLAS Contracting Government can address to enhance the ISPS Code implementation process. SOLAS regulation XI-2/10 and ISPS Code section A/14.2 establish mandatory requirements for the ISPS Code implementation at a port facility. Therefore, the heading of each subsection is taken directly from ISPS Code section A/14.2.

When using this tool, the person conducting the voluntary self-assessment should consider SOLAS chapter XI-2, ISPS Code part A, and part B as applicable in accordance with national legislation and as guidance.

The following section should be completed prior to completing the tool. It can be used by the PFSO, RSO or others and will help to establish an overview of the port facility's operations.

(i) Port Facility Overview:

Name of port facility
Name of operator / authority
Name of Port, if applicable
Name of PFSO
Average number of SOLAS vessels handled per annum

(ii) Particular characteristics of the port facility, if any, including the vessel traffic, which may increase the likelihood of being the target of a security incident.

Passenger ships	□	Other dangerous goods	□
Ro-ro / container terminal	□	Near military installation	□
Explosives	□	Military vessels	□
Oil / gas refinery / terminal	□	Embarkation of military personnel or cargo	□
LPG, LNG or petrol storage	□	Other (describe)	□

Guidance for using the voluntary self-assessment tool for port facility security:

• Ensure that one of the boxes is ticked for each question.
• If you ticked 'yes', but the measures/procedures are not documented in the PFSP, please enter a short description of them in the comments box.
• If you tick the 'no' response against Part A questions, please describe the reason in the comments box.
• If you ticked 'other' against Part B questions, please enter a short description in the comment box. 'Other' could include instances where alternative agreements or equivalent arrangements have been implemented.
• Please tick 'other' if the question is not applicable and add n/a in the comment box.
• If alternative measures/procedures from those listed in the ISPS Code are used, please enter a short description in the comments box.
• If work to implement the measures outlined in Part B or any alternative solutions is still in progress, a work schedule should be entered into the comment box.
• If there is not enough space in the comment box, assessors should continue the answer on a separate page. The relevant question number should be added in these circumstances as a reference aid.
• 'Recommendation' boxes should be used to record any identified deficiencies and how these could be mitigated.
• The 'Outcome of Voluntary Self-Assessment' box should be used to provide a brief record of the assessment process, and along with the comments in the 'Recommendation' boxes, form the basis for future security planning. A schedule for the implementation of recommendations should be included.

1. Ensuring the performance of port facility security duties (ISPS Code sections A/14.2.1 and A/14.3)

Part B - Organization of Port Facility Security Duties (ISPS Code paragraph B/16.8)

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¹ Indicates a reference to a section (of part A) or a paragraph (of part B) of the ISPS Code.

2 Controlling access to the port facility (ISPS Code sections A/14.2.2, A/14.2.1 and A/14.3)

3 Monitoring of the port facility, including anchoring and berthing area(s) (ISPS Code sections A/14.2.3 and A/14.3)

4 Monitoring of restricted areas (ISPS Code sections A/14.2.4 and A/14.3)

5 Supervising the Handling of Cargo (ISPS Code sections A/14.2.5 and A/14.3)

6 Supervising the handling of ship.s stores (ISPS Code sections A/14.2.6 and A/14.3)

7 Ensuring security communication is readily available (ISPS Code sections A/14.2.7 and A/14.3)

8 Training, Drills and Exercises (ISPS Code section A/18)

9 Miscellaneous

Recommendations

This section should be used to record any deficiencies identified by the voluntary self-assessment and how these could be mitigated. In essence this will provide an action plan for the PFSO.

• Informatietype: Internationaal
• Documentsoort: Circulaire niet in wetten.nl
• Toegangsrechten: Extern
• Identificatie: PUC_1872_14
• Versie: 1
• Datum beschikbaarheid: 12-04-2006
• Geldigheid van: 14-12-2004
• Wijzigingsdatum: 24-11-2016
• Titel: 1131 Interim guidance on voluntary self-assessment by SOLAS contracting governments and by port facilities
• Organisatie: International Maritime Organization (IMO)
• Taal: Nederlands
• Onderwerp: Veiligheid / Safety
• Hoofdtaak: Koopvaardij / Merchant Shipping
• Thema: Zeevaart / Seagoing ships / Information / IMO Instruments (Informative) / Circulars (Informative) / MSC Circulars (Informative) / 1100 until 1199