Voluntary self-assessment questionnaire for contracting governments
This Voluntary self-assessment questionnaire for Contracting Governments (the Voluntary self-assessment questionnaire) may be used by Contracting Governments in the self-assessment process for port facility security.
Those conducting the voluntary self-assessment of compliance, on behalf of the Contracting Government, should be familiar with the SOLAS chapter XI-2 and ISPS Code implementation process before conducting the self-assessment.
This effort can be assisted by documenting the SOLAS chapter XI-2 and ISPS Code implementation process and by collecting the information below before reviewing the implementation process at the port facilities.
This Voluntary self-assessment questionnaire will aid those conducting the voluntary self-assessment in documenting the Contracting Government strategy used in the implementation of SOLAS chapter XI-2 and the ISPS Code.
When using this Voluntary self-assessment questionnaire, a Contracting Government should consider SOLAS chapter XI-2, ISPS Code part A and part B, the related guidance developed1 by the Organization and the ILO/IMO Code of practice on security in ports, as applicable.
When completing the Voluntary self-assessment questionnaire, the answers should be sufficiently detailed for the reader to gain a full understanding of the approach taken by the Contracting Government in implementing the provisions of SOLAS chapter XI-2 and the ISPS Code.
Sufficiently detailed answers will prevent the drawing of erroneous conclusions when undertaking subsequent voluntary self-assessments. It will also assist in the resolution of any doubts when subsequent self-assessments are conducted by different persons.
- Who is the Designated Authority? (SOLAS regulation XI-2/1.11)
- What is the national legislative basis for the implementation of the ISPS Code?
(SOLAS regulations XI-2/2 and XI-2/10)
- What guidance to industry was released to implement the ISPS Code?
(SOLAS regulations XI-2/2 and XI-2/10)
- What are the means of communication with port facilities regarding ISPS Code implementation? (SOLAS regulations XI-2/3 and XI-2/10)
- What processes are in place to document initial and subsequent compliance with the ISPS Code? (SOLAS regulation XI-2/10.2)
- What is the Contracting Government's definition of a Port Facility? (SOLAS regulation XI-2/1.1)
- 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)
- 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)
- Has the Contracting Government allowed a port facility or group of port facilities to implement equivalent security arrangements? (SOLAS regulation XI-2/12.1)
- 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)
- Who conducts PFSAs? (SOLAS regulation XI-2/10.2.1, ISPS Code, sections A/15.2 and A/15.2.1)
- How are PFSAs conducted and approved? (ISPS Code, sections A/15.2 and A/15.2.1)
- What minimum skills are required for persons conducting PSFAs? (ISPS Code, section A/15.3)
- Are PFSAs used for each Port Facility Security Plan? (ISPS Code, section A/15.1)
- Do single PFSAs cover more than one port facility? (ISPS Code, section A/15.6)
- Who is responsible for informing the IMO if the single PFSA covers more than one port facility? (ISPS Code, section A/15.6)
- What national guidance has been developed to assist with the completion of PFSAs? (SOLAS regulation XI-2/10.2.1)
- What procedures are in place for determining when re-assessment takes place? (ISPS Code, section A/15.4)
- 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)
- How are Port Facility Security Officers designated? (ISPS Code, section A/17.1)
- What are the minimum training requirements that have been set by the contracting government for PFSOs? (ISPS Code, section A/18.1)
- Are procedures used to determine the individuals/organizations responsible for the preparation of the PFSP? If yes, please describe.
- Are procedures in place to protect PFSPs from unauthorized access? (ISPS Code, sections A/16.7 and A/16.8)
- What procedures are in place for approval and subsequent amendments of the PFSPs? (ISPS Code, section A/16.6)
- Who is the authority responsible for setting the security level for port facilities? (SOLAS regulation XI-2/3.2)
- What are the procedures for communicating security levels to port facilities by the responsible authority? (SOLAS regulation XI-2/3.2)
- What are the procedures for communicating port facilities' security levels to ships? (SOLAS regulations XI-2/4.3 and XI-2/7.1)
- What are the contact points and procedures for receiving ship ' security level information in the Contracting Government and for notifying ships of contact details? (SOLAS regulation XI-2/7.2)
Declaration of Security
- 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)
- What is the minimum timeframe that a Declaration of Security is required to be retained? (ISPS Code, section A/5.6)
Delegation of Tasks and Duties
- What tasks and duties have the contracting government delegated to Recognized Security Organizations (RSOs) or others? (ISPS Code, section A/4.3)
- To whom have these tasks and duties been delegated? What oversight procedures are in place? (SOLAS regulation XI-2/13.2)
1The related material, as on the date of issue of this circular, is listed in the appendix to the annex to MSC/Circ.1194 on Effective implementation of SOLAS chapter XI-2 and the ISPS Code