This Voluntary self-assessment tool for ship security (Voluntary self-assessment tool) can be used to examine the status of implementation SOLAS chapter XI-2 and the ISPS Code on ships.
This Voluntary self-assessment tool will help to identify any aspects of SOLAS chapter XI-2 and the ISPS Code that the ship security officer (SSO), company security officer (CSO) or Administration can address to enhance the SOLAS chapter XI-2 and ISPS Code implementation process.
SOLAS regulations XI-2/4, XI-2/5 and XI-2/6 and ISPS Code, section A/7.2 establish mandatory requirements for the ISPS Code implementation for ships. Therefore, the heading of each subsection is taken directly from ISPS Code, section A/7.2.
When using this Voluntary self-assessment 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 the related guidance1 developed by the Organization.
The following section should be completed prior to completing the tool. It can be used by the CSO, SSO, recognized security organization (RSO) or others and will help to establish an overview of the security of the ship(s) the person completing the tool has responsibility for.
1 Company and Ship Overview:
Name of Administration | |
Name of company | |
Name of ship | |
IMO Ship identification number | |
Name of CSO | |
Name of SSO | |
Number of ships operated by the company | |
Number of ships for which the CSO is responsible | |
1.1 Manning of the ship:
1.1.1 Total manning of the ship and security tasks fulfilled on board at the time of this assessment
Total number of crew members | |
Number of crew with security duties | |
1.1.2 In the last 12 months:
Number of crew members assigned on first time to the ship | |
Number of different SSOs | |
Number of changes in the security level | |
Number of security incidents | |
Number of breaches of security | |
1.2 Security agreements and arrangements
Is the ship operating between port facilities covered by an alternative security agreement? (SOLAS regulation XI-2/11 and ISPS Code, paragraph B/4.26) If “Yes”, provide relevant details. | |
Has the ship implemented any equivalent security arrangements allowed by the Administration? (SOLAS regulation XI-2/12.2). If “Yes”, provide relevant details. | |
Is the ship operating under any temporary security measures? If “Yes”, have these been approved or authorized by the Administration? If “Yes”, provide relevant details. (SOLAS regulation XI-2/8.2 and MSC/Circ.1097, paragraphs 12 to 16) | |
Guidance for using the Voluntary self-assessment tool:
- Not all of the questions on the Voluntary self-assessment tool apply, or are relevant, to all types or sizes of ships. Some of these apply only in relation to specific types of ships. In such cases, the non-applicability of the particular question should be recorded in the ‘Comments’ box.
- When completing the Voluntary self-assessment tool, the ‘Comments’ box provides space for amplification where the ‘Other’ option is selected. However, experience has shown that it is also helpful to use ‘Comments’ box in cases where a ‘No’ answer has been recorded, thus giving an explanation of why not and details of any measures or procedures in place. Suggested actions should be recorded in the ‘Recommendations’ section of the Voluntary self-assessment tool.
- For the questions which have multiple options (i.e. questions 2.3, 2.5, 4.5, 4.6, 4.7, 5.4, 5.9, 6.1, 6.5, 6.6, 8.1, 8.7, 9.4, 9.6 and 9.7), the ‘Yes/No/Other’ tick boxes should be replaced by a single column of boxes, which should be ticked as appropriate. This will be of benefit in cases where a ‘No’ answer may erroneously be taken as indicative of a non-compliance. Further explanation of any measures and procedures in place should be given in the ‘Comments’ box and any suggested actions should be recorded in the ‘Recommendations’ section of the Voluntary self-assessment tool.
- Ensure that one of the boxes is ticked for each question.
- If you ticked ‘Yes’, but the measures/procedures are not documented in the SSP, 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 ‘Comments’ 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 ‘Comments’ 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.
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.