12/21/2023

ELEVENTH SEMINAR FOR PORT STATE

CONTROL OFFICER

Muscat, Oman
from 03-07 Dec 2023

Organized by
Guidelines for PSC Officers on
Ministry of transport, Communication & Information Technology, Oman International Ship and Port Facility Security (ISPS) Code
in association with
The Indian Ocean MoU on Port State Control

Presented by
Capt Aung Myin Moe
Deputy Director
Maritime Safety, Security and Environmental Protection Division
Department of Marine Administration
Ministry of Transport and Communications
Republic of the Union of Myanmar

INTRODUCTION A convention is an agreed set of rules related to a particular matter.

For example
Safety of life at Sea convention (SOLAS) for safety related matters at sea.
MARPOL for matters related to Marine pollution
More often than not, the need of a convention is triggered by a major incident.
For example the need to have SOLAS convention was triggered after sinking of
Titanic.
Similarly the need to have MARPOL convention was triggered by number of
pollution incidents.
Sometimes the need of a new convention is also felt after a major research study.
For example, research on ballast water found that ballast water is a reason of
concern and requires attention to the way we manage ship's ballast. That led to
the "Ballast water convention".

For whatever reason, when a need for a new convention is felt, IMO after a long
study and processes drafts the convention.

This draft is discussed and adopted by the relevant committee of the IMO.
The adopted convention is ratified once the pre set conditions (number of states
3 and minimum tonnage) are met.

What is the difference between convention and code ?

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What is the difference between convention and code ?

Code to a convention is part of the convention. It provides the

international standards required for the elements mentioned in that
particular chapter of the convention.
So if we do not put all these requirements of required standards into a
different book called "Code", we will face two issues
The size of the draft of convention would increase 10 fold, and
The conventions will not be clear to the reader

1.3 Historical perspective

Maritime Security Policy
Terrorists' Attack . . . . . .
 9/11/2001 morning
• 1983 - Resolution A.545(13)--Measures to Prevent Acts of Piracy and
 In New York City, USA Armed Robbery against Ships
 World Trade Center • 1985 - Resolution A.584 (14)--Measures to Prevent Unlawful Acts Which
Building Threaten Safety of Ships and Security of Passengers
 by two hijacked airplanes • 1986 - MSC/Circ.443--Measures To Prevent Unlawful Acts Against
used as bombs Passengers And Crew On Board Ships
 As well as the Pentagon • 1988 - Convention for the Suppression of Unlawful Acts against the
Safety of Maritime Navigation (SUA) The convention obliges contracting
governments either to extradite or prosecute alleged offenders
• 2001 - After the tragic events on 9/11 IMO unanimously agreed to the
development of new measures relating to the security of ships and of
port facilities (ISPS Code)
• 2004 - Amendments to SOLAS 74 entered into force on July 1, 2004.

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Finally, ISPS Code came …. International Convention for the Safety Of Life At Sea (SOLAS Convention): An international
convention adopted to ensure the safety of ships (1914) after the Titanic accident (1912). SOLAS
74 entered into force in May 1980 and 170 member to date.
Obligations of contracting governments: To ensure that port
• Following 9/11 Event SOLAS facility security plans are developed, reviewed, approved and
implemented in accordance with regulations in Part A of the
Chapters. I ~ XIV ISPS Code
• IMO measures - security of ships and of port
facilities Chapter XI-1: Special measures to
Port facility security plan: The administrators of international
port facilities must develop port facility security plans and have
• International Convention for the Safety Of Life At enhance maritime safety them approved by the DA/Administrations

Sea (SOLAS).
Report to the IMO: The names, locations, etc. of facilities
• The International Ship and Port Facility Security Chapter XI-2: Special measures to approved by the government are reported to the IMO and are
enhance maritime security made known to all countries around the world.
Code (ISPS code)
• Deadline – implementation: July 1st 2004 Part A: Mandatory requirements International trust: Recognized by the governments and ship
Part B: Guidance companies of other countries as implementing security
ISPS Security measures for international ships
measures in accordance with the amended SOLAS Convention
on a continuous basis.
and ports are implemented based on these
Code specific requirements and guidance. Leaving a port facility security plan unapproved creates the
possibility that  Ships that leave the irrelevant port may be
denied entry into other ports.

National Rule / Implementations 14

FLOWCHART OF MARITIME SECRITY COMPLIANCE to SOLAS XI-2 and ISPS CODE

Agreements with
other government TEST of
Setting Declaration of APPROVAL of PFSAs
for reaction SECURITY SECURITY
Port Facilities PLANS APPROVAL of PFSPs
LEVEL

CONTRACTING GOVERNMENT RSO agreement

NATIONAL AUTHORITY
NATIONAL AUTHORITY Point of Contact
Reception of Responsible for PORT FACILITY
Responsible for SHIP’s Security
SSAS Security for IMO GISIS

24/7 answer to NATIONAL NATIONAL

Assistance RECOMMENDATIONS for SHIP RECOMMENDATIONS for PORT
notifications and SECURITY SECURITY
concerns

24/7 Point of Conditions of SSA and SSP Conditions of PFSA and PFSP
Contact for other
Condition of DOS
Government for
their ships
APPROVAL of SSPs

Framework of ISPS Code Overview of Ship and Port Facility Security

• Ship security structure

SSO CSO
SSP

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Overview of Ship and Port Facility Security Ship/Port interface

• Port security structure
PSFP

DoS

DoS
PFSO SSO
SSP
PFSP
PORT PFSO SSO SHIP

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IMO

DA DA

DA DA

Ship Security Assessment Port Facility Security Assessment

Ship Security Plan Port Facility Security Plan

• Security assessment • PF security assessment

• On-scene inspection • Site-visit inspection
• Security measures • Security measures
• Document review • Document review
• Approve SSP • Approve PFSP

23 24

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25 SHIP
Port facility security assessment Ship security assessment
(PFSA) (SSA)
Site-visit Inspection On-scene Survey
Port Facility Security Plan (PFSP) Ship Security Plan (SSP)
Approved by Approved by
SoCPF Designated Authority (DA) Administration or RSO
Implementation Implementation
Internal Audit (annually) Internal Audit (annually)
External Audit/Verification External Audit/Verification
by DA by Admin/RSO
State of Compliance of Port Facility International Ship Security Certificate
(optional) (mandatory)
Designated Authority (DA) setting the Port Facility Security Level Players: PFSO; PDSD; PSA CSO; SSO; DSD; SSA 26

Security Training for Seafarers Security Training for Port Personnel

PFSA
PDSD

PFSO

27 28

https://gisis.imo.org/Members/Default.aspx
New ISPS Code 2021 Edition Familiarization

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New ISPS Code 2021 Edition Familiarization

What is ISPS Code?
• International Ship and Port Facility Security Code
• is the standard for establishing system for
• security management and secure operation of vessels
and port facilities
• Two parts:
• Part A: mandatory – ships, companies, port facilities and
Flag/Port states
• Part B: guidance for part A

Guide to Maritime Security

This Guide has been developed to consolidate existing IMO

maritime security-related material into an easily read companion
guide to SOLAS chapter XI-2 and the International Ship and Port
Facility Security (ISPS) Code in order to assist States in promoting
maritime security through development of the requisite legal
framework, the associated administrative practices and procedures,
and the necessary material, and technical and human resources.

It is intended both to assist SOLAS Contracting Governments in the

implementation of, verification of, compliance with and
enforcement of the provisions of SOLAS chapter XI-2 and the ISPS
Code, and to serve as an aid and reference for those engaged in
delivering capacity-building activities in the field of maritime
security.

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Control – Port State Inspection scope on ISPS

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LIST OF INSTRUMENTS RELEVANT TO PORT STATE CONTROL PROCEDURES LIST OF INSTRUMENTS RELEVANT TO PORT STATE CONTROL PROCEDURES
Instrument – Name IMO Remark Year (adopted/
Security/STCW Body approved)

MSC.159(78) Interim Guidance on control and compliance MSC/I 21 May 2004

measures to enhance maritime security II
MSC/Circ.1097 Guidance relating to the implementation of MSC 6 June 2003
SOLAS chapter XI-2 and the ISPS Code
MSC/Circ.1113 Guidance to port State control officers on the III Automatic identification systems (AIS) 7 June 2004
non-security-related elements of the 2002 and ship's identification number, and,
SOLAS amendment Continuous Synopsis Record (CSR)
Read in conjunction with A.959(23),
adopted on 5 December 2003, Format
and guidelines for the maintenance of
the Continuous Synopsis Record
(CSR),as amended by MSC.198(80),
adopted on 20 May 2005
MSC/Circ.1156 Guidance on the access of public authorities, MSC Read in conjunction with MSC.1/Circ.1342 23 May 2005
emergency response services and pilots on board of 27 May 2010, Reminder in connection
ships to which SOLAS chapter XI-2 and the ISPS Code with shore leave and access to ships (and
apply MSC.1/Circ.1194 of 30 May 2006)
MSC.1/Circ.1235 Guidelines on security-related training and HTW 21 October 2007
familiarization for shipboard personnel
MSC.1/Circ.1342 Reminder in connection with shore leave and access MSC 27 May 2010
to ships
STCW.7/Circ.22 Advice for port State control officers, recognized MSC/ 25 February
organizations and recognized security organizations HTW 2014
clarifying training and certification requirements for
ship security officers and seafarers with designated
security duties

The Sub-Committee on Human Element, Training and Watchkeeping (HTW)

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PSC deficiencies related to security represent some 3% to 5% of the deficiencies

Security Drills are a common issue, similarly to safety drills.
The most common items identified for code 16106 Security Drills are:
Not conducted as required (intervals)
Inadequate record keeping
Inadequate participation (specific crew not participated repeatedly to drill)
The crew failed to properly demonstrate their ability to implement security measures
Crew not familiar with the use of security equipment
Fake security drills were signed by Master/SSO
The next key issue is the SSO’s training and familiarization with SSP and ISPS code.
The SSO should demonstrate ability to answer questions like :
”Who is the CSO?”,
“Do you directly speak with the CSO?”,
“Where do you keep Confidential parts of SSP?” In general, SSP documentation
inspection should be conducted carefully as some parts are confidential and can not
be stored in non restricted areas.
found on SOLAS ships.
1. The first impression is very important. Especially:
• Gangway & moorings (in good condition, rigged as required, clean)
• Access control (identification check, visitors log maintained, restricted areas controlled)
• Appearance of gangway watch, officers and crew (neat working clothes, appropriate
personal protective equipment, professional attitude)
• Appearance of accommodation and outside decks (clean, well illuminated, non slip
walkways on outside deck)
• PSC officer should be accompanied by senior officer(s) during inspection, tour of the vessel
etc.
2. Certificates and Documents
• Valid International Ships Security Certificate (ISSC)
• Latest issue of the Continuous Synopsis Record (CSR) is available and valid. The file of
previously issued CSR’s is complete
• Approved Ship Security Plan (SSP) is available, including evidence of the approval (Approval
Letter and Report)
• Certificates of proficiency for the SSO and crew with designated security duties
• Records of crew ISPS familiarization when joining the vessel
• Flag circulars
• SSAS test message acknowledged by CSO

3.2. Controlling the embarkation of persons and their effects

3. Ship Security controls are to be established and implemented at all times • Security personnel require personal identification and reason to board (access may be
The below measures are just indicative, please consult the SSP for the specific measures denied to any person refusing to submit to security verification or inspection at a point of
provided, and their level of application depending on security level. access)
• Visitors and luggage Inspection at a point of access
3.1 Access control to the ship • Visitors receive escort
• Access points are normally secured or continuously attended to prevent unauthorized • Arriving crew verified as authorized to serve aboard the vessel
access (doors in escape routes must be capable of being opened without keys from the • Unaccompanied baggage screened/searched
direction for which escape is required, this includes emergency escapes and doors to the
accommodation and wheelhouse) 3.3 Monitoring Deck Areas and Areas Surrounding Ship
• Weather-deck access vents, storage lockers, and doors to normally unmanned spaces (such Mix of lighting, watchkeepers, security patrols, guards, security equipment used to observe
as storerooms, auxiliary machinery rooms, etc) may be locked or precautions taken to the ship in general
prevent unauthorized access
• Security personnel patrolling deck areas 3.4 Restricted areas (examples: Bridge, Engine Room, Steering Compartment, Cargo Control
• Security personnel appear to be briefed re: threats, suspicious persons, objects or activities Room, Pump Room, Cargo Spaces, CO2 Room, etc.)
and need for vigilance • Clearly identified and marked as required
• Limit entry to the vessel to a minimum number of access points • Locked/ Secured/ Roving guard for access points
• Coordinate with the waterfront facility to extend access control beyond the immediate • Intrusion alarms devices in use
area of the vessel • Surveillance Equipment in use

3.5 Ship’s stores

• Checked for match order prior to loading
• Stowed immediately

3.6 Supervision of Cargo

Records are maintained and retained as required by the SSP:
• Cargo, transport units, and cargo spaces checked before operations
• Cargo checked for match to cargo documentation
• Vehicles searched prior to loading
 details of training, drills, and exercises;
• Anti-tamper seals/methods checked  reports of security incidents;
• Cargo visually/physically examined
 report of breaches of security or suspicious activities;
3.7 Other Items  changes in security levels including the date and port;
• Security Level is set correctly as required by the Flag State and Port Authorities and all  communication related to security
personnel are aware of the current level
• All security equipment is maintained, calibrated and tested as required by their manuals
internal audits
• Drills are carried out regularly as per ISPS Code and SSP (available records) – crew to be  periodic review of the SSP/SSA
able to perform standard security drills such as bomb threat drill , vessel search, discovery of
a suspect object, change of security level, etc
 implementation of any amendments to the Plan
• Ship Security Alert System (SSAS) is operational and records for tests and maintenance  maintenance, calibration, and testing of security
available
• Company Security Officer (CSO) is available at all times. The CSO can be readily identified equipment; and
by SSO and applicable officers and crew. Contact details are available  last 10 port of calls
• SSP and related records are protected from unauthorized access or disclosure

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4.1 Declaration of Security (DoS)

4 Changing security levels
Ships’ Flag administrations are responsible for setting security levels.
Ships intending to enter a port or port facility usually establish the security level
applying at the port through direct contact with the port authority, prior to entry.
If a ship is operating at a higher security level than that applying at the port, the
information should be passed to the port authority prior to
entry.
A ship can never operate at a lower security level than the one being applied at
the port that it is visiting.
A ship can however, operate at a higher security level, when set by its flag
administration, than that applying at the port. The port authorities should not
seek to have the ship reduce the security level set by its flag administration.
The DoS is an agreement between a port and a ship or between a ship and
another ship. It confirms the security responsibilities of each party during to
ship/port (or ship/ship) interface.
When a ship initiates a DoS, the port facility is required to acknowledge the
request, however it does not have to comply with the request.
When a port facility initiates a DoS, the request shall be acknowledged by the
ship’s master/SSO, and the ship must comply with the request.
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 a Declaration of Security between Contracting
Governments covering certain international voyages or specific ships on those
voyages;
3. there has been a security threat or a security incident involving the ship or
involving the port facility, as applicable;
4. the ship is at a port which is not required to have and implement an approved
port facility security plan; or
5. the ship is conducting ship to ship activities with another ship not required to
have and implement an approved ship security plan. Ref: P. Klavdianos

ISPS related Questions

ISPS related Deficiency Codes

16101 – Security related defects

16102 – Ship security alert system
16103 – Ship security plan
16104– Ship Security Officer
16105 – Access control to ship
16106– Security Drills
16199 – Other (maritime security)

1. Conflict in Hardware
Conflicts between Double “S” (Safety and Security) Example:1 The conflict between emergency escape trunk and security control
Escape Trunk

1. Conflict in Hardware
2. Operational Conflict
3. Non-convention factors

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1. Conflict in Hardware
Example 2: Conflict between manually operated call points in Emergency
generator room and security control Emergency generator room

2. Operational Conflict 3. Non-convention factors

Example: Conflict between Lifeboat instantly available and security control Example: the release of CO2 by the terrorist

3. Non-convention factors
Example2: Mark and the closure of sounding pipes of fresh water tank

Safety or Security?

In normal situation, the safety on board should be considered much

more important on base of drill and training of security.

*When the ship sails across pirate infested waters or encounters

the terrorist attacking, we should give priority to the security and
the safety operation on board can be replaced by
some temporary measures.

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SSAS

The ship security alert system is again not a

GMDSS communications system but it may be
associated with GMDSS equipment installed on a
ship. Carriage of SSAS is a requirement under the
regulations of chapter XI-2 of SOLAS.

The ship security alert system is fitted to a ship

for the purpose of transmitting a security alert to
the shore to indicate to a competent authority
that the security of the ship is under threat or
has been compromised.

CASE - 21

Report received from – PFSO

Small boat along side from shipside
(Seaward) and people boarded
Discharged ship’s property – (mooring
ropes, wires)

PSC Action?

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ISPS related

• Owners/Managers have reviewed the case below and have

conducted an additional internal security investigation/audit
according to ship security policy (attached). A detailed
report and schedule has been attached in this email as per
your good department's request.
• Owners/Managers statement regarding Master providing
incorrect information and action plan enacted by owners is
also attached as per your request.
• Owners/Managers would like to apologize for the incident
and Master's behavior and hope that attached
• documents are to your full satisfaction as per your points
AA and BB below. We remain at your full disposal for any
further clarification you may require.
• Best regards,

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Capt Aung Myin Moe 84

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