This document summarizes the International Ship and Port Facility Security (ISPS) Code, which establishes measures to enhance maritime security. It lays out regulations for ship and port facility security that are binding under the Safety of Life at Sea convention. The code requires vessels and ports to conduct security assessments, develop security plans, perform drills and exercises, and obtain related certificates. It also provides guidelines for setting security levels, access control, monitoring, training, and roles and responsibilities for ship crews, port facility personnel, and contracting governments. The goal is to enhance maritime security and deter threats to ships and port facilities engaged in international voyages.

1. 1
ISPS Code
(International Ship and Port Facility Security
Code)
International Code for the Security of
Ships and of Port Facilities

2. 2
• Regulation 1 Definition
• Regulation 2 Application
• Regulation 3 Obligations of Contracting Governments
with respect to security
• Regulation 4 Requirements for Companies and ships
• Regulation 5 Specific responsibility of Companies
• Regulation 6 Ship Security Alert System
• Regulation 7 Threats to ships
• Regulation 8 Master’s discretion for ship safety and
security
SOLAS Chapter XI-2
Special Measures to Enhance Maritime Security

3. 3
• Regulation 9 Control and compliance measures
– 1 Control of ships in port
– 2 Ships intending to enter a port of another
Contracting Government
– 3 Additional provisions
• Regulation 10 Requirements for port facilities
• Regulation 11 Alternative security agreements
• Regulation 12 Equivalent arrangements
• Regulation 13 Communication of information
SOLAS Chapter XI-2
Special Measures to Enhance Maritime Security

4. 4
• Will be entered into force on 1 July 2004
• All ship shall have International Ship Security
Certificate by 1 July 2004
SOLAS Chapter XI-2
Special Measures to Enhance Maritime Security

5. 5
• Regulation 2 Application
– Ships engaged on international voyages:
• passenger ships, including high-speed
passenger craft
• cargo ships, including high-speed craft of 500
gross tonnage and upwards; and
• mobile offshore drilling units
– port facilities serving such ships engaged on
international voyages

6. 6
• Regulation 3 Obligations of Contracting
Governments with respect to security
– Administrations shall set security level
• to ships entitled to fly their flag
– Contracting Governments shall set security level
• port facilities within their territory
• to ships prior to enter a port/whilst in port

7. 7
• Regulation 4 Requirements for companies and ships
– Companies shall comply with the relevant requirements of
this chapter and of Part A
– Ships shall comply with the relevant requirements of this
chapter and of part A & such compliance shall be verified and
certified
– Ship shall comply with the requirements for the security level
set by that Contracting Government of the port, if such
security level is higher than the security level set by the
Administration for that ship.

8. 8
• Regulation 5 Specific responsibility of Companies
– Who is responsible for appointing crew members
– Who is responsible for deciding the employment of
the ship
– Who is the party to Charter Party

9. 9
• Regulation 6 Ship Security Alert System
– ships constructed on or after 1 July 2004;
– passenger ships (PHSC), constructed before 1 July 2004, not
later than the first survey of the radio installation after 1 July
2004;
– oil tankers, chemical tankers, gas carriers, bulk carriers and
CHSC of 500 gross tonnage and upwards constructed before
[1 July 2004], not later than the first survey of the radio
installation after 1 July 2004;
– other cargo ships of 500 gross tonnage and upwards and
MODU constructed before 1 July 2004, not later than the first
survey of the radio installation after 1 July 2006

10. 10
• Regulation 6 Ship Security Alert System
– initiate and transmit a ship-to-shore security alert to a
competent authority designated by the Administration,
– identifying the ship,
– its location
– security of the ship is under threat or it has been
compromised;
– not send to any other ships;
– not raise on board the ship;
– continue until deactivated and/or reset;
– being activated from the navigation bridge and in at least
one other location.

11. 11
• Regulation 6 Ship Security Alert System
– Activating points shall be designed to prevent the
inadvertent initiation
– may be complied with by using radio installation
(Chapter IV)
– when received, Administration shall notify the
nearby States

12. 12
• Regulation 7 Threats to ships
– Contracting Governments shall set security levels to
ships;
• operating in their territorial sea
• having communicated an intention to enter their
territorial sea

13. 13
• Regulation 8 Master’s discretion for ship safety &
security
– Master shall not be constrained by;
• Company
• Charterer
– from taking or executing any decision including
• denial of access to person or their effects
• reject to load cargo
– containers
– other CTU

14. 14
• Regulation 9 Control and compliance measures
• Section 9.1 Control of ships in port
– Traditional PSC
• Section 9.2 Ships intending to enter a port of
another Contracting Government
– New PSC concept
• Section 9.3 Additional provisions

15. 15
• Regulation 10 Requirements for port facilities
– Port facilities shall comply with the relevant requirements of
this chapter and part A
– Contracting Governments shall set security levels and ensure
the provision of security level information to port facilities
and to ships prior to entering a port, or whilst in a port

16. 16
• Regulation 10 Requirements for port facilities
– Contracting Governments with port facility shall ensure that:
• port facility security assessments are;
– carried out
– reviewed
– approved
• port facility security plans are;
– developed
– reviewed
– approved
– implemented

17. 17
• Regulation 11 Alternative security agreements
– Contracting Government may conclude agreements
with other Contracting Government;
• on alternative security arrangements
• covering short international voyages
• on fixed route

18. 18
• Regulation 12 Equivalent security arrangements
– Administration may allow to implement other
security measures equivalent to ISPS Code
– Contracting Government may allow to implement
security measures equivalent to ISPS Code

19. 19
• Regulation 13 Communication of information
– Contracting Government shall communicate to IMO not later
than 1 July 2004;
• national authority responsible for the security of;
– ship
– port facility
• who shall receive/act upon the security alert
• authorized RSO
• list showing the approved PFSP

20. 20
• Section 1 General
– 1.1 Introduction
– 1.2 Objectives
– 1.3 Functional requirements
• Section 2 Definitions
• Section 3 Application
• Section 4 Responsibilities of Contracting Governments
• Section 5 Declaration of Security
• Section 6 Obligations of the Company
• Section 7 Ship Security
• Section 8 Ship Security Assessment (SSA)
• Section 9 Ship Security Plan (SSP)
ISPS Code Part A

21. 21
• Section 10 Records
• Section 11 Company Security Officer (CSO)
• Section 12 Ship Security Officer (SSO)
• Section 13 Training, Drills and Exercises on Ship Security
• Section 14 Port Facility Security
• Section 15 Port Facility Security Assessment
• Section 16 Port Facility Security Plan
• Section 17 Port Facility Security Officer
• Section 18 Training, Drills and Exercises on Port Facility Security
• Section 19 Verification and Certification
– 19.1 Verifications
– 19.2 Issue or endorsement of certificate
– 19.3 Duration and validity of certificate
– 19.4 Interim certification

22. 22
• Section 3 Application
– Ships engaged on international voyages:
• passenger ships, including high-speed passenger
craft
• cargo ships, including high-speed craft of 500
gross tonnage and upwards; and
• mobile offshore drilling units
– port facilities serving such ships engaged on
international voyages

23. 23
• Section 3 Application
• Sections 5 to 13 and 19 apply to ships and
Companies (3.4)
• Sections 5 and 14 to 18 apply to port facilities
(3.5)

24. 24
• Section 4 Responsibilities of Contracting Governments
• Contracting Governments shall
– set security levels
– provide guidance for protection from security
incidents
• Factors to be considered in setting security level
– threat information is credible
– treat information is corroborated
– threat information is specific/imminent
– potential consequences of security incidents

25. 25
• Section 5 Declaration of Security (DoS)
– determined by the Contracting Government (5.1)
– Ship can request (5.2)
– shall be completed by:
• the master or SSO (5.4.1)
• the PFSO (5.42.2)
– could be shared between a port facility and a ship
and shall state the responsibility for each (5.5)
– DoS shall be kept by ship & port facility (5.6 & 5.7)
– Minimum period to be kept (5.6 & 5.7)

26. 26
• Section 6 Obligations of the Company
– clear statement emphasizing the master’s authority
(6.1)
– master’s overriding authority and responsibility to
make decisions with respect to the security of the
ship (6.1)
– request the assistance of the Company or of any
Contracting Government (6.1)
– the company security officer, the master and the
ship security officer shall be given the necessary
support (6.2)

27. 27
• Section 7 Ship Security
– A ship is required to act upon the security levels set
by Contracting Governments (7.1)
– At security level 1, (7.2)
• .1 performance of all ship security duties;
• .2 controlling access to the ship;
• .3 controlling the embarkation of persons and their
effects;
• .4 monitoring restricted areas
• .5 monitoring of deck areas and areas surrounding the
ship;
• .6 supervising the handling of cargo and ship.s stores;
• .7 security communication is readily available.

28. 28
• Section 7 Ship Security
• At security level 2, (7.3)
– additional protective measures
• At security level 3,
– further specific protective measures (7.4)

29. 29
• Section 8 Ship Security Assessment (SSA)
– process of developing and updating the SSP (8.1)
– The CSO shall ensure that the SSA is carried out by persons
with skills to evaluate the security of a ship. (8.2)
– on-scene security survey and: (8.4)
• .1 identification of existing security measures,
procedures and operations;
• .2 identification and evaluation of key ship board
operations;
• .3 identification of possible threats to the key ship
board operations
• .4 identification of weaknesses, including human
factors in the infrastructure, policies and
procedures.

30. 30
• Section 9 Ship Security Plan (SSP)
– Each ship shall carry on board a SSP approved by the
Administration. (9.1)
– provisions for the 3 security levels. (9.1)
– Entrust review and approval of SSP to RSOs (9.2)
– Submission of SSP for approval shall be accompanied by the
security assessment (9.3)

31. 31
• Section 9 Ship Security Plan (9.4)
– .1 prevent weapons, dangerous substances and devices
– .2 identification of the restricted areas
– .3 prevention of unauthorized access to the ship
– .4 responding to security threats or breaches of
security
– .5 responding to any security instructions issued by
Contracting Governments at security level 3
– .6 evacuation in case of security threats or breaches of
security;
– .7 duties of shipboard personnel assigned security
responsibilities
– .8 auditing the security activities
– .9 training, drills and exercises associated with the SSP

32. 32
• Section 9 Ship Security Plan
– .10 interfacing with port facility security activities;
– .11 periodic review of the plan;
– .12 reporting security incidents;
– .13 identification of the SSO;
– .14 identification of the CSO (24 hour contact details);
– .15 inspection, testing, calibration, and maintenance of
security equipment, if any
– .16 frequency of testing or calibration, if any
– .17 identification of the locations where the ship
security alert system activation points are provided*;
– .18 procedures, instructions and guidance on the use of
the ship security alert system*
• *Administration may allow to be kept elsewhere on board

33. 33
• Section 9 Ship Security Plan
– Personnel conducting internal audits of the security activities
shall be independent of the activities being audited (9.4.1)
– Which changes to an approved SSP (Administration shall
determine) shall not be implemented unless approved by the
Administration. (9.5)
– SSP may be kept in an electronic format (9.6)
– SSP shall be protected from unauthorized access or disclosure
(9.7)
– SSP are not subject to inspection by PSCO (9.8)
– clear ground --> limited access to the specific sections (9.8.1)
– sections 9.4/2, 4, 5, 7, 15, 17, 18 are confidential (9.8.1)

34. 34
• Section 10 Records
– to be kept on board for at least the minimum period specified
by the Administration: (10.1)
• .1 training, drills and exercises;
• .2 security threats and incidents
• .3 breaches of security
• .4 changes in security level;
• .5 communications
• .6 internal audits and reviews of security activities
• .7 periodic review of the SSA
• .8 periodic review of SSP
• .9 implementation of amendments to the SSP
• .10 maintenance, calibration and testing of security
equipment, if any;
– shall be protected from unauthorized access/disclosure

35. 35
• Section 11 Company Security Officer (CSO)
– The Company shall designate a CSO. (11.1)
– A person designated as the CSO may act as the CSO
for one or more ships. (11.1)
– A Company may designate several persons as CSOs
provided it is clearly identified for which ships each
person is responsible. (11.1)

36. 36
• Section 11 Company Security Officer (11.2)
– duties & responsibilities of CSO
• .1 advising the level of threats;
• .2 SSAs are carried out;
• .3 development, submission for approval,
implementing and maintenance of the SSP;
• .4 SSP is modified to correct deficiencies;
• .5 internal audits and reviews of security
activities;
• .6 initial and subsequent verifications of the
ship;
• .7 deficiencies/non-conformities are addressed
and dealt with

37. 37
• Section 11 Company Security Officer (CSO)
• .8 enhancing security awareness and vigilance;
• .9 adequate training;
• .10 effective communication and co-operation;
• .11 consistency between security and safety
requirements;
• .12 the SSP for each ship reflects the ship-
specific information accurately;
• .13 any alternative or equivalent arrangements
approved for a particular ship are
implemented and maintained.

38. 38
• Section 12 Ship Security Officer (SSO)
– A SSO shall be designated on each ship. (12.1)
– duties and responsibilities of the SSO (12.2)
• .1 regular security inspections of the ship
• .2 maintaining and supervising the implementation of the
SSP
• .3 co-ordinating the handling of cargo and ship’s stores
• .4 proposing modifications to the SSP
• .5 reporting to the CSO any deficiencies and non-
conformities
• .6 enhancing security awareness and vigilance on board
• .7 adequate training to be provided to shipboard personnel
• .8 reporting all security incidents
• .9 co-ordinating implementation of the SSP with CSO &
PFSO
• .10 security equipment is properly operated, tested, calibrated
and maintained

39. 39
• Section 13 Training and Drills
– CSO shall have knowledge and have received training. (13.1)
– SSO shall have knowledge and have received training. (13.2)
– Shipboard personnel having security duties/responsibilities
(13.3)
• shall understand their responsibilities
• shall have sufficient knowledge and ability to perform
their assigned duties
– Drills shall be carried out at appropriate intervals (13.4)
– CSO
• effective coordination & implementation of SSP
• by participating in exercises at appropriate intervals

40. 40
• Section 19 Verification and Certification
• 19.1 Verifications
– 19.1.1.1 initial verification
• shall include a complete verification of its security system
and any associated security equipment and the approved
SSP.
• security system and any associated security equipment
fully complies with the requirements
• satisfactory condition/fit for the service

41. 41
• 19.1 Verifications
– 19.1.1.2 renewal verification
• not exceeding five years
• security system and any associated security equipment fully complies
with the requirements
• satisfactory condition/fit for the service
– 19.1.1.3 intermediate verification
• at least one intermediate verification, if only one, shall take place
between the second and third anniversary date.
• include inspection of security system and any associated security
equipment
– 19.1.1.4 additional verification
• any additional verifications as determined by the Administration.

42. 42
– The verifications of ships shall be carried out by
officers of the Administration.The Administration
may entrust the verifications to a RSO (19.1.2)
– security system and equipment after verification
shall be maintained to conform with the provisions
(19.1.4)
– After verification has been completed, no changes
shall be made in security system and equipment
without the sanction of the Administration (19.1.4)

43. 43
• 19.2 Issue or endorsement of certificate
– International Ship Security Certificate shall be issued
after the initial or renewal verification (19.2.1)
– Such certificate shall be issued or endorsed either by
the Administration or by the RSO (19.2.2)

44. 44
• 19.3 Duration and validity of certificate
– International Ship Security Certificate shall not exceed 5
years (19.3.1)
– When the renewal verification is completed within 3 months
before the expiry date of the existing certificate, the new
certificate shall be valid from the date not exceeding 5 years
from the date of completion of the renewal verification to a
date not exceeding 5 years from the date of expiry of the
existing certificate (19.3.2)

45. 45
• 19.3 Duration and validity of certificate
– When the renewal verification is completed after the expiry
date of the existing certificate, the new certificate shall be
valid from the date of completion of the renewal verification
to a date not exceeding 5 years from the date of expiry of the
existing certificate (19.3.2.1)
– When the renewal verification is completed more than 3
months before the expiry date of the existing certificate, the
new certificate shall be valid from the date of completion of
the renewal verification to a date not exceeding 5 years from
the date of completion of the renewal verification (19.3.2.2)

46. 46
• 19.3 Duration and validity of certificate
– at the Renewal verification, if a new certificate cannot be
issued/placed on board, existing certificate may be endorsed
(19.3.4)
– and shall be accepted as valid for a further 5 months (19.3.4)
– certificate shall cease to be valid; (19.3.8)
• .1 Renewal/ Intermediate/ (Additional) verifications are not
completed within the period
• .2 certificate is not endorsed
• .3 company changes
• .4 flag changes

47. 47
• 19.4 Interim certification
– after 1 July 2004, Interim ISSC may be issued for; (19.4.1)
• .1 a ship without a certificate, on delivery, prior to its entry/re-
entry into service
• .2 flag changes from party Government
• .3 flag changes from non-party Government
• .4 company changes
– Interim ISSC shall be valid for (19.4.4)
• 6 months
• or until full certificate is issued, whichever comes first
• may not be extended
– No subsequent, consecutive Interim ISSC shall be issued
(19.4.5)

48. 48
• 19.4 Interim certification
– to be verified; (19.4.2)
• .1 SSA completed
• .2 copy of SSP (submitted for approval) provided onboard, and
SSP is being implemented
• .3 Security Alert System is provided, if required
• .4 CSO
– .1 shall ensure
» .1 review the SSP
» .2 SSP has been submitted for approval
» .3 SSP is being implemented on the ship
– .2 established necessary arrangements for completion of Initial
Verification
» drills, exercises, internal audits
• .5 arrangement for Initial Verification
• .6 Master, SSO & relevant shipboard personnel are familiar with
» their duties specified in the Code
» relevant provisions of the SSP
» have been provided such information

49. 49
• Section 19 Verification and Certification
Expiry date
3 months before
Valid 5 years from previous expiry date
19.3.2
Valid 5 years from Renewal Verification
19.3.2.2
19.3.2.1 Valid 5 years from previous expiry date
5 years from
Expiry date