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Guidance and Template for Preparing a Ship Security Plan, August 2015 1

Guidance and Template for Preparing a Ship Security Plan

Released August 2015

Disclaimer

The Commonwealth Government has prepared this guide with due care. However, the material contained in this guide is made available on the understanding that the Commonwealth Government is not providing professional advice and that users exercise their own skill and care with respect to its use and seek independent advice if necessary.

The Commonwealth Government takes no responsibility for any errors, omissions or changes to the information that may occur and disclaims any responsibility and liability to any person, organisation or the environment in respect of anything done, or omitted to be done, in reliance upon information contained in this guide.

The information contained in this guide is guidance material only. The information in no way overrides Commonwealth or State legislation. Port operators/offshore facility operators/ship operators should refer to the Maritime Transport and Offshore Facilities Security Act 2003 and the Maritime Transport and Offshore Facilities Regulations 2003 before submitting plans for approval.

2 Guidance and Template for Preparing a Ship Security Plan, August 2015

Introduction

Requirements for Ship Security Plans

Ship operators of Australian regulated ships as defined under section 16 of Maritime Transport and Offshore Facilities Security Act 2003 (the Act) are required to submit ship security plans for review and approval by the Secretary.

The requirements for ship security plans are set out in sections 66, 67 and 68 of the Act and further requirements are reflected in part 4 of the Regulations. The Regulations for the content of ship security plans are consistent with the requirements of the International Ship and Port Facility Security Code (ISPS code). This guide considers both the ship security plan requirements in the Act and the Regulations.

Maritime Security OutcomesThe Act establishes an outcomes based preventive security framework that will enhance Australia's maritime security arrangements. There are four key maritime security outcomes set out at section 3(4).

a) Australia’s obligations under Chapter XI-2 of the SOLAS Convention and the ISPS Code, in-cluding those with regard to the welfare of seafarers, are met;

b) the vulnerability to terrorist attack of Australian ships, ports and other ships within Australia is re-duced without undue disruption to trade;

c) the risk that maritime transport is used to facilitate terrorist or other unlawful activities is reduced;d) security information is communicated effectively among maritime industry participants and gov-

ernment agencies with maritime transport security responsibilities.

Section 3(5) states that ‘it is not the purpose of this Act to prevent lawful advocacy, protest, dissent or industrial action that does not compromise maritime security’.

Each ship security plan submitted for approval must demonstrate an appropriate contribution toward these maritime security outcomes.

Ship Security Plan RequirementsPart 4, division 4.2 of the Regulations contains requirements that must be addressed in ship security plans. Plans that address these requirements will be considered to adequately contribute to the maritime security outcomes.


Ship security plans must be developed so as to be consistent with the terminology, definitions and abbreviations as described in section 10 of the Act, Regulation1.03 and the ISPS Code, available via the Department’s website.

The Department recognises that there are many different approaches that ship operators can take to prepare a ship security plan. This guide presents a template that could be used by ship operators to prepare a ship security plan that will meet the requirements of the Act and the Regulations.

It is considered that a fully completed ship security plan that uses the template provided will provide the Secretary with sufficient information to determine if the plan was made in accordance with the Act and Regulations. The template, which is outcomes based, can also be used to demonstrate that the implementation of the plan will make an appropriate contribution towards the achievement of the maritime security outcomes described in the Act.

The template is provided as guidance only and each ship operator should consider the suitability of it for their circumstances prior to adopting it for their own use. Text in italics used in each section of the template describes the type of information expected under the subject headings.

It is suggested that ship operators consider:

What information the ship operator wishes to present to the Department in their plan. Is the information presented likely to be changed frequently during the period of the plan (if so,

more generic information that is not a regulatory requirement may be needed). Whether the plan to be submitted meets the content and form requirements of the Act and Reg-

ulations.

Ship operators may submit ship security plans to the Secretary and request that their plans be considered for approval. If the Secretary is satisfied that the plan adequately addresses the specific requirements of the Act and Regulations then the Secretary must approve the plan and give the ship operator written notice of approval.

Contact DetailsRegulations 4.20 and 4.30 require that each ship security plan must be submitted with an accompanying document, separate to the plan and not forming part of the plan, detailing a number of key details for the identification of the ship and contact details for use during day to day business or during an emergency. Regulation 4.31 obliges the ship operator to notify the Secretary in writing within 2 working days of changes to contact details.


Contact details submitted as an accompanying document, separate from the plan, may be varied without the variation process described in section 52A of the Act. It is recommended that the identification of the ship form on page 6 and the contact details form on page 7 be submitted with the completed ship security plan.

International Ship Security CertificateSection 81 of the Act requires ship operators apply to the Secretary for an International Ship Security Certificate (ISSC) for the ship. This may be done in conjunction with the submission of the ship security plan. An Interim International Ship Security Certificate (IISSC) will be issued to the ship upon approval of the ship security plan. Interim International Ship Security Certificates are valid for a period determined by the Secretary, with 6 months being the maximum period of validity. The Act does not provide for an extension of the period of validity of an IISSC, or for the re-issue of an IISSC.

Before a ship can be issued with an ISSC, the ship security plan must be in force and verified in accordance with section 83 of the Act. Ship operators must advise the Department of a suitable time and location when the ship will be available for the initial ISSC verification inspection. In exceptional circumstances the scheduled verification inspection may be re-scheduled following consultation with the Department and a suitable revised time and location for the verification inspection being arranged.

Submitting your Security Plan

A plan can be submitted to the Department as an electronic or hard copy version. It can be emailed to:

[email protected]

or posted to:

National CoordinatorGPO Box 1966Canberra, ACT 2601Australia

Please ensure that plans are submitted in Microsoft Word or PDF format, and that any password protection has been removed.


mailto:[email protected]

The Maritime, Ship and Offshore Security Plan and Security Plan Variation Approval Process


This document accompanies [insert title of plan], but is not part of it

Identification of the Ship <Ship Name>

Name of ship covered by the plan <Ship Name>

Official Number (Australian Register Number)

<Register Number>

IMO Ship identification Number (if applicable)

<IMO Number>

Any distinctive number or letters <numbers, letters>

Ship Type <type>

Radio Call Sign <Call sign>

Date of Registry <Date>

Port of Registry <Name>

Year Built <Date>

Deadweight Tonnage <Tonnage>

Gross Registered Tonnage <Tonnage>

Length of Ship <Length>

Breadth of Ship <Breadth>

Summer Draft <Draft>

Number of Crew <Number>

Number of Passenger Berths <Number>


Trade (Overseas and/or Inter-state) <Type of trade>

Contact Details for the Ship Operator of <Ship Name>

Ship Operator <Name>

Chief Executive Officer <Name>

Company Security Officer <Name or Position>

Business Address <Address>

Mailing Address (if different) <Address>

Business Phone Number <Phone>

Mobile Number <Mobile>

Fax Number <Fax>

Email Address <Email>

Ship Security Officer <Name>

Business Address <Address>

Mailing Address (if different) <Address>

Business Phone Number <Phone>

Mobile Number <Mobile>

Fax Number <Fax>


Email Address <Email>

24 Hour Security Contact Number <Phone>

Note: A ship operator must, within 2 working days after the ship operator becomes aware of a change in any of the information given under Regulation 4.30, notify the Secretary, in writing, of the change.


Ship Security PlanFor

<SHIP NAME>

<AUSTRALIAN REGISTER Number>

AND/OR

<VESSEL’S IMO NUMBER>

Prepared by

<SHIP OPERATOR NAME>

Date: DD/MM/YYYY

Submitted by [Name of authorised person]

Position [Position]

Signature [Signature]

Date [DD/MM/YY]

Security Classification [Classification]

Revision Number [Revision Number]

Copy Number [Copy Number]

<<Name of Ship>> Ship Security Plan, Version #, Month and Year 4

Contents

Ship Security Plan.....................................................................................................................................4

Contents.....................................................................................................................................................5

1. Administrative Details.......................................................................................................................7

1.1 Authority........................................................................................................................................7

1.2 Document Protection.....................................................................................................................7

1.3 Document Control.........................................................................................................................8

2. Scope...................................................................................................................................................9

2.1 Ship Operations............................................................................................................................9

3. Communication and Coordination.................................................................................................10

3.1 Communication...........................................................................................................................10

3.2 Pre-Entry Information..................................................................................................................10

3.3 Ship Security Records................................................................................................................10

3.4 Declaration of Security................................................................................................................10

3.5 Reporting of Maritime Transport Security Incidents....................................................................11

4. Operation of the Plan.......................................................................................................................12

4.1 Review and Audit........................................................................................................................12

4.2 Drills and Exercises....................................................................................................................12

4.3 Duties and Responsibilities.........................................................................................................13

4.4 Knowledge and Training.............................................................................................................14

5. Security Measures and Procedures...............................................................................................15

5.1 Security Assessment..................................................................................................................15

5.2 Security Measures and Procedures............................................................................................16

5.2.1 Maritime Security Level 1........................................................................................................20


5.2.2 Maritime Security Levels 2 and 3............................................................................................21

5.3 On-board Security Zones............................................................................................................23

5.4 Visits to Non-Compliant Ports or Locations................................................................................24

5.5 Security Equipment.....................................................................................................................24

5.6 Security of the Ship in Exceptional Circumstances.....................................................................25

Attachment 1 - Pre-Entry Information...................................................................................................26

Attachment 2 - Ship Security Assessment...........................................................................................27

Attachment 3 - Security Measures and Procedures............................................................................28

Attachment 4 - Plan of On-board Security Zones................................................................................29

Annex 1 - Declaration of Security (Sample only).................................................................................30

Annex 2 - Maritime Security Incident Report Form.............................................................................33

6 <<Name of Ship>> Ship Security Plan, Version #, Month and Year

1. Administrative Details1.1 AuthoritySection 61 of the Act requires that a regulated Australian ship have a ship security plan. This section must outline who has authorised the ship security plan on behalf of the ship operator. It may also include the organisations security policy. The intention is to demonstrate that the organisation supports the implementation of this plan. The plan must be submitted for approval to the Secretary of the Department of Infrastructure and Transport (the Department) with the authority of the ship operator.

Regulation 4.110 requires a ship security plan to contain a statement to the following effect: “The Master of this ship has the overriding authority and responsibility to make decisions with respect to the safety and security of the ship and to request the assistance of the ship operator or of any contracting government to the SOLAS Convention, as may be necessary.”

1.2 Document Protection1

Objective: Effective protection of the ship security plan from unauthorised disclosure.

Regulation 4.115 requires that the ship operator ensure the ship security plan is protected against unauthorised access, amendment and disclosure.

Regulation 4.45 (k) requires ship operators explain how they will protect their ship security plan from unauthorised access, amendment and disclosure. This section should refer to the security classification of the document for internal purposes and to specific procedures to be taken to prevent unauthorised access, amendment and disclosure of the document. This section of a ship security plan should address the protection of both physical, and if appropriate, electronic copies of the security plan.

1.3 Document ControlThe ship operator may wish to include a document control statement in their plan. This may include specific procedures for the revision and update of the plan should modification of the plan be required.

1 The requirements in this section are consistent with the requirements of Section 9.7 of Part A of the ISPS code, measures to

ensure the security of the information contained in the plan.


The table below can be used to maintain a history of the approved plan and to identify particular amendments to the document as revisions and variations.

Document Revision Record

Version Section

Number(s)

Page Numbers Date of Latest

Revision/Variation Date of Approval

A All All November 2003 NA

1 All All February 2004 30 June 2004

2 All All December 2006 26 January 2007

For un-issued versions and updates, letters A, B, C etc. to be used;

For original issued versions and updates, numbers 0, 1, 2 etc. to be used;

Operators should maintain a record of distribution of the maritime security plan, or may include a distribution list in the plan.

Operators that adopt this amendment record-keeping process should submit the plan revision/variation for approval using the next due version or update (in anticipation of the plan being approved). Plans should not be submitted as un-issued versions/update or draft.


2. Scope2.1 Ship OperationsThis section should describe what operations are covered in the ship security assessment and plan. This section should also make reference to the trading operations of the security regulated ship. Regulation 4.25 sets the content requirements for security assessment. Refer to Section 5 of this guide for further information.


3. Communication and Coordination2

Objective: Effective consultation, communication and coordination of security measures and procedures.

3.1 CommunicationRegulation 4.30 (3) requires a ship security plan to set out the communication procedures and protocols for the CSO in relation to maritime security levels or security directions. This section should set out clearly all procedures and protocols for communicating with the Master of the ship.

3.2 Pre-Entry InformationPrior to entry into an Australian port it is a requirement that Australian regulated ships submit pre- entry information. Regulation 4.80 stipulates that a ship security plan must set out the procedures for giving pre-entry information. The procedures for giving this information should be detailed in Attachment 1.

3.3 Ship Security RecordsShip security records, as defined in Section 10 of the Act and Regulation 1.55, must be kept on board the ship. Regulation 4.100 requires that the ship security plan set out this requirement, a plan for keeping and preserving the records and procedures for making the records available for inspection.

3.4 Declaration of SecurityThe declaration of security (DOS) is an agreement between a ship operator and a port (or port facility or port service provider, another ship or offshore facility) on the types of security measures and procedures that will be put in place upon arrival of that ship in port or an offshore facility. It outlines who has responsibility for providing security measures required under the agreement. The requirements for a DOS can be found in Regulation 4.60.

2 This section of the plan will provide information on how the Ship Operator will contribute to the achievement of the Maritime

Security Outcome at section 3(4)(d) of the Act, security information is communicated effectively among maritime industry participants and government agencies with maritime transport security responsibilities.


A ship security plan must identify the circumstances where a ship operator will request a DOS with another maritime industry participant. For example, when a ship wishes to enter port at a higher security level.

Ship security plans must detail the procedures for negotiating the security measures and responsibilities in the DOS and must explain how the measures in the DOS that are the responsibility of the ship will be implemented to ensure compliance with their security plan and assist the other party to comply with their plan. A template for use between the ship and a port is at Annex 1. The template has been adopted from Part B Appendix 1, of the ISPS code. The DOS template is available from the Department’s website and need not to be included with the security plan.

3.5 Reporting of Maritime Transport Security IncidentsRegulation 4.85(a) requires that the plan set out procedures for the reporting of maritime transport security incidents to the Secretary.

Guidance on submitting incident reports is available on the Department’s website. Annex 2 contains an example of an incident reporting form. This form is available on the Department’s website and does not need to be included with submissions of security plans.


4. Operation of the Plan4.1 Review and Audit3

Objective: Effective audit and review procedures that ensure the security measures and procedures are adequate and that the plan has been implemented correctly.

Regulation 4.105 sets out the requirements for security plan audits and security plan reviews.

This section should be used to explain how the ship operator will ensure that the plan is effective and adequate and that the plan has been implemented correctly.

Regulation 4.105 requires that ship security plans must include:

A schedule of security plan audits by internal and external auditors; The circumstances, in addition to the occurrence of a maritime transport security incident, follow-

ing which a security plan review must be conducted; The procedures for conducting a security plan audit, including a process for selecting auditors

who are independent of the matters being audited; and The procedures for conducting a security plan review, including process for consultation during

the review.

It is suggested that for ease of maintaining audit and review procedures that the general procedures should be referenced in this section and specific details of procedures included at Attachment 3. External reviews, if applicable, are those conducted by external organisations or consultants on behalf of the ship operator.

4.2 Drills and ExercisesRegulation 4.45(g) requires that each ship security plan include procedures for conducting drills and exercises associated with the plan. This should include a timetable of when the drills are to be conducted and records of the results of drills and exercises will be maintained and secured.

The objective of drills and exercises is to ensure that shipboard personnel are proficient in all assigned security duties, at all security levels, and to identify any security-related deficiencies which need to be addressed*.

3 This section is consistent with the requirements of section 9.4 (8) and (11) of Part A of the ISPS code, procedures for the

periodic review of the plan and updating and Procedures for auditing the security plan.


Drills could be conducted at least every 3 months to test individual elements of the plan. Consid-eration could also be given to additional drills in the event of crew changes*.

Exercises could be conducted at least once each calendar year, with no more that 18 months be-tween exercises. These may involve the participation of other regulated security officers and rele-vant authorities.4

4.3 Duties and Responsibilities5

Sub-regulation 4.30(2) provides that a ship security plan may set out duties and responsibilities of a ship security officer and company security officer in addition to the duties set out in sections 11.2 and 12.2 of the ISPS Code. Regulation 1.15 and 1.10 describe the duties and responsibilities of ship security officers and company security officers respectively.

Each ship security plan must detail the specific duties and responsibilities of the ship security officers, company security officers and other security personnel.

A table to record information on the responsibilities of security related positions could be formatted as follows:

Position Responsibilities

<insert the position title> <insert the responsibilities >

SSO Maintaining the Ship Security Plan for the ship etc

CSO Coordinating audits and reviews

4.4 Knowledge and Training

Objective: Ship security officers, company security officers and other security personnel have received appropriate training or have sufficient knowledge to perform their duties.

4 These sections are consistent with the requirements of Section 13.5 – 13.7 of Part B of the ISPS code, Drills and exercises.

5 This section is consistent with the requirements of section 9.4 (7) of Part A of the ISPS code, duties of shipboard personnel

assigned security responsibilities and of other shipboard personnel on security aspects.


Regulation 4.40 requires the ship operator to ensure that personnel with responsibility for security have adequate knowledge, or have received appropriate training to be able to carry out their duties.

Ship security plans must detail:

the knowledge, skills and other requirements for the security related aspects of their position (Regulation 4.35(2)(a));

the training or qualifications that satisfy those requirements (Regulation 4.35(2)(b)); and the training that must be given to those personnel (Regulation 4.40).

Regulation 4.35 requires the operator to identity ‘shore-based personnel and crew with, or have been assigned, security duties and responsibilities’ and also the duties, responsibilities, training, skills, qualification and training of these personnel.

The table below can be used to record the training requirements for each position.

Position Required Knowledge or Training

<Insert the Position title> <Insert the knowledge and training requirements for the position here>

CSO Knowledge ability to implement and maintain the Ship Security Plan for the ship etc.

Each plan should also include or reference a training register to record which staff have received appropriate training or have sufficient knowledge to perform their duties. Details of the training should also be documented as well as how the ship operator has determined they have the required knowledge to undertake the security responsibility.


5. Security Measures and Procedures5.1 Security AssessmentOutcome - An understanding of security risks and possible preventive security measures and procedures to treat risks that have been identified.

Each ship security plan must include a security assessment. The security assessment must be prepared in accordance with Regulation 4.25. Also, in accordance with section 66 of the Act a security assessment must take into account and documents required in writing by the Secretary to be taken into account. Ship operators should check the Departments website for any documents required to be taken into account when completing security assessments.

The Secretary has developed a Maritime Risk Context Statement to provide the maritime industry sector with information on the maritime strategic risk context and the current security environment in Australia. Ship operators must explicitly consider each of the risks identified in the Maritime Risk Context Statement.

The Maritime Risk Context Statement is available to ship operators by contacting: information .ana l ysis @i nf ra s truc tu re .go v .au .

For further information, refer to Standards Australia and Standards New Zealand’s HB 436, Risk Management Guidelines – Companion to AS/NZS 4360:1999 Risk Management; which updates AS/NZS 4360:1999 and provides greater emphasis on:

the importance of embedding risk management practices in the organisations culture and pro-cesses;

the management of potential gains as well as potential losses;

HB 436 and AS/NZS 4360:1999 are available from www.standards.org.au

The risk treatments identified in the security assessment should be referred to in security measures and procedures at 5.2 below. The completed security assessment must be attached to the plan at Attachment 2.

Further information on conducting a Maritime Security Assessment may be found in the Maritime Security Assessments Guidance Paper available from the Department’s website.


http://www.standards.org.au/


The risk treatments identified in the security assessment should be referred to in security measures and procedures at 5.2 below. The completed security assessment must be attached to the plan at Attachment 2.

Further information on conducting a Maritime Security Assessment may be found in the Maritime Security Assessments Guidance Paper available from the Department’s website.

Note: Submissions of revised ship security plans require the submission of a revised or reviewed security assessment.

5.2 Security Measures and Procedures

Ojectives: Effective measures and procedures to treat security risks and to control access to and to areas within the security regulated ship.

Effective measures and procedures for implementing security directions and for responding to maritime transport security incidents or other security matters.

This section must be used to identify each security measure and / or procedure to be implemented under the plan. However the specific details of each security measure and / or procedure could be included in Attachment 4. It is expected that each ship security plan will include security arrangements to treat a range of different security risks and that individual measures, and procedures may address a number of risks identified by the ship operator.

In addition to the measures for each of the maritime security levels, Regulation 4.85(b) requires that the plan set out procedures for responding to security threats and breaches of security, including provisions for maintaining critical operations of the ship or ship/port interface.

Regulation 4.45 specifies items that must be addressed and, unless addressed elsewhere in the plan, should be placed in this section of the plan. As maritime security level 1 is the standard operating level, these requirements should be detailed under this level. It is expected that measures and procedures addressing these items would be listed for maritime security levels 1, 2 and 3. These matters include:


R 4.45(a)

Measures to prevent unauthorised carriage or possession of weapons or prohibited items on board the ship.

If applicable, measures could include, but are not limited to:

The ship operator will ensure that all passengers and their possessions are, prior to their entering any cleared zone used for departing passengers, subject to screening procedures by an ap-proved screener unless specifically exempted pursuant to the Department’s maritime security regulations.

R 4.45(c)

Measures to prevent unauthorised access to the ship and any on-board security zones.

If applicable, measures could include, but are not limited to:

Where an access point is via a gangway, ramp or ladder and is used at night, the area surround-ing that access point will be illuminated;

Gangway watch; Signage; Visitor authorization; Maritime Security Identification Card requirements in relation to access to on-board security

zones; and Protocols for reporting unauthorised access into on-board security zones;

R4.45(d)

Procedures for responding to security threats or breaches of security, including provisions for maintaining critical operations of ship/port interface;

If appropriate, these procedures could include but are not limited to:

Procedures for the handling of bomb and other threats.

This should include reference to other existing response plans and/or arrangements, if appropriate. It may also include reference to existing procedures within other emergency management/planning/


response plans and/or business continuity plans. These plans do not need to be included with the security plan.

R 4.45(e)

Procedures for acknowledging, and responding to, directions given by the Secretary or a contracting government and acknowledging notifications of the security level in force from the Secretary or a contracting government.

If appropriate, these procedures could include but are not limited to:

Management procedures that will be taken to ensure that a security direction is implemented as soon as possible after the direction is given; and

Procedures for communicating the security direction.

R 4.45(f)

Procedures for evacuation of the ship in case of security threats or breaches of security.

This should include reference to a current evacuation plan. The evacuation plan does not need to be included with the security plan, but may assist the Department assess the ship security plan.

R 4.45(h)

Procedures for interfacing with port, port service and port facility security activities.

If applicable, procedures could include, but are not limited to:

Communication protocols between the ship operator and the port operator, port facility operator and port service provider relating to their specific security activities and arrangements.

R 4.45(i)

Procedures for modifying the plan to correct deficiencies or to update the plan to take into account changes to the ship.

If applicable, procedures could include, but are not limited to:


Procedures for reviewing and potentially modifying the ship security plan to address any changes to the ship. These changes could include structural adjustments or changes to trading patterns; and

Responsibilities and procedures for submitting proposed changes.

R 4.45(j)

Procedures for reporting occurrences which threaten the security of the ship.

Part 9 of the Act sets out the requirements for maritime transport security incidents. Ship Masters and ship operators are required under sections 172 and 173 to report incidents.

Sections 178 and 179 of the Act requires the ship Masters and ship operator to report incidents to:

the Secretary; The Australian Federal Police or the Police Force of a State or Territory; If the ship is in a security regulated port – the Port Operator for the port; If the ship is using a port facility within a security regulated port – the port facility operator for the

port facility; An incident that relates to another security regulated ship must be reported to the ship operator

for the ship or the Master of the ship; and For ship Masters: An incident that relates to a security regulated port (including a port facility)

must be reported to the port operator for the port. For ship operators: An incident that relates to a port must be reported to the port operator for the

port.

If appropriate, these measures could include but are not limited to:

Procedures for reporting of security incidents in accordance with the Act Internal procedures for employees to report security incidents to management or the ship security

officer and the company security officer. Procedures for raising the awareness of staff of their responsibilities for reporting incidents.

Guidance on submitting incident reports is available on the Department’s website. Annex 2 contains an example of an incident reporting form. This form is available on the Department’s website and does not need to be included with submissions of security plans.


5.2.1 Maritime Security Level 1Regulation 4.50 sets out the specific requirements for maritime security level 1. These measures must include:

a) The security measures identified in the ship security assessment for implementation at that level.b) The measures that have been implemented.c) A schedule for implementing the measures that have not been implemented.d) Any interim measures that will be implemented until the measures referred to in (c) are fully imple-

mented.

This table can be used to record the security measures to be implemented.

Table 1: Security Measures and Procedures at Security Level 1

Description of security measure or procedure. Person or organisation responsible for

implementing the measure

ie, access control, additional security patrols, security

training of personnel with security responsibilities, staff security clearances, etc

Eg. Master, Ship security officer,

Company security officer etc.

In this section, each ship security plan must:

identify the specific security measures and procedures to be undertaken or implemented by the ship operator for maritime security level 1. Maritime security level 1 measures are those that will be in operation at all times.

include an implementation timetable indicating which measures and procedures are already in place and if not in place indicating when it will be implemented, and what interim measures will be put in place until it is ready. A table for this purpose is provided on page 19. Alternatively, an im-plementation timetable may be included as an attachment to the plan.


5.2.2 Maritime Security Levels 2 and 3Regulation 4.55 requires that each ship security plan include a list of the additional security measures that the ship operator will implement if the Secretary declares that maritime security level 2 or 3 is in force.

Part B of the ISPS code provides advice of the types of measures that may be appropriate to implement at levels 2 and 3.

The following tables can be used to record the security measures to be implemented

Table 2:Security Measures and Procedures at Security Level 2

Description of security measure or procedure. Person or organisation responsible for implementing the measure

ie, increased number of security guard patrols, limit access to ship for non essential personnel,

Eg. Master, Ship security officer, Company security officer etc.

Note: Security level 2 measures or procedures are usually in addition to all of the measures and procedures in force at security level 1.

Table 3:Security Measures and Procedures at Security Level 3

Description of security measure or procedure. Person or organisation responsible for implementing the measure

ie. Suspension of cargo handling operations etc Eg. Master, Ship security officer, Company security officer etc.


Note: Security level 3 measures or procedures are usually in addition to all of the measures and procedures in force at security levels 1 and 2.


Table 4: Implementation Timetable

Alternatively, an implementation timetable may be included as an attachment to the plan.

Security Measure or Procedure

Status (Operational / To be established)

Date of expected implementation (if status is to be established)

Interim measures / procedures6

Establishment of on-board security zones

To be established Signage to be in place by September 2004, next scheduled port visit to Australia

All staff advised of the location and establishment of zone. Appropriate temporary signage to be installed to identify the restricted area by 1 July 2003.

6 Interim measures must be indicated for all measures and procedures that are to be established. These interim measures and procedures must

be in place by the time the plan is sent to the Department.


5.3 On-board Security ZonesSections 110, 111 and 112 of the Act enable the Secretary to establish, by written notice, on- board security zones. Regulation 4.45(b) requires a ship operator identify on-board security zones. Regulation 4.65 of the Regulations sets out the requirements on ship operators in respect of the maintenance of integrity if on-board security zones.

To supplement some of the security measures and procedures identified in the plan, the ship may wish the Secretary to establish on-board security zones.

In establishing an on-board security zone on a regulated Australian ship, the Secretary must:

a) have regard to the purpose of the zone; andb) take into account:

i. the operational features of the ship; andii. the views of the ship operator for the ship.

To enable the Secretary to consider the operational features of the ship and the views of the ship operator, a description or plan or diagram depicting the location and boundaries of any proposed on- board security zones may accompany a ship security plan as a separate document forming part of the security plan. Plans and, or diagrams depicting on-board security zones can be attached to the ship security plan at attachment 4.

A ship operator must ensure that the security measures and procedures to control access to on-board security zones detect and deter unauthorised access to those zones.

Regulation 4.65 requires that if the ship operator for a regulated Australian ship wishes the Secretary to establish an on-board security zone for the ship, the ship security plan must set out:

a) the purpose for the proposed establishment of the zone; andb) the boundaries of the zone; andc) the security measures and procedures to be taken to control access into the zone by people or

things; andd) steps to be taken to inform people that the on-board security zone has been established and

that entry into the zone without authority is an offence; ande) the name or position of the person or persons responsible for the security measures, proce-

dures or steps referred to in paragraphs (c) and (d); andf) if applicable, the period when, or the circumstances in which, the zone is in force.


Should a ship operator wish the Secretary to establish or change an on-board security zone, the maritime security plan for the ship operator must set out:

Number and type of zone: (for example)o 'One on-board security zone' .... (How many on-board security zones)

Maritime security level the zone will operate at: (for example)o 'Will operate at maritime security level one' / all levels / etc. (include the MARSEC level rel-

evant to the described security zone boundary) The location of the security zone (it is necessary to clearly articulate this in the SSP as the estab-

lishment notices need to capture this from the description). (for example)o The entire bridge or tiller flat compartment

The specific circumstances needed for the zone to come into operation: (for example)o 'when a ship is at berth' or 'two hours prior to a ship being at berth'.

Regulation 4.65 requires Ship Operators to monitor and control access to any on-board security zones

5.4 Visits to Non-Compliant Ports or LocationsRegulation 4.70 requires that if it is envisaged that the ship will call at ports or port facilities that do not have valid security plans in force, the ship operator must outline the security measures that will be implemented to maintain the secure status of the ship and ensure that any risks associated with those ports or locations are not transferred to the ship.

5.5 Security EquipmentThe ship operator is required under Regulations 4.90 and 4.95 to include information about security equipment and on-board systems. A ship security plan must include information about the following systems on board the ship:

a) external and internal communications systems;b) surveillance, identification, monitoring and reporting systems; (c) tracking and positional

systems.

Regulation 13.05 requires that a regulated Australian ship must be provided with a ship security alert system:


a) for a ship constructed on or after 1 July 2004 — before registration of the ship under the Ship-ping Registration Act 1981; and

b) for a passenger ship (including a high-speed passenger craft) constructed before 1 July 2004 — not later than the first survey of the ship’s radio installation after 1 July 2004; and

c) for an oil tanker, chemical tanker, gas carrier, bulk carrier or a cargo high speed craft, 500 gross tonnage or more, constructed before 1 July 2004 — not later than the first survey of the ship’s radio installation after 1 July 2004; and

d) for any other cargo ship 500 gross tonnage or more or mobile offshore drilling unit constructed before 1 July 2004 — not later than the first survey of the ship’s radio installation after 1 July 2006.

If a ship is provided with a ship security alert system, the ship security plan should:

a) describe the operational characteristics of the system; andb) describe the ship security alert that will be transmitted from the system; andc) describe the performance standards to which the system must conform, being standards not be-

low those adopted by the International Maritime Organisation; andd) set out the procedures, instructions and guidance for using, testing, activating, de-acti-

vating and resetting the system, and for preventing false alarms.

5.6 Security of the Ship in Exceptional CircumstancesThe security of the ship must be maintained in the event of circumstances beyond the normal operations of the ship. As such, Regulation 4.75 requires that the ship security plan must give sufficient guidance on how security is to be maintained in these circumstances. These circumstances should include, but are not limited to, search and rescue operations, humanitarian crisis and extreme weather conditions.


Attachment 1 - Pre-Entry InformationRegulation 4.80(1) requires that a ship security plan must set out the procedures for providing pre-entry information before the ship enters Australian waters in the course of an overseas voyage. Pre-entry information must be given at the time the crew report required under section 64ACB of the Customs Act 1901 is given in relation to the port. Regulation

4.80(2) also specifies the information requirements these procedures must address, these include:

The security levels at which the ship operated at ports, and specific periods during which the ship operated at those levels, while conducting ship/port interface.

Any special or additional security measures that were implemented by the ship in any port where it conducted ship/port interface.

Whether appropriate ship security procedures were maintained during any ship to ship activity and the specific periods during which those procedures were maintained.

The information prescribed in the Regulations relates to the last 10 port calls of the ship.


Attachment 2 - Ship Security AssessmentThe Ship Operator must complete a security assessment in accordance with the Regulations and must take into account any documents required by the secretary.

The Secretary has developed a Maritime Risk Context Statement to provide the maritime industry sector with information on the maritime strategic risk context and the current security environment in Australia. Ship operators must explicitly consider each of the risks identified in the Maritime Risk Context Statement.

The Maritime Risk Context Statement is available to ship operators by contacting: information .ana l ysis @i nf ra s truc tu re .go v .au

Note: Submissions of revised ship security plans require the submission of a revised or reviewed security assessment.



Attachment 3 - Security Measures and ProceduresFor each of the security measures to be implemented, specific details of the security measure or procedure should be provided. These details may include the physical and or operational requirements of each particular security measure and procedure.

This section should be used to describe how the particular security measure or procedure will be carried out. It is entirely appropriate to reference national or international standards, where they exist.

Where there is no recognised standard, or the organisation wishes to implement a different approach, then this section should include a thorough operational description such that it is clear how the measure or procedure is to be implemented.

Further, where the procedure or measure involves particular qualifications training or prior knowledge, this section should be used to describe that knowledge, training or qualifications.


Attachment 4 - Plan of On-board Security ZonesTo enable the Secretary to consider the operational features of the ship and the views of the ship operator, a plan or diagram depicting the location and boundaries of any proposed on- board security zones may accompany a ship security plan as a separate document forming part of the security plan.

Should a ship operator wish the Secretary to establish or change an on-board security zone, the plan or diagram of the ship should set out:

Number and type of zone: (for example)o 'One on-board security zone' (How many on-board security zones)

Maritime security level the zone will operate at: (for example)o ‘will operate at maritime security level one' / all levels / etc. (include the MARSEC level rel-

evant to the described security zone boundary) The location of the security zone (it is necessary to clearly articulate this in the SSP as the estab-

lishment notices need to capture this from the description). (for example)o The entire bridge or tiller flat compartment

The specific circumstances needed for the zone to come into operation: (for example)o 'when a ship is at berth' or 'two hours prior to a ship being at berth'.


Annex 1 - Declaration of Security (Sample only)7

For use between a ship and port or port facility operator.

Note: This template is available from the Department’s website and need not to be included with the security plan.

Name of Ship: [Name]

Port of Registry: [Port]

IMO Number: [Number]

Name of Port/ Port Facility: [Name]

This Declaration of Security is valid from …………… until ……………, for the following activities

……………………………………………………

(list the activities with relevant details)

under the following security levels

Security level(s) for the ship: [Security Level(s)]

Security level(s) for the port/port facility:

[Security Level(s)]

The port/port facility and ship agree to the following security measures and responsibilities to ensure compliance with the requirements of Australian maritime security legislation.

The affixing of the initials of the SSO or PSO/ PFSO under these columns indicates that the activity will

7 This sample DOS has been adapted from part B, Appendix 1, Pg 99-101 of the ISPS code.


be done, in accordance with relevant approved plan, by:

Activity: The port/port facility: The ship:

Ensuring the performance of all security duties

Monitoring restricted areas to ensure that only authorized personnel have access

Controlling access to port/ port facility

Controlling access to the ship

Monitoring of port/ port facility, including berthing areas and areas surrounding the ship

Monitoring of the ship, including berthing areas and areas surrounding the ship

Handling of cargo

Delivery of ship’s stores

Handling unaccompanied baggage

Controlling the embarkation of persons and their effects

Ensuring that security communication is readily available between the ship and port/ port facility

The signatories to this agreement certify that security measures and arrangements for both the port/ port facility and the ship during the specified activities meet the provisions of Australian maritime security legislation will be implemented in accordance with the provisions already stipulated in their approved plan(s) or the specific arrangements agreed to and set out in the attached annex.


Dated at …………………………………… on the ……………………………………

Signed for and on behalf of

The port/ port facility:

(Signature of Port Security Officer/ Port Facility Security Officer)

The ship:

(Signature of Master or Ship Security Officer)

Name and title of person who signed

Name: Name:

Title: Title

Contact Details

(to be completed as appropriate)

(indicate the telephone numbers or the radio channels or frequencies to be used)

For the port/ port facility: For the ship:

Port/ Port Facility Master

Port Security Officer/ Port Facility Security Officer Ship Security Officer

Company

Company Security Officer


Annex 2 - Maritime Security Incident Report FormThis template is available from the Department’s website and need not to be included with the security plan.


template a - guidance document template · web viewit is considered that a fully completed ship...

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