European Maritime Safety Agency. Training on Maritime Security October Obligations for. Maritime Administrations

Transcription

1 European Maritime Safety Agency Training on Maritime Security October Obligations for Maritime Administrations in respect of Ship Security

2 Overview 1. EU Maritime Security Legislation 2. Role of Administrations 3. Commission inspections 2 4. Case Studies

3 EU Maritime Security Legislation How many EU legislative acts on ship security? Regulation (EC) No 725/2004 of 31 March 2004 on enhancing ship & port facility security (implements SOLAS XI-2 & ISPS Code) Commission Decision 2009/83/EC of 23 January 2009 amending Regulation (EC) No 725/2004 (IMO Company ID number required on ISSC) Regulation (EC) No 219/2009 of 11 March 2009 amending Regulation (EC) No 725/2004 (Comitology) 3 Commission Regulation (EC) No 324/2008 of 9 April 2008 (Commission inspections)

4 EU Maritime Security Legislation Regulation (EC) No.725/2004: 17 Recital 15 Articles 4 Annex I SOLAS 74, as amended, Chapter XI-2 Annex II ISPS Code, Part A, mandatory Annex III ISPS Code, Part B, mandatory for paragraphs listed in Article 3.5

5 EU Maritime Security Legislation Regulation (EC) No.725/2004 Article 1 - Outlines the objectives of the regulation Objectives Harmonised interpretation and implementation (SOLAS amendments including ISPS Code) Article 3 Scope (Application) 5 1. International Shipping 1 July Domestic shipping 1 July 2005 (Chap.XI-2 of SOLAS and Part A of ISPS Code to Class A passenger ships (Art.4 of Council Directive 98/18/EC) including port facilities serving Class A passenger ships) 3. Extent of application 1 July 2007 (other domestic shipping and their companies, based on security risk assessment) - Review security risk assessment by 1 July 2012, then at least every 5 years! (Reg.725/2004, Article 3.3)

6 EU Maritime Security Legislation Regulation (EC) No.725/2004 Article 4 Communication of information Enforcing SOLAS Chapter XI-2 regulation 13 (security related information to be relayed to IMO) Informing the IMO, Commission and MS s: 1. Details of the names & contact details of the officials 24hrs 6 2. On security concerns (B/4.16) and if any ship has been expelled or refused entry (B/4.41) 3. List of port facilities identified by MS s occasionally serve international voyages!

7 EU Maritime Security Legislation Regulation (EC) No.725/2004 Article 8 Security checks in Member State ports Certificate verification as defined in paragraph 1.1 of regulation 9 (SOLAS Chap.XI-2) competent authority for maritime security or by inspectors defined in Art.2(5) of Directive 95/21/EC (PSC). 7 Article 8.1 Where the officer conducting the certificate verification ( ) has clear grounds ( ) but does not belong to an authority which in that Member State is responsible for carrying out the measures provided for in paragraphs 1.2 and 1.3 of regulation 9 ( ) s/he shall immediately refer the matter to the said authority Enforcing port State control as mandated by SOLAS

8 EU Maritime Security Legislation Regulation (EC) No.725/2004 Article 9 Implementation and conformity checking 9(1) MS shall carry administrative and control tasks + ensure that all necessary means are allocated and effectively provided 8 9(2) Designate a focal point 9(3) Obligation of Members States to develop a national programme (implementation process) (Doc and Proposal MSC 84/4/4) 9(4) Monitoring reports outcome of MS national inspections (Doc final)

9 EU Maritime Security Legislation Article 10 - MARSEC Committee Tasks Integration of amendments to the international instruments Definition of harmonised procedures Define, as appropriate, a common position 9 Article 11 - MARSEC Committee Appointment

10 EU Maritime Security Legislation MARSEC Common Interpretations (MARSEC Doc.3306) Already agreed in MARSEC should be implemented by Member States: 1. Regulation (EC) 725/ Interpretations: Relevant companies, Article 9(4) Exceptions for "vessels not engaged in commercial activities, Article 3.7 Traditional sailing vessels (Doc.0102) 2. Alternative Security Agreements - Updated Guidelines (Doc.1705) 3. Directive 2005/65/EC: Workshops: 25 October 2006 & 21 October Security Levels: Setting of SL Committee appropriate forum for this! Communicating changes in SL 10

11 EU Maritime Security Legislation 5. Interpretation of International Rules: Coordination between MS s; including submissions to the IMO on maritime security issues 6. Security pre-arrival information by ships (Doc.0508 & Doc.0602) 7. Changes to Port Facility Security Plans (Doc.2205 Rev.1) 8. Changes to Ship Security Plans (Doc.2204 Rev.2) Covert access tests onboard foreign flag ships (Doc.2802, point 7 of 27th MARSEC) 10. Monitoring reports: Templates (Doc.1707) 11. IMO unique company & registered owner ID number scheme (Minutes of the 26th MARSEC)

12 EU Maritime Security Legislation 12. Languages of records (Minutes of the 26th MARSEC, Doc.2702) 13. Commission Regulation (EC) No 324/2008: Article 16 for Major NC (Doc.2905) 14. SSAS on non-solas ships (Doc and Doc. 3302) 12 Currently under discussion: Laid-up ships (Doc. 3205, Annex 4 rev.3) Drills & Exercises ISSC with minor deviations (Doc. 3505)

13 Implementation - Key issues 1. Administrations Setting Security Levels 2. Ship Security Assessment Ship Security Plan (procedures corresponding to security level set) 3. Flag State RSO SSP Approval On board Verification & Certification 5. Implementation Security Management System (drills, training, records, etc) 6. Control and Compliance 7. Commission oversight and inspections

14 Overview 1. EU Maritime Security Legislation 2. Role of Administrations 3. Commission inspections Scenarios

15 Key tasks 1. Designating responsible national authorities (Art.2) 2. Deciding scope of application to domestic ships 3. Notifying information to COM, IMO and EU Member States 4. Decide national requirements for security regime 5. Responding to external events/requests 6. Setting and notifying changes to Security Levels 7. Verification of SSPs and Certification of ships 8. National programme 9. National oversight regimes 15

16 Who is responsible for what? Designate: Competent authorities for ship security Recipients of SSAS To act re control and compliance measures on ships Provide advice and assistance to ships RSOs (but: appointment is optional) 16 Notify: COM IMO (GISIS EU Member States (Reg. 725/2004, Article 4)

17 Key tasks 1. Designating responsible national authorities 2. Deciding scope of application to domestic ships 3. Notifying information to COM, IMO and EU Member States 4. Decide national requirements for security regime 5. Responding to external events/requests 6. Setting and notifying changes to Security Levels 7. Verification of SSPs and Certification of ships 8. National programme 9. National oversight regimes 17

18 Scope of application: Article 3(1) - International shipping by 1 July 2004 Article 3(2) - Class A ships and their companies by 1 July 2005 Article 3(4) - Other domestic shipping, based on a security risk assessment, by 1 July 2007 Review security risk assessment by 1 July 2012, then at least every 5 years (Reg.725/2004, Article 3.3) 18 Notify: COM EU Member States

19 Key tasks 1. Designating responsible national authorities 2. Deciding scope of application to domestic ships 3. Notifying information to COM, IMO and EU Member States 4. Decide national requirements for security regime Responding to external events/requests 6. Setting and notifying changes to Security Levels 7. Verification of SSPs and Certification of ships 8. National programme 9. National oversight regimes

20 Instructions to ships: Changes to SSPs requiring prior approval (A/9.5) When a Declaration of Security (DoS) should be requested by ships based on risk assessment (A/5.1) The minimum period a DoS must be retained on board (A/5.7) The period for retention of records on board (A/10.1) To ensure that appropriate measures against unauthorised disclosure of SSA & SSP (B/4.1) Establish safe manning levels considering security workload of crew (B/ Mandatory under Reg.725/Article 3.5) 20

21 Key tasks 1. Designating responsible national authorities 2. Deciding scope of application to domestic ships 3. Notifying information to COM, IMO and EU Member States 4. Decide national requirements for security regime 5. Responding to external events/requests 6. Setting and notifying changes to Security Levels 7. Verification of SSPs and Certification of ships 8. National programme 9. National oversight regimes 21

22 Respond to external events: 1. Set SL and provide ships entitled to fly their flag with info on the SL and guidance for protection from security incidents (Reg. XI-2/3.1 and ISPS Code A/4.1 & 7.9) 2. Notify changes to flag ships based on intelligence about the likelihood of a security incident (ISPS Code A/4.1) Notify port State when SL2 or SL3 are set (ISPS Code A/7.8) 4. Give instructions on security measures at SL3 (ISPS Code A/4.2) 5. Notify the State (s) in the vicinity of which the ship is presently operating if SSAS is activated (SOLAS XI- 2/6.6)

23 Key tasks 1. Designating responsible national authorities 2. Deciding scope of application to domestic ships 3. Notifying information to COM, IMO and EU Member States 4. Decide national requirements for security regime 5. Responding to external events/requests 6. Setting and notifying changes to Security Levels 7. Verification of SSPs and Certification of ships 8. National programme 9. National oversight regimes 23

24 What is relevant? Approved SSP and relevant amendments on board (A/9.1 & A/9.5.1) 2. To ensure appropriate measures against unauthorised disclosure of the SSA & SSP (B/4.1) 3. To determine which changes to an approved SSP shall not be implemented (A/9.5) 4. Test approved SSP (A/4.4)

25 Duration and validity of Certificate 1. Specify the period of validity (max. 5 years) for ISSCs 2. Specify, but not exceeding 5 years, a renewal verification interval 3. Carry out: Initial verifications to ensure full compliance with the security requirements and SSPs Renewal verifications Intermediate verifications Additional verifications Or delegate these tasks to RSOs (A/19.3.1) (A/ ) (A/ ) (A/ ) (A/ ) (A/ ) (A/ & ) 25

26 Duration and validity of Certificate Decide on extending the validity of individual ISSCs: 1. Up to 5 years if ISSC originally for less (A/19.3.3) 2. If renewal verification carried out but new ISSC cannot be issued or placed on board before expiry of the existing certificate (A/19.3.4) BUT NOT EXCEEDING 5 MONTHS To allow a ship to reach port if ISSC expires when at sea (A/19.3.5) 4. Extend for grace period of to one month where ship engaged on short voyages (A/19.3.6)

27 Duration and validity of Certificate An ISSC cease to be valid when? 1. Relevant verifications out of the periods (A/ ) 2. Certificate not endorsed accordingly (A/ ) Different Company assumes the operation of the ship (A/ ) 4. Transfer to another flag (A/ )

28 Verification 1. To verify compliance with Regulation 725/2004 (A/19.1.2) 2. To issue identification documents to Government Officials entitled to board ship (B/4.18) 3. To specify, but not exceeding five years, a renewal verification interval (A/ & ) 4. To determine any additional verification (optional) (A/ ) 5. To fully guarantee the completeness and efficiency of the verification (A/19.1.3) 6. No changes in an approved ship security system, in associated security equipment or in the approved SSP, shall be made without the sanction of the Administration (A/19.1.4) 7. To provide sanctions for breaching the provisions of Regulation 725/2004 (Article 14) 28

29 Certification 1. To issue the ISSC (A/ and B/1.6 (not mandatory)) 2. To extend the validity of the Certificate, if less than 5 years (optional) (A/19.3) 3. To endorse the Certificate if a renewal verification has been completed but a new certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate (A/19.3.4) 4. To issue an Interim ISSC (A/19.4) 29 For Interim ISSC. NO CG shall cause a subsequent, consecutive Interim ISSC IF in the judgement of the Administration or the RSO one of the purposes of the ship or Company is requesting to avoid full compliance with Chapter XI-2 and part A (A/19.4.5)

30 What s new after 1 January 2009? COMMISSION DECISION 2009/83/EC of 23 January 2009 Amends Regulation (EC) No 725/2004 Mandates IMO Unique Company ID Number Scheme 30 under IMO Resolution MSC 196(80) Applies to ships engaged on both international and domestic voyages within scope of article 3(2) of Reg. 725/2004 ISSCs issued on or after 1 January 2009 must include the Company identification number

31 Oversight regimes Oversee implementation by industry and other bodies appointed to carry out tasks on their behalf: Test the effectiveness of SSPs (ISPS Code A/4.4) Carry out checks to guarantee the completeness and efficiency of verifications flag State control (ISPS Code A/19.1.3) Must be done even if verification and certification is delegated to RSOs Includes monitoring and verification of RSOs 31

32 Delegation of tasks to RSOs RSOs may be delegated the following tasks: Carry out the SSA for a specific ship (A/8.3) Prepare the SSP for a ship (A/9.1.1) Review and approve SSPs (A/9.2) but preparation must be by a different RSO (A/9.2.1) 32 Carry out verifications of ships (A/19.1.2) Issue an ISSC for a ship (A/19.2.2) Endorsement of ISSCs (A/19.3.4) Issue an Interim ISSC for a ship (A/19.4.3)

33 Authorising an RSO (B/4.5) Administrations must: Lay down criteria on which to base appointment Verify applicants meet the criteria before appointment Specify any national requirements or guidance (e.g. security threats) to be taken into account in SSAs and SSPs Verify RSOs continue to meet the criteria for their appointment national inspections of RSOs Verify the quality of RSOs work - flag State inspections/verifications of ships Specify frequency and scope of additional verifications Fully guarantee the completeness and efficiency of the verification (A/19.1.3) 33

34 Key tasks 1. Designating responsible national authorities 2. Deciding scope of application to domestic ships 3. Notifying information to COM, IMO and EU Member States 4. Decide national requirements for security regime 5. Responding to external events/requests 6. Setting and notifying changes to Security Levels 7. Verification of SSPs and Certification of ships 8. National programme 9. National oversight regimes 34

35 National programme (MARSEC Doc. 0305) Regulation (EC) 725/2004, Article 9(3): Each Member State shall adopt a national programme for the implementation of this Regulation Allocation of responsibilities within Administration Administration oversight regimes for ships, companies, RSOs - flag State control Instructions and guidance to companies, ships and RSOs in respect of ship security for SSPs, DoS, records, verifications etc. contact points for security advice, SSAS etc. Scope of application to domestic traffic 35

36 Overview 1. EU Maritime Security Legislation 2. Role of Administrations 3. Commission inspections Case Studies

37 Commission inspections COMMISSION REGULATION (EC) No 324/2008 of 9 April 2008 laying down revised procedures for conducting Commission inspections in the field of maritime security 37 Purpose of inspections is to monitor the application by Member States of Regulation (EC) 725/2004 Member States have an obligation to co-operate with the Commission prior to and during inspections

38 Commission inspections Co-operation with Commission inspections Ensure that Commission inspectors can exercise their authority to inspect Complete pre-inspection questionnaires (when necessary/requested) Ensure full access to relevant documents: National programme Monitoring reports SSA and SSP ISSC Facilitate inspections on board flag ships 38

39 Conclusion Administrations must have in place the structures, procedures and personnel to ensure that the security responsibilities allocated to them can be carried out effectively, comprehensively and in a timely manner. 39 A EU security system needs EU implementation