MSC.1-Circ.1192 - Guidance On Voluntary Self-Assessment By Solas Contracting Governments And By Port Facilities (Secretariat)

MSC.1/Circ.1192 30 May 2006

GUIDANCE ON VOLUNTARY SELF-ASSESSMENT BY SOLAS CONTRACTING GOVERNMENTS AND BY PORT FACILITIES
1 The Maritime Safety Committee (the Committee), at its seventy-ninth session (1 to 10 December 2004), developed Interim Guidance on voluntary self-assessment by SOLAS Contracting Governments and by port facilities (the Interim Guidance) in an effort to assist SOLAS Contracting Governments in the implementation of, and the maintenance of compliance with, the requirements of SOLAS chapter XI-2 and the ISPS Code. The Interim Guidance was set out at annex to MSC/Circ.1131.
2 The Committee, at its eighty-first session (10 to 19 May 2006), taking into account the lessons learnt from the use of the Interim Guidance which it had endorsed at its eightieth session (11 to 20 May 2005) and information submitted by SOLAS Contracting Governments who have made use of the Interim Guidance which, inter alia, attested the usefulness of the guidance provided, revised the material and approved the Guidance on voluntary self-assessment by SOLAS Contracting Governments and by port facilities (the Guidance) which is set out at annex.
3 The methodologies set out in the annex are designed solely for use by SOLAS Contracting Governments and by port facilities in conducting internal voluntary self-assessments.
4 SOLAS Contracting Governments are invited to bring the attached Guidance to the attention of Designated Authorities, of port facility owners and operators and of port facility security officers.
5 SOLAS Contracting Governments, international organizations and non-governmental organizations with consultative status are also invited to bring to the attention of the Committee, at the earliest opportunity, the results of the experience gained from the use of the Guidance for consideration of action to be taken.
6 MSC/Circ.1131 on Interim Guidance on voluntary self-assessment by SOLAS Contracting Governments and by port facilities is revoked as from the date of issue of the present circular.
***

MSC.1/Circ.1192
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ANNEX
GUIDANCE ON VOLUNTARY SELF-ASSESSMENT BY SOLAS CONTRACTING GOVERNMENTS AND BY PORT FACILITIES
1 SOLAS chapter XI-2 and the ISPS Code have, inter alia, placed responsibilities on SOLAS Contracting Governments (Contracting Governments) and port facilities for port facility security. The provisions entered into force on 1 July 2004 and the appendices to this document provide guidance on:
.1 a method of self-assessing the effectiveness with which a SOLAS Contracting Government fulfilled, and continues to fulfil, its obligations in respect of port facility security, and
.2 a tool to allow port facilities to self-assess the continuing effectiveness of their port facility security plans and the implementation of the relevant security measures in such plans.
2 Self-assessment by a Contracting Government can be undertaken within Government, who could also appoint experts to assist them in the process. Similarly, port facility personnel can use the self-assessment tool with the support of experts, if appropriate.
3 Anyone undertaking the self-assessment should, at least, have knowledge of:
.1 the requirements of SOLAS chapter XI-2 and the ISPS Code, including the related guidance developed by the Organization;
.2 general security principles; and
.3 the operation of port facilities.
4 The processes and the completed self-assessments should be protected from unauthorized access or disclosure.
5 The effective implementation of port facility security measures is a continuing responsibility. It is suggested that Contracting Governments self-assess their processes post-implementation and thereafter at least on a five yearly basis and that port facilities self-assess annually.
Appendix 1: Voluntary self-assessment questionnaire for Contracting Governments.
Appendix 2: Voluntary self-assessment tool for port facility security.
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APPENDIX 1
VOLUNTARY SELF-ASSESSMENT QUESTIONNAIRE FOR CONTRACTING GOVERNMENTS
This Voluntary self-assessment questionnaire for Contracting Governments (the Voluntary self-assessment questionnaire) may be used by Contracting Governments in the self-assessment process for port facility security.
Those conducting the voluntary self-assessment of compliance, on behalf of the Contracting Government, should be familiar with the SOLAS chapter XI-2 and ISPS Code implementation process before conducting the self-assessment.
This effort can be assisted by documenting the SOLAS chapter XI-2 and ISPS Code implementation process and by collecting the information below before reviewing the implementation process at the port facilities.
This Voluntary self-assessment questionnaire will aid those conducting the voluntary self-assessment in documenting the Contracting Government strategy used in the implementation of SOLAS chapter XI-2 and the ISPS Code.
When using this Voluntary self-assessment questionnaire, a Contracting Government should consider SOLAS chapter XI-2, ISPS Code part A and part B, the related guidance developed1 by the Organization and the ILO/IMO Code of practice on security in ports, as applicable.
When completing the Voluntary self-assessment questionnaire, the answers should be sufficiently detailed for the reader to gain a full understanding of the approach taken by the Contracting Government in implementing the provisions of SOLAS chapter XI-2 and the ISPS Code.
Sufficiently detailed answers will prevent the drawing of erroneous conclusions when undertaking subsequent voluntary self-assessments. It will also assist in the resolution of any doubts when subsequent self-assessments are conducted by different persons.
Implementation Process
1. Who is the Designated Authority? (SOLAS regulation XI-2/1.11)
2. What is the national legislative basis for the implementation of the ISPS Code? (SOLAS regulations XI-2/2 and XI-2/10)
3. What guidance to industry was released to implement the ISPS Code? (SOLAS regulations XI-2/2 and XI-2/10)
4. What are the means of communication with port facilities regarding ISPS Code implementation? (SOLAS regulations XI-2/3 and XI-2/10) 1 The related material, as on the date of issue of this circular, is listed in the appendix to the annex to MSC/Circ.1194 on Effective implementation of SOLAS chapter XI-2 and the ISPS Code.
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5. What processes are in place to document initial and subsequent compliance with the ISPS Code? (SOLAS regulation XI-2/10.2)
6. What is the Contracting Governments definition of a Port Facility? (SOLAS regulation XI-2/1.1)
7. What are the procedures used to determine the extent to which port facilities are required to comply with the ISPS Code, with particular reference to those port facilities that occasionally serve ships on international voyages? (SOLAS regulations XI-2/1, XI-2/2.2)
8. Has the Contracting Government concluded in writing bi-lateral or multi-lateral agreements with other Contracting Governments on alternative security agreements? (SOLAS regulation XI-2/11.1)
9. Has the Contracting Government allowed a port facility or group of port facilities to implement equivalent security arrangements? (SOLAS regulation XI-2/12.1)
10. Who has the responsibility for notifying and updating the IMO with information in accordance with SOLAS regulation XI-2/13? (SOLAS regulation XI-2/13)
Port Facility Security Assessment (PFSA)
1. Who conducts PFSAs? (SOLAS regulation XI-2/10.2.1, ISPS Code, sections A/15.2 and A/15.2.1)
2. How are PFSAs conducted and approved? (ISPS Code, sections A/15.2 and A/15.2.1)
3. What minimum skills are required for persons conducting PSFAs? (ISPS Code, section A/15.3)
4. Are PFSAs used for each Port Facility Security Plan? (ISPS Code, section A/15.1)
5. Do single PFSAs cover more than one port facility? (ISPS Code, section A/15.6)
6. Who is responsible for informing the IMO if the single PFSA covers more than one port facility? (ISPS Code, section A/15.6)
7. What national guidance has been developed to assist with the completion of PFSAs? (SOLAS regulation XI-2/10.2.1)
8. What procedures are in place for determining when re-assessment takes place? (ISPS Code, section A/15.4)
9. What procedures are in place for protecting the PFSAs from unauthorized access or disclosure? (ISPS Code, section A/15.7)
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Port Facility Security Plans (PFSPs)
1. How are Port Facility Security Officers designated? (ISPS Code, section A/17.1)
2. What are the minimum training requirements that have been set by the contracting government for PFSOs? (ISPS Code, section A/18.1)
3. Are procedures used to determine the individuals/organizations responsible for the preparation of the PFSP? If yes, please describe.
4. Are procedures in place to protect PFSPs from unauthorized access? (ISPS Code, sections A/16.7 and A/16.8)
5. What procedures are in place for approval and subsequent amendments of the PFSPs? (ISPS Code, section A/16.6)
Security Levels
1. Who is the authority responsible for setting the security level for port facilities? (SOLAS regulation XI-2/3.2)
2. What are the procedures for communicating security levels to port facilities by the responsible authority? (SOLAS regulation XI-2/3.2)
3. What are the procedures for communicating port facilities security levels to ships? (SOLAS regulations XI-2/4.3 and XI-2/7.1)
4. What are the contact points and procedures for receiving ships security level information in the Contracting Government and for notifying ships of contact details? (SOLAS regulation XI-2/7.2)
Declaration of Security
1. What procedures are used to determine when a Declaration of Security is required? (SOLAS regulation XI-2/10.3, ISPS Code, section A/5.1)
2. What is the minimum timeframe that a Declaration of Security is required to be retained? (ISPS Code, section A/5.6)
Delegation of Tasks and Duties
1. What tasks and duties have the contracting government delegated to Recognized Security Organizations (RSOs) or others? (ISPS Code, section A/4.3)
2. To whom have these tasks and duties been delegated? What oversight procedures are in place? (SOLAS regulation XI-2/13.2)
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APPENDIX 2
VOLUNTARY SELF-ASSESSMENT TOOL FOR PORT FACILITY SECURITY
This Voluntary self-assessment tool for port facility security (Voluntary self-assessment tool) can be used to examine the status of implementation of SOLAS chapter XI-2 and of the ISPS Code.
This Voluntary self-assessment tool will help to identify any aspects of SOLAS chapter XI-2 and ISPS Code that the port facility/port facility security officer (PFSO) or Contracting Government can address to enhance the SOLAS chapter XI-2 and ISPS Code implementation process.
SOLAS regulation XI-2/10 and ISPS Code section A/14.2 establish mandatory requirements for the SOLAS chapter XI-2 and ISPS Code implementation at a port facility. Therefore, the heading of each subsection is taken directly from ISPS Code, section A/14.2.
When using this Voluntary self-assessment tool, the person conducting the voluntary self-assessment should consider SOLAS chapter XI-2, ISPS Code part A and part B, as applicable in accordance with national legislation, the related guidance2 developed by the Organization and the ILO/IMO Code of practice on security in ports, as applicable.
The following section should be completed prior to completing the tool. It can be used by the port facility security officer, recognized security organization or others and will help to establish an overview of the port facilitys operations.
1 Port Facility Overview:
Name of port facility Name of operator/authority Name of port, if applicable Name of PFSO Average number of SOLAS ships handled per annum
2 Particular characteristics of the port facility, if any, including the vessel traffic, which may increase the likelihood of being the target of a security incident:
Passenger ships Other dangerous goods Ro-ro/container terminal Near military installation Explosives Military vessels Oil/gas refinery/terminal Embarkation of military personnel or cargo LPG, LNG or petrol storage Other (describe)
2 The related material, as on the date of issue of this circular, is listed in the appendix to the annex to MSC/Circ.1194 on Effective implementation of SOLAS chapter XI-2 and the ISPS Code.
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3 Security agreements and arrangements.
Is the port facility covered by an alternative security agreement? (SOLAS regulation XI-2/11 and ISPS Code paragraph B/4.26) If Yes, provide relevant details. Has the port facility implemented any equivalent security arrangements allowed by the Contracting Government? (SOLAS regulation XI-2/12.1). If Yes, provide relevant details. Is the port facility operating under any temporary security measures? If Yes, have these been approved or authorized by the Contracting Government? If Yes, provide relevant details.
Guidance for using the Voluntary self-assessment tool:
− Not all of the questions on the Voluntary self-assessment tool apply, or are relevant, to all types or sizes of port facilities. Some of these apply only in relation to specific types of port facilities. In such cases, the non-applicability of the particular question should be recorded in the Comments box.
− When completing the Voluntary self-assessment tool, the Comments box provides space for amplification where the Other option is selected. However, experience has shown that it is also helpful to use Comments box in cases where a No answer has been recorded, thus giving an explanation of why not and details of any measures or procedures in place. Suggested actions should be recorded in the Recommendations section of the Voluntary self-assessment tool.
− For the questions which have multiple options (i.e. questions 3.3, 3.6, 4.2, 4.11, 4.12, 5.4, 6.4 and 9.2), the Yes/No/Other tick boxes should be replaced by a single column of boxes, which should be ticked as appropriate. This will be of benefit in cases where a No answer may erroneously be taken as indicative of a non-compliance. Further explanation of any measures and procedures in place should be given in the Comments box and any suggested actions should be recorded in the Recommendations section of the Voluntary self-assessment tool.
− Ensure that one of the boxes is ticked for each question.
− If you ticked Yes, but the measures/procedures are not documented in the PFSP, please enter a short description of them in the Comments box.
− If you tick the No response against Part A questions, please describe the reason in the Comments box.
− If you ticked Other against Part B questions, please enter a short description in the Comments box. Other could include instances where alternative agreements or equivalent arrangements have been implemented.
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− Please tick Other if the question is not applicable and add N/A in the Comments box.
− If alternative measures/procedures from those listed in the ISPS Code are used, please enter a short description in the Comments box.
− If work to implement the measures outlined in Part B or any alternative solutions is still in progress, a work schedule should be entered into the Comments box.
− If there is not enough space in the comment box, assessors should continue the answer on a separate page. The relevant question number should be added in these circumstances as a reference aid.
− Recommendation boxes should be used to record any identified deficiencies and how these could be mitigated.
− The Outcome of Voluntary Self-Assessment box should be used to provide a brief record of the assessment process, and along with the comments in the Recommendation boxes, form the basis for future security planning. A schedule for the implementation of recommendations should be included.
1. Ensuring the performance of port facility security duties (ISPS Code, sections A/14.2.1 and A/14.3)
Part A Yes No Other .1 Does the port facilitys means of ensuring the performance of all security duties meet the requirements set out in the PFSP for security level 1 and 2? (ISPS Code, section A/14.2.1)3 Comments:
.2 Has the port facility established measures to prevent weapons or any other dangerous substances and devices intended for use against persons, ships, or the port, from entering the facility? (ISPS Code, section A/16.3.1) Comments:
3 Indicates a reference to a section (of part A) or a paragraph (of part B) of the ISPS Code.
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Yes No Other
.3 Has the port facility established evacuation procedures in case of security threats or breaches of security? (ISPS Code, section A/16.3.5) Comments:
.4 Has the port facility established procedures for response to an activation of a ship security alert system? (ISPS Code, section A/16.3.14) Comments:
Part B Organization of Port Facility Security Duties (ISPS Code, paragraph B/16.8)
.5 Has the port facility established the role and structure of the security organization? (ISPS Code, paragraph B/16.8.1) Comments:
.6 Has the port facility established the duties and responsibilities for personnel with security roles? (ISPS Code, paragraph B/16.8.2) Comments:
.7 Has the port facility established the training requirements for personnel with security roles? (ISPS Code, sections A18.1, A/18.2, A/18.3 and paragraph B/16.8.2) Comments:
.8 Has the port facility established the performance measures needed to assess the individual effectiveness of personnel with security roles? (ISPS Code, paragraph B/16.8.2) Comments:
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Yes No Other .9 Has the port facility established their security organizations link with other national or local authorities with security responsibilities? (ISPS Code, paragraph B/16.8.3) Comments:
.10 Has the port facility established procedures and practices to protect security-sensitive information held in paper or electronic format? (ISPS Code, paragraph B/16.8.6) Comments:
.11 Has the port facility established procedures to assess the continuing effectiveness of security measures and procedures? (ISPS Code, paragraph B/16.8.7) Comments:
.12 Has the port facility established procedures to assess security equipment, to include identification of, and response to, equipment failure or malfunction? (ISPS Code, paragraph B/16.8.7) Comments:
.13 Has the port facility established procedures governing submission and assessment of reports relating to possible breaches of security or security concerns? (ISPS Code, paragraph B/16.8.8) Comments:
.14 Has the port facility established procedures to maintain and update records of dangerous goods and hazardous substances, including their location within the port facility? (ISPS Code, paragraph B/16.8.11) Comments:
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Yes No Other
.15 Has the port facility established a means of alerting and obtaining the services of waterside patrols and search teams, to include bomb and underwater specialists? (ISPS Code, paragraph B/16.8.12) Comments:
.16 Has the port facility established procedures for assisting, when requested, Ship Security Officers in confirming the identity of those seeking to board the ship? (ISPS Code, paragraph B/16.8.13) Comments:
.17 Has the port facility established the procedures for facilitating shore leave for ships crew members or personnel changes? (ISPS Code, paragraph B/16.8.14) Comments:
.18 Has the port facility established the procedures for facilitating visitor access to the ship, to include representatives of seafarers welfare and labour organizations? (ISPS Code, paragraph B/16.8.14) Comments:
2. Controlling access to the port facility (ISPS Code, sections A/14.2.2, A/14.2.1 and A/14.3)
Part A Yes No Other
.1 Does the port facilitys means of controlling access to the port facility meet the requirements set out in the PFSP for security level 1 and 2? Comments:
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Part B - Establish Facility Security Measures (ISPS Code, paragraphs B/16.10 and B/16.19.1) Yes No Other
.2 Has the port facility identified the appropriate location(s) where security measures can be applied to restrict or prohibit access. These should include all access points identified in the PFSP at security level 1 and 2? (ISPS Code, paragraphs B/16.11, B/16.19.1) Comments:
.3 Does the port facility specify the type of restrictions or prohibitions, and the means of enforcement to be applied at all access points identified in the PFSP at security level 1 and 2? (ISPS Code, paragraphs B/16.11 B/16.19.2, B/16.19.3) Comments:
.4 Has the port facility established measures to increase the frequency of searches of people, personal effects, and vehicles at security level 2? (ISPS Code, paragraph B/16.19.4) Comments:
.5 Has the port facility established measures to deny access to visitors who are unable to provide verifiable justification for seeking access to the port facility at security level 2 (ISPS Code, paragraph B/16.19.5) Comments:
Part B Establish Security Measures for Individuals (ISPS Code, paragraph B/16.12)
.6 Has the port facility established the means of identification required to access and remain unchallenged within the port facility? (ISPS Code, paragraph B/16.12) Comments:
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Yes No Other
.7 Does the port facility have the means to differentiate the identification of permanent, temporary, and visiting individuals? (ISPS Code, paragraph B/16.12) Comments:
.8 Does the port facility have the means to verify the identity and legitimacy of passenger boarding passes, tickets, etc? (ISPS Code, paragraph B/16.12) Comments:
.9 Has the port facility established provisions to ensure that the identification systems are regularly updated? (ISPS Code, paragraph B/16.12) Comments:
.10 Has the port facility established provisions to facilitate disciplinary action against those whom abuse the identification system procedures? (ISPS Code, paragraph B/16.12) Comments:
.11 Has the port facility created procedures to deny access and report all individuals who are unwilling or unable to establish their identity or purpose for visit to the PFSO and to the national or local authorities? (ISPS Code, paragraph B/16.13) Comments:
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Yes No Other Part B Search Locations (ISPS Code, paragraph B/16.14) .12 Has the port facility identified a location(s) for searches of persons, personal effects, and vehicles that facilitates continuous operation, regardless of prevailing weather conditions? (ISPS Code, paragraph B/16.14) Comments:
.13 Does the port facility have procedures established to directly transfer persons, personal effects, or vehicles subjected to search to the restricted holding, embarkation, or vehicle loading area? (ISPS Code, paragraph B/16.14) Comments:
.14 Has the port facility established separate locations for embarking and disembarking passengers, ships personnel, and their effects to ensure that unchecked persons do not come in contact with checked persons? (ISPS Code, paragraph B/16.15) Comments:
.15 Does the PFSP establish the frequency of application of all access controls? (ISPS Code, paragraph B/16.16) Comments:
Part B Establish Control Points (ISPS Code, paragraph B/16.17)
.16 Does the PFSP establish control points for restricted areas bounded by fencing or other barriers to a standard which is approved by the national government? (ISPS Code, paragraph B/16.17.1) Comments:
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Yes No Other
.17 Does the PFSP establish the identification of and procedures to control access points not in regular use which should be permanently closed and locked? (ISPS Code, paragraph B/16.17.7) Comments:
3. Monitoring of the port facility, including anchoring and berthing area(s) (ISPS Code sections A/14.2.3 and A/14.3)
Part A
.1 Does the facilitys means of monitoring the port facility, including berthing and anchorage area(s) meet the requirements set out in the PFSP for security level 1 and 2? Comments:
Part B Scope of Security Monitoring (ISPS Code, paragraph B/16.49)
.2 Does the port facility have the capability to continuously monitor on land and water the port facility and its nearby approaches? (ISPS Code, paragraph B/16.49) Comments:
.3 Which of the following means are employed to monitor the port facility and nearby approaches? (ISPS Code, paragraph B/16.49)
A. Patrols by security guards B. Patrols by security vehicles C. Patrols by watercraft D. Automatic intrusion-detection devices E. Surveillance equipment
Comments:
A B C D E
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Yes No Other
.4 If automatic intrusion-detection devices are employed, do they activate an audible and/or visual alarm(s) at a location(s) that is continuously monitored? (ISPS Code, paragraph B/16.50) Comments:
.5 Does the PFSP establish procedures and equipment needed at each security level? (ISPS Code, paragraph B/16.51) Comments:
.6 Has the port facility established measures to increase the security measures at security level 1 and 2 (ISPS Code, paragraphs B/16.51, B/16.53.1, B/16.53.2 and B/16.53.3)
A. Increase intensity and coverage of lighting and surveillance equipment B. Increase frequency of foot, vehicle & waterborne patrols C. Assign additional personnel D. Surveillance
Comments:
A B C D
.7 Does the PFSP establish procedures and equipment necessary to ensure that monitoring equipment will be able to perform continually, including consideration of the possible effects of weather or power disruptions? (ISPS Code, paragraph B/16.51) Comments:
Part B Illumination at Port Facility (ISPS Code, section A/14.3 and paragraph B/16.49.1)
.8 Does the port facility have adequate illumination, to allow for detection of unauthorized persons at or approaching access points, the perimeter, restricted areas and ships, at all times including the night hours and periods of limited visibility? (ISPS Code, paragraph B/16.49.1) Comments:
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4. Monitoring of restricted areas (ISPS Code, sections A/14.2.4 and A/14.3)
Part A Yes No Other
.1 Does the port facilitys means of limiting and monitoring access to restricted areas meet the requirements of the PFSP for security level 1 and 2? (ISPS Code, sections A/14.2.4 and A/14.3) Comments:
Part B Establishment of Restricted Areas (ISPS Code, paragraph B/16.21)
.2 Are restricted areas identified within the port facility? (ISPS Code, paragraph B/16.21) Comments:
.3 Which of the following elements are identified for restricted areas in the PFSP? (ISPS Code, paragraph B/16.21)
A. Extent of area B. Times of application C. Security measures to control access to areas D. Security measures to control activities within areas E. Measures to ensure restricted areas are swept before and after establishment
Comments:
A B C D E
Part B Security Measures (ISPS Code, paragraph B/16.22)
.4 Are restricted areas clearly marked, indicating that access to the area is restricted and that unauthorized presence constitutes a breach of security? (ISPS Code, paragraph B/16.23) Comments:
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Yes No Other
.5 Are measures established to control access by individuals to restricted areas? (ISPS Code, paragraph B/16.22.1) Comments:
.6 Does the port facility have the means to ensure that passengers do not have unsupervised access to restricted areas? (ISPS Code, paragraph B/16.12) Comments:
.7 Are measures established to control the entry, parking, loading, and unloading of vehicles? (ISPS Code, paragraph B/16.22.2) Comments:
.8 Are measures established to control movement and storage of cargo and ships stores? (ISPS Code, paragraph B/16.22.3) Comments:
.9 Are measures established to control unaccompanied baggage or personal effects? (ISPS Code, paragraph B/16.22.4) Comments:
.10 If automatic intrusion-detection devices are installed, do they alert a control centre capable of responding to the alarm? (ISPS Code, paragraph B/16.24) Comments:
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Yes No Other
.11 Which of the following security measures are utilized to control access to restricted areas? (ISPS Code, paragraph B/16.27)
A. Permanent or temporary barriers to surround restricted area B. Access points controlled by security guards when in use C. Access points that can be locked or barred when not in use D. Use of passes to indicate a persons authorization for access E. Marking of vehicles that are allowed access F. Use of guards and patrols G. Use of automatic intrusion-detection devices or surveillance equipment and systems H. Control of vessel movement in vicinity of ships using port facility Comments:
A B C D E F G H
.12 Has the port facility established measures to enhance the security of restricted areas for security level 2? (ISPS Code, paragraph B/16.28)
A. Enhance the effectiveness of barriers B. Reduce access points C. Enhance control of access points D. Restrict parking E. Control movement within F. Continuously monitor G. Enhance frequency of patrols H. Limiting access to spaces adjacent to ship
Comments:
A B C D E F G H
.13 Has the port facility established measures to enhance the effectiveness of barriers, reduce access points, and enhance access control for restricted areas at security level 2 (ISPS Code, paragraph B/16.28)
Comments:
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5. Supervising the Handling of Cargo (ISPS Code, sections A/14.2.5 and A/14.3)
Part A Yes No Other .1 Does the port facilitys means of supervising the handling of cargo meet the requirements identified in the PFSP for security level 1 and 2? Comments:
Part B - Prevent Tampering (ISPS Code, paragraph B/16.30.1)
.2 Are measures employed to routinely monitor the integrity of cargo, including the checking of seals, upon entry to the port facility and whilst stored in the port facility at security level 1 and 2? (ISPS Code, paragraph B/16.32.1) Comments:
.3 Are measures employed to routinely monitor cargo transport units prior to and during cargo handling operations? (ISPS Code, paragraph B/16.32.1) Comments:
.4 Which of the following means are employed to conduct cargo checking? (ISPS Code, paragraph B/16.33)
A. Visual exam B. Physical exam C. Scanning or detection equipment D. Other mechanical means E. Dogs Comments:
A B C D E
.5 Are restricted areas designated to perform inspections of cargo transport units if a container seal appears to have been compromised? (ISPS Code, paragraph B/16.32.4) Comments:
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Yes No Other
.6 Has the port facility established measures to intensity checks to ensure that only documented cargo enters the facility, and if necessary, is only stored on a temporary basis at security level 2? (ISPS Code, paragraph B/16.35.2) Comments:
.7 Has the port facility established measures to intensify vehicle searches, the frequency and detail of examining cargo seals, and other tampering prevention methods at security level 2? (ISPS Code, paragraph B/16.35.3) Comments:
Part B Preventing the Acceptance of Unauthorized Cargo (ISPS Code, paragraph B/16.30.2)
.8 Are cargo delivery orders or equivalent cargo documentation verified before acceptance? (ISPS Code, paragraph B/16.32.2) Comments:
.9 Are procedures utilized to randomly or selectively search vehicles at facility access points? (ISPS Code, paragraph B/16.32.3) Comments:
Part B Inventory Control (ISPS Code, paragraph B/16.31)
.10 Are inventory control procedures employed at facility access points? (ISPS Code, paragraph B/16.31) Comments:
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Yes No Other
.11 Are means of identification used to determine whether cargo inside the port facility awaiting loading has been either checked and accepted or temporarily stored in a restricted area? (ISPS Code, paragraph B/16.31) Comments:
6. Supervising the handling of ships stores (ISPS Code, sections A/14.2.6 and A/14.3)
Part A
.1 Does the port facilitys means of supervising the handling of ships stores meet the requirements identified in the PFSP at security level 1 and 2? (ISPS Code, section A/14.2.6) Comments:
Part B Ships Stores Security Measures (ISPS Code, paragraph B/16.38)
.2 Are ships stores examined to ensure package integrity at security level 1 and 2? (ISPS Code, paragraphs B/16.38.1 and B/16.42.1) Comments:
.3 Are procedures established to ensure that no ships stores are accepted into the port facility without checking at security level 1 and 2? (ISPS Code, paragraphs B/16.38.2 and B/16.42.2) Comments:
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Yes No Other
.4 Which of the following means are employed to inspect ships stores? (ISPS Code, paragraph B/16.41)
A. Visual exam B. Physical exam C. Scanning or detection equipment D. Other mechanical means E. Dogs Comments:
A B C D E
.5 Are procedures established to prevent the tampering of ships stores? (ISPS Code, paragraph B/16.38.3) Comments:
.6 Are ships stores deliveries preceded with an advanced notification of load composition, driver information, and vehicle registration? (ISPS Code, paragraph B/16.40.2) Comments:
.7 Are unscheduled deliveries of ships stores declined access to the port facility? (ISPS Code, paragraph B/16.38.4) Comments:
.8 Are there procedures in place to prevent ships stores being accepted unless ordered? Are manifests and order documentation validated prior to allowing then into the port facility at security level 1 and 2? (ISPS Code, paragraph B/16.38.4) Comments:
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Yes No Other
.9 Are searches of vehicles delivering ships stores performed prior to entry into the port facility? (ISPS Code, paragraph B/16.38.5) Comments:
.10 Are escorts provided for ships stores delivery vehicles within the port facility at security level 1 and 2? (ISPS Code, paragraphs B/16.38.6 and B/16.42.4) Comments:
.11 Does the port facility increase the use of scanning/detection equipment mechanical devices, or dogs at security level 2? (ISPS Code, paragraph B/16.43.2) Comments:
7. Ensuring security communication is readily available (ISPS Code, sections A/14.2.7 and A/14.3)
Part A
.1 Do the port facilitys communication equipment and procedures meet the requirements identified in the PFSP at security level 1 and 2? (ISPS Code, section A/14.2.7) Comments:
Part B Effectiveness of Communication Equipment and Procedures (ISPS Code, paragraph B/16.8.4)
.2 Is the port facility equipped with auxiliary communication systems for both internal and external communications that are readily available regardless of security level, weather conditions or power disruptions at security level 1 and 2? (ISPS Code, paragraph B/16.8.4) Comments:
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Yes No Other
.3 Are security personnel trained on communication equipment to ensure efficiency? (ISPS Code, paragraph B/16.8.4) Comments:
.4 Are telephone numbers for key personnel accurate and routinely validated? (ISPS Code, paragraph B/16.8.4) Comments:
.5 Are procedures in place to ensure that port facility communication systems and equipment are serviced and maintained? (ISPS Code, paragraph B/16.8.4) Comments:
.6 Has the port facility established procedures and means for the PFSO to effectively disseminate changes in the security level at the port facility or with a vessel interfacing with the port? (ISPS Code, paragraph B/16.8.4) Comments:
Part B Protection of Communication Equipment and Facilities (ISPS Code, paragraph B/16.8.5)
.7 Are security procedures established to protect radio, telecommunication equipment and infrastructure, and computer systems? (ISPS Code, paragraph B/16.8.5) Comments:
.8 Are entry control procedures established to restrict access of communication facilities and infrastructure? (ISPS Code, paragraph B/16.8.5) Comments:
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8. Training, Drills and Exercises (ISPS Code section A/18)
Part A Yes No Other
.1 Has the PFSO and appropriate port facility security personnel received sufficient training to perform their assigned duties as identified in the PFSP? (ISPS Code, sections A/18.1 and A/18.2) Comments:
.2 Has the port facility implemented drills and exercises? (ISPS Code, sections A/18.3 and A/18.4) Comments:
Part B Training, drills, and exercises on port facility security (paragraphs B/18.1, B/18.2, B/18.3, and B/18.6)
.3 Are the PFSO, personnel with security duties and all other port facility personnel familiar with the relevant provisions of the PFSP and have they received the appropriate levels of training? (paragraphs B/18.1, B/18.2 and B/18.3) Comments:
.4 Are security drills conducted at least every three months and security exercises conducted at least once each calendar year with no more than 18 months between the exercises? (ISPS Code, paragraphs B/18.5 and B/18.6) Comments:
9. Miscellaneous
.1 Has the port facility established procedures and adopted measures with respect to ships operating at a higher security level than the port facility? (ISPS Code, paragraph B/16.55) Comments:
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Yes No Other
.2 Has the port facility established procedures and adopted measures which can be applied when (ISPS Code, paragraph 16.56):
A. it is interfacing with a ship which has been at a port of a State which is not a Contracting Government
B. it is interfacing with a ship to which the ISPS Code does not apply
C. service vessels covered by the PFSP are interfacing with fixed or floating platforms or mobile offshore drilling units on location
Comments:
A B C
Recommendations
This section should be used to record any deficiencies identified by the voluntary self-assessment and how these could be mitigated. In essence this will provide an action plan for the PFSO.
Recommendations/For Action: Section 1: Ensuring the performance of port security duties.
Recommendations/For Action: Section 2: Controlling access to the port facility.
Recommendations/For Action: Section 3: Monitoring of the port facility, including anchoring and berthing areas.
Recommendations/For Action: Section 4: Monitoring of restricted areas.
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Recommendations/For Action: Section 5: Supervising the handling of cargo.
Recommendations/For Action: Section 6: Supervising the handling of ships stores.
Recommendations/For Action: Section 7: Ensuring security communication is readily available.
Recommendations/For Action: Section 8: Training, drills and exercises.
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OUTCOME OF VOLUNTARY SELF-ASSESSMENT
This section should be used to record the findings of the voluntary self-assessment and any other issues arising. These findings could be raised with port facility staff or be used as the basis to seek guidance from the Designated Authority, as appropriate.
Signature of assessor Date of completion
.. .
___________
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