1、 GUIDE FOR SHIP SECURITY (SEC) NOTATION MARCH 2005 American Bureau of Shipping Incorporated by Act of Legislature of the State of New York 1862 Copyright 2005 American Bureau of Shipping ABS Plaza 16855 Northchase Drive Houston, TX 77060 USA This Page Intentionally Left Blank ABSGUIDE FOR SHIP SECUR
2、ITY (SEC) NOTATION .2005 iii GUIDE FOR SHIP SECURITY (SEC) NOTATION CONTENTS SECTION 1 General1 1 Scope and Application .1 2 Certification 2 2.1 General .2 2.2 Certification Process .2 2.3 Representations3 2.4 Termination .3 2.5 Limitation of Liability3 3 Definitions 3 4 References.4 4.1 Internation
3、al and U.S. Coast Guard Security Requirements4 4.2 International and U.S. Coast Guard Guidance Documents5 4.3 Other Useful References.5 SECTION 2 Maritime Security .7 1 General 7 2 Process Overview7 3 Applicability 8 3.1 International Requirements .8 3.2 ABS Requirements8 4 Security Levels.8 4.1 Gen
4、eral .8 5 Administrations 9 6 Port States .9 7 Activities not Covered by the ISPS Code 10 SECTION 3 Company Security Programs11 1 Company Responsibilities .11 1.1 International Requirements .11 1.2 Company and Port State Requirements14 1.3 Company Security Plan.15 iv ABSGUIDE FOR SHIP SECURITY (SEC)
5、 NOTATION .2005 SECTION 4 Ship Security Programs 17 1 Ship Security Officer 17 1.1 International Requirements .17 2 Ship Security Alert System 19 2.1 International Requirements .19 3 Ship Security Assessments .20 3.1 General20 3.2 On-scene Security Survey.21 3.3 Ship Security Assessment Requirements
6、21 4 Ship Security Plans25 4.1 General25 4.2 Ship Security Plan Requirements26 4.3 Organization and performance of Ship Security Duties 27 5 Training and Drills28 5.1 General28 5.2 Training Requirements 28 6 Ship Security Records .30 6.1 General30 6.2 Records Requirements31 6.3 Company and Vessel Re
7、cords31 7 Audits and Reviews .32 7.1 General32 7.2 Audit and Review Requirements .32 8 Declaration of Security.33 8.1 General33 8.2 Declaration of Security Requirements .33 8.3 ISPS Code Part B Guidance, Paragraph 9.52 Declarations of Security.34 8.4 Additional ABS Requirements .34 8.5 Additional AB
8、S Guidance 34 9 Verification and Certification of Ships34 9.1 International Requirements .34 APPENDIX 1 SOLAS Chapter XI-2 Special Measures to Enhance Maritime Security. 37 ABSGUIDE FOR SHIP SECURITY (SEC) NOTATION .2005 v Foreword In the maritime world, safety and security are closely linked. Long
9、before the tragic events of September 11, the mission of the American Bureau of Shipping was to promote the security of life, property, and the natural environment. For well over a century, ABS has devoted its energies to promoting safe and efficient commerce by sea through the development and appli
10、cation of industry consensus standards. Initially, the emphasis was on safety, and ABS applied its technology and knowledge to maintain safety through prevention of accidents caused by the forces of nature and human error. While the science of those causes is very complex and is continually being im
11、proved, they are amenable to analysis, understanding and prediction. Through the dedication and diligence of everyone in the maritime industries, the safety record of shipping has steadily improved through the years. Maritime security introduces an additional element into the safety equation: delibe
12、rate actions by people intent on causing harm. Security has always been a concern with naval ships, and the military routinely exercise precautions to maintain the security of their ships. Commercial vessels routinely employ special security measures under certain circumstances to prevent piracy, sm
13、uggling or stowaways. Those crimes are usually economically motivated, where destruction is not the goal. Acts of terror are usually politically motivated, and ships are prime targets because of their mobility and high potential for causing extensive damage to life, property, the environment, and th
14、e transportation and economic infrastructure. The maritime community has come to the realization that ships must be made less vulnerable to security threats, both at sea and while in port. On 12 December 2002, Contracting Governments adopted amendments to the International Convention for the Safety
15、of Life at Sea (SOLAS), 1974, to enhance the security of ships and port facilities. In addition to completing a new Chapter XI-2, “Special Measures to Enhance Maritime Security,” the diplomatic conference also approved a new International Code for the Security of Ships and of Port Facilities (ISPS C
16、ode). Compliance with Part A of the Code is mandatory. Part B of the Code contains guidance for applying the new SOLAS requirements and Part A of the ISPS Code. The SOLAS amendments and ISPS requirements became effective on 1 July 2004. Contracting Governments may delegate some of their responsibili
17、ties under the new security regime to Recognized Security Organizations (RSO). ABS will approve security plans, perform security audits of ships and issue International Ship Security Certificates (ISSC) on behalf of governments that have appointed ABS as an RSO for that purpose. In carrying out thos
18、e responsibilities, ABS will apply the requirements of SOLAS 74, as amended and the ISPS Code, plus any additional requirements imposed by the government. This Guide is the third revision to the Guide originally issued in January 2003. Since then, the U.S. Coast Guard has issued final rules (33 CFR
19、Subchapter H) mandated by the Maritime Transportation Security Act of 2002. The rules require ships entering the United States to demonstrate compliance with the relevant sections of Part B of the ISPS Code (8.113.8). The U.S. rulemaking and consideration of similar approaches by other countries has
20、 led ABS to revise this Guide to reflect SOLAS Chapter XI-2, ISPS Code Parts A and the relevant sections of Part B (8.1 13.8). ABS has prepared this Guide for Ship Security (SEC) Notation to assist companies and individuals in applying the security provisions of SOLAS and the ISPS Code. It is not in
21、tended to be used as a substitute for those documents. However, when used in conjunction with SOLAS, the ISPS Code, this Guide may be helpful in achieving compliance with those requirements and in obtaining the ABS SEC notation. vi ABSGUIDE FOR SHIP SECURITY (SEC) NOTATION .2005 ABS offers the optio
22、nal SEC Security Class notation to ships that comply with the international and additional requirements deemed necessary by ABS and contained in this Guide. The notation is available for all ABS classed vessels, whether or not they are required to also carry an International Ship Security Certificat
23、e (ISSC). The additional ABS requirements in the Guide are not extensive or excessive. While the notation is not required as a condition for ABS Class, ABS believes that the Security Class notation is a useful indication of the preparation and measures taken to address security concerns aboard ships
24、. This March 2005 edition of the Ship Security Guide is being issued to assist ABS clients in developing and implementing their ship security programs. The maritime security area is evolving rapidly, and the International Maritime Organization (IMO), the International Association of Classification S
25、ocieties (IACS), governmental authorities, and ABS will all be revising their guidelines and adding to the resources available to help shipping companies meet the new requirements. . We welcome your feedback. Comments or suggestions can be sent electronically to shipsecurityguideeagle.org. ABSGUIDE
26、FOR SHIP SECURITY (SEC) NOTATION .2005 1 SECTION 1 General 1 Scope and Application This ABS Guide for Ship Security has been developed with the objective of improving security in the operation of ships. The American Bureau of Shipping recognizes the positive impact that sound security management pra
27、ctices have in reducing losses to the maritime industry due to terrorism, piracy, and other criminal activity. This Guide provides the maritime industry with a model for implementing ship security programs. This Guide is intended for the use of companies operating all types of ships. The Guides requ
28、irements are stated in general terms in order to apply to a wide variety of ships and ship operations both at sea and in port. The basic requirements that this Guide addresses have been developed by the international community for application to ships involved in international commerce and port faci
29、lities that interface with those ships. The term “ships” used in the international regulations includes passenger ships, cargo ships over 500 gross tons and mobile offshore drilling units. This Guide may also be used for other ships, such as cargo ship less than 500 gross tons and ships not involved
30、 in international commerce to improve their security programs. If requested by the ship owner, ABS will verify and certify the security program of any ship in accordance with this Guide. The requirements of this Guide have been largely derived from the requirements prepared by the International Mari
31、time Organization and adopted in December 2002. Those requirements consist of changes to the International Convention for the Safety of Life at Sea, 1974 (SOLAS 74), including: Chapter XI-2 of SOLAS, Special Measures to Enhance Maritime Security International Code for the Security of Ships and of Po
32、rt Facilities, (ISPS Code), Part A, Mandatory Requirements International Code for the Security of Ships and of Port Facilities, (ISPS Code), Part B, Guidance The ISPS Code has two Parts: Part A contains the mandatory provisions of the Code, and Part B contains additional recommendations and guidance
33、. In June 2003, the International Maritime Organizations Maritime Safety Committee stressed that an International Ship Security Certificate should not be issued unless paragraphs 8.1 to 13.8 of part B of the ISPS Code are taken into account. Those paragraphs address the Ship Security Assessment, Shi
34、p Security Plan, Records, Company Security Officer, Ship Security Officer, and Training, Drills and Exercises. For the purpose of obtaining a SEC security notation from ABS, this Guide also incorporates some of the recommendations in Part B of the ISPS Code and other references on ship and port faci
35、lity security that ABS believes are necessary for an effective security program. Those references are listed in Subsection 1/4 of this Guide. Though this Guide has been developed principally to address international and United States ship security requirements, some maritime safety issues are addres
36、sed also. Security requirements cannot be allowed to place a ship and crew in an intolerable safety situation. It is necessary, as security requirements are developed and improved, that they are examined to ensure they do not violate the basic requirements for safety at sea and in port facilities as
37、sociated with the ship/port interface. Section 1 General 2 ABSGUIDE FOR SHIP SECURITY (SEC) NOTATION .2005 This Guide is the third revision to the Guide originally issued in January 2003 and is subject to review and revision. Updates shall include, among other things, additional requirements or clar
38、ification of existing requirements. Ships certified to the requirements of this Guide shall be required to comply with the changes at the next intermediate verification that is at least a year after publication of those changes. If the change is based on changes to the international or national secu
39、rity requirements, the applicable compliance dates of those requirements will apply. 2 Certification 2.1 General Companies may choose to implement security measures suitable to their organizations goals, objectives and concerns. ABS encourages all companies to consider implementation of all of this
40、Guides requirements as a comprehensive approach to maritime security. Ships that are classed by ABS and comply with all requirements of this Guide, and maintain full compliance, will be eligible to receive the ABS notation SEC. Ships that comply with all requirements of this Guide and maintain full
41、compliance, but are not classed by ABS, will be eligible to receive ABS certification to that effect. Where an Administration delegates authority to ABS to review, approve, and certify Ship Security Plans as a “Recognized Security Organization,” (RSO), ABS will issue the certification on behalf of t
42、hat government or Administration once the verification actions defined in the international regulations and supplemental national regulations are completed. ABS will advise the Company of any additional requirements, beyond those contained in this Guide, applicable to ships of a particular flag. Tho
43、se additional requirements must be satisfied in order for ABS to issue documents or certifications as an RSO. A ship that is assessed by ABS and found to meet the requirements specified in this Guide is entitled to hold a corresponding certificate. If the ship is ABS classed, it will also receive a
44、corresponding notation in the ABS Record. All certificates are subject to periodic and intermediate verifications conducted for the ship. Certifications and notations are non-transferable. Assessments are based upon a sampling process. The absence of recorded nonconformities does not mean that none
45、exist. Nothing contained herein or in any certificate, notation or report issued in connection with a certificate or notation is intended to relieve any designer, builder, owner, manufacturer, seller, supplier, repairer, operator, insurer or other entity of any duty to inspect, or any other duty or
46、warranty, express or implied, nor to create any interest, right, claim or benefit in any insurer or other third party. 2.2 Certification Process Companies seeking certification to the requirements of this Guide for its ships shall fulfill the following responsibilities, some of which are more fully
47、described in subsequent Sections of the subject Guide: Document, implement, and maintain a security program in accordance with the requirements of this Guide. Provide ABS copies of the pertinent security program, the Company Security Plan, the Ship Security Plan, and the Ship Security Assessment doc
48、umentation for review and approval. Allow ABS access during normal working hours to ships requiring verification in order to assess the security program and determine continuing compliance with the requirements of this Guide. Allow ABS access during normal working hours to the offices requiring veri
49、fication in order to assess the security program and determine compliance with the requirements of this Guide (suggest at annual DOC compliance audits). Section 1 General ABSGUIDE FOR SHIP SECURITY (SEC) NOTATION .2005 3 Notify ABS in a timely manner, and in writing, of port state interventions involving “security requirements” on vessels that hold security certifications or documents issued by ABS. Inform ABS in writing of major changes to the security program (e.g., changes in Company organizational structure that affect the security program, changes to securi
