The Merchant Shipping (Maritime Security) Regulations

Legal Notice 152 of 2015

This is the latest version of this Legal Notice.

The Merchant Shipping (Maritime Security) Regulations

Citation: Legal Notice 152 of 2015
Primary work: Merchant Shipping Act
Date: 31 December 2022
Language: English
Type: Legal Notice
Original enactment: Download original enactment (PDF) (9.2 MB)

MERCHANT SHIPPING ACT

THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS

LEGAL NOTICE 152 OF 2015

Published in Kenya Gazette Vol. CXVII—No. 80 on 31 July 2015
Commenced on 24 July 2015

[Revised by 24th Annual Supplement (Legal Notice 221 of 2023) on 31 December 2022]

Part I – PRELIMINARY PROVISIONS

1. Citation and commencement

These Regulations may be cited as the Merchant Shipping (Maritime Security) Regulations, 2015 and shall come into force on the date of publication.

2. Interpretation

In these Regulations unless the context otherwise requires—"administration" means the designated maritime authority of the state, other than Kenya, whose flag the ship is entitled to fly;"all ships" when used in these Regulations, means any ship to which these Regulations apply;"Authority" means Kenya Maritime Authority established under the Act;"authorized officer" means the person appointed under Section 10 of the Act for the purposes of these Regulations;"bulk carrier" means a ship which is constructed generally with a single deck, top side tanks and hopper side tanks in cargo spaces, and is intended primarily to carry dry cargo in bulk and includes such types as ore carriers and combination carriers;"cargo handling facility" means a common user facility with cargo handling facilities licensed to offer services for handling and temporary storage of import and export laden containers, and motor vehicles under customs control and includes—

(a)container freight stations (CFS); or

(b)inland container depot (ICD); or

(c)empty container handling and storage depot;

"certificate" means an International Ship Security Certificate (ISSC) or an Interim International Ship Security Certificate issued with accordance with regulation 45 and 50 respectively;"chemical tanker" means a cargo ship constructed or adapted and used for the carriage in bulk of any liquid product listed in chapter 17 of the International Code for the Construction and Equipment of Ships Carrying Dangerous Chemicals in Bulk, 1983, as amended and "IBC Code" shall be construed accordingly;"company" means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed responsibility for the operation of the ship from the owner of the ship and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by chapter XI-2 of the Safety Convention, the International Ship & Port Facility Code and these Regulations;"company security officer" means the person designated by the Company for ensuring that a ship security assessment is carried out; that a ship security plan is developed, submitted for approval, and thereafter implemented and maintained and for liaison with port facility security officers and the ship security officer;"Contracting Government" means the government of a state which is Party to the Safety Convention and includes an administration;"declaration of security" means an agreement reached between a ship and either a port facility or another ship with which it interfaces specifying the security measures each will implement;"enforcement order" means an order issued by the Director- General prohibiting or restricting certain action by a person named in the enforcement order or requiring the person named in the enforcement order to take specified action;"gas carrier" means a cargo ship constructed or adapted for carriage in bulk of any liquefied gas or other liquid product listed in chapter 19 of the International Code for the Construction and Equipment of Ships Carrying Liquefied Gases in Bulk, 1983, as amended, and "IGC Code" shall be construed accordingly;"high speed craft" means a vessel capable of a maximum speed in metres per second (m/s) equal to or exceeding:

"internal waters", in relation to Kenya, means Kenyan waters landward of the baselines for measuring the breadth of its territorial sea;"International Ship and Port Facility Security (ISPS) Code" means the International Code for the Security of Ships and of Port Facilities, 2002, as amended;"Kenyan waters" means—

(a)the internal waters;

(b)the territorial sea; and

(c)the waters of the exclusive economic zone;

"maritime security" means the combination of preventive measures intended to protect persons, cargo, ships stores, shipping and port facilities against threats of intentional unlawful acts;"mobile offshore drilling unit" means a vessel capable of engaging in drilling operations for the exploration for, or exploitation of, resources beneath the seabed such as liquid or gaseous hydrocarbons, sulphur or salt;"oil tanker" means a ship constructed or adapted primarily to carry oil in bulk in its cargo spaces and includes—

(a)a combination carrier;

(b)a chemical tanker when it is carrying a cargo or part cargo of oil in bulk; and

(c)a gas carrier when it is carrying a cargo or part cargo of oil in bulk;

"port facility security plan" means a plan developed to ensure the application of measures designed to protect the port facility and ships, persons, cargo, cargo transport units and ship’s stores within the port facility from the risks of a security incident;"port facility security officer" means the person designated as responsible for the development, implementation, revision and maintenance of the port facility security plan and for liaison with the ship security officers and company security officers;"port facility" means a location, as determined by the Authority or any relevant legislation where the ship or port interface takes place;"port" means an area of water or land and water (including oil or gas installations or equipment situated in or on that water), intended for use either wholly or partly in connection with the movement, loading, unloading, maintenance, or provisioning of ship and includes—

(a)areas of water, between the land of the port and the open waters outside the port, intended for use by ships to gain access to loading,unloading or other land based facilities; or

(b)areas of open water, intended for anchoring or otherwise holding ships before they enter areas of water described in paragraph (a);

"port facility operator" includes all persons entrusted with the function of managing and maintaining a port facility;"port facility security assessment" means an assessment of the security of a port facility carried out in accordance with regulation 47;"port facility security evaluation" means an evaluation to determine whether a port facility is required to comply with Part VIII of these Regulations;"port service provider" means a person, in Kenya, engaged in the business of providing services of port facility, quay side, warehouse or other terminal facilities in connection with a common carrier or a water carrier and includes the following—

(a)commercial vessel operators, including lighter or barge operators;

(b)cargo handling operators;

(c)tug operators;

(d)towage and salvage operators; and

(e)any person who provides any of the following port service—

(i)offshore provisioning of ships;

(ii)offshore transshipment of persons, or goods; and

(iii)offshore ship repairer;

"port service provider security officer" means the person designated by the port service provider as responsible for the development, implementation, revision and maintenance of the port service provider security plan and for liaison with the ship security officer, port facility security officer and the company security officer, as applicable;"recognized security organization" means an organization with appropriate expertise in security matters and with appropriate knowledge of ship and port operations authorized to carry out an assessment, or verification, or an approval or a certification activity required under these Regulations;"restricted area" means an area to which access is restricted for security reasons pursuant to these Regulations;"Safety Convention" means the International Convention for safety of Life at Sea (SOLAS) 1974, as amended;"security level" means the qualification of the degree of risk that a security incident will be attempted or will occur;"security incident" include any of the following incidents—

(a)the introduction of weapons, explosives or security prohibited items into the port facility or aboard a ship adjacent to a port facility;

(b)the infiltration of terrorists or hostile persons into the port facility or aboard a ship adjacent to port facility;

(c)the destruction of, damage to, or tampering with port facility property or ships or cargo within or adjacent to the port facility;

(d)non accidental death or personal injury within the port facility or aboard ships adjacent to the port facility; and

(e)the unauthorized breach of the ship-to-port interface,

"security threat’ means any breaches of security or occurrence of security threats;"security level 1" means the level for which minimum appropriate protective security measures shall be maintained at all times;"security level 2" means the level for which appropriate additional protective security measures shall be maintained for a period of time as a result of heightened risk of a security incident;"security level 3" means the level for which further specific protective security measures shall be maintained for a limited period of time when a security incident is probable or imminent, although it may not be possible to identify the specific target;"ship" includes mobile offshore drilling units and high-speed craft;"ship to ship" activity means any activity between ships that involves the transfer of goods or persons from one ship to another;"ship or port interface" means the interactions that occur when a ship is directly and immediately affected by actions involving the movement of persons, goods or the provisions of port services to or from the ship;"ship security plan" means a plan developed to ensure the application of measures on board the ship designed to protect persons on board, cargo, cargo transport units, ship’s stores or the ship from the risks of a security incident;"ship security officer" means the person on board the ship, accountable to the master, designated by the Company as responsible for the security of the ship, including implementation and maintenance of the ship security plan and for liaison with the company security officer and port facility security officers;"short international voyage" means an international voyage in the course of which a ship is not more than 200 nautical miles from a port or place in which the passenger and crew could be placed in safety; and"tons" means gross tonnage.

3. Application

(1)These Regulations apply to—

(a)the following types of ships engaged on international voyages—

(i)passenger ships, including high-speed passenger craft;

(ii)cargo ships, including high-speed craft of over 50 tons; and

(iii)ships of more than 50 tons trading exclusively in Kenyan waters that interface with ships referred to under paragraphs (i) and (ii) and port facilities to which these Regulations apply;

(b)mobile offshore drilling units;

(c)port facilities serving ships referred to under subregulation (1)(a); and

(d)port facilities which are used primarily by ships not engaged on international voyages but which occasionally serve ships arriving or departing on international voyages.

(2)Part V of these Regulations shall only apply to port facilities referred to in subregulations (1)(c) and (1)(d).

(3)Part VII of these Regulations shall only apply to port facilities used exclusively by ships not engaged on international voyages and private jetties to which a notice of compliance is issued by the Director General.

(4)Part VIII of these Regulations shall only apply to any cargo handling facility used for storage or handling of containerized cargo units and motor vehicles under customs control.

(5)A notice of compliance referred to in subregulation (3) shall be issued to a port facility or a private jetty after a security evaluation has been conducted by the Authority in accordance with regulation 77 and the notice shall specify the extent of application of Part VII and any other relevant provisions of these Regulations to such port facilities and private jetties.

(6)A notice under subregulation (3) shall not compromise the level of security intended to be provided by these Regulations.

4. Exemptions

These Regulations do not apply to—

(a)ships of less than 50 tons;

(b)fishing vessels regulated under the regulations made by the Cabinet Secretary pursuant to section 260 and section 450(1)(a)(b) and (c) of the Act;

(c)warships and naval auxiliaries;

(d)other ships owned or operated by parties to the Safety Convention and used only on Government non-commercial service; or

(e)port facilities, jetties and cargo handling and storage facilities operated by the government for non-commercial purposes.

Part II – SPECIAL MEASURES TO ENHANCE MARITIME SECURITY

5. Responsibilities of the Director General

(1)Without prejudice to any other duties under these Regulations the Director-General shall—

(a)in accordance with regulation 8 set security levels and ensure the provision of security level information to port facilities within Kenya;

(b)in accordance with regulation 8 set security levels and ensure the provision of security level information to ships prior to entering a port or whilst in a port within Kenya;

(c)when changes in security level occur, update security level information as the circumstances require;

(d)determine which of the port facilities located within Kenya are required to designate a port facility security officer;

(e)determine which of the port service providers are required to prepare port service provider security plans;

(f)approve ship security plans and any subsequent amendments to a previously approved plan;

(g)approve the port facility security plan and any subsequent amendments to a previously approved plan;

(h)approve port service provider and cargo handling and storage facility security plans and any subsequent amendments to a previously approved plan;

(i)exercise control and compliance measures over ships intending to enter any ports in Kenya; and

(j)serve as a contact point for Kenya and to other States and to facilitate follow up and disseminate information on the application of the maritime security measures laid down in these Regulations.

(2)The Director-General may, subject to Part X delegate to a security organization his duties under these Regulations, except—

(a)setting of the applicable security level for port facilities or ship to ship interface in Kenyan waters;

(b)approving a port facility security assessment and subsequent amendments to an approved assessment;

(c)determining the port facilities which will be required to designate a port facility security officer;

(d)approving a port facility security plan and subsequent amendments to an approved plan;

(e)approving port service providers security assessments and security plans;

(f)exercising control and compliance measures pursuant to regulations 22, 23 and 24; and

(g)establishing the requirements for a declaration of security.

6. Requirements, obligations and specific responsibilities of companies

Companies shall—

(a)comply with the relevant requirements of these Regulations, taking into account the guidance given in the Second Schedule which incorporates Part B of the ISPS Code and such compliance shall be verified and certified by the Authority as provided for under these Regulations;

(b)ensure that the ship security plan contains a clear statement emphasizing the master’s authority;

(c)establish in the ship security plan that the master 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 company or of any administration as may be necessary;

(d)ensure that the company security officer, the master and the ship security officer are given the necessary support to fulfil their duties and responsibilities as required under these Regulations;

(e)ensure that the master has available on board, at all times, information through which an authorized officer can establish—

(i)who is responsible for appointing the members of the crew or other persons currently employed or engaged on board the ship in any capacity on the business of that ship;

(ii)who is responsible for deciding the employment of the ship; and

(iii)in cases where the ship is employed under the terms of charterparty, who are the parties to such charterparty.

7. Requirements for ship owners and masters

All shipowners and masters shall —

(a)ensure that prior to entering a port or whilst in a port within Kenya, a ship complies with the relevant requirements of these Regulations, taking into account the guidance given in the Second Schedule and such compliance shall be verified and certified by the Authority;

(b)that ships shall respond without undue delay to any change to a higher security level; and

(c)where a ship is not in compliance with the requirements of these regulations or cannot comply with the requirements of the security level set by the Authority or the administration for that ship and applicable to that ship, then the ship shall notify the appropriate competent authority prior to conducting any ship or port interface or prior to entry into port, whichever occurs earlier.

8. Threats to ships

(1)The Director-General shall set maritime security levels and in setting the security levels, the Director-General may consult the Maritime Security Committee established under the National Security Council Regulations, 2014 or any other applicable law.

(2)The Director-General shall ensure the provision of maritime security level information to ships operating in or having communicated an intention to enter Kenyan waters.

(3)The Director-General shall provide a point of contact through whichsuch ships can request advice or assistance and to which such ships can report any security concerns about other ships, movements or communications.

(4)Where a security threat has been identified, the Director-General shall advise the ships concerned and their administrations of—

(a)the current security level;

(b)any security measures that should be put in place by the ships concerned to protect themselves from security threat, in accordance with the provisions of these regulations; and

(c)security measures that the Director-General has put in place, as appropriate.

9. Master's discretion for safety and security

(1)The master shall not be prevented by the company, the charterer or any other person from taking or executing any decision which, in the professional judgement of the master, is necessary to maintain the safety and security of the ship which shall include but not limited to denial of access to persons or their effects and refusal to load cargo, including containers or other closed cargo transport units.

(2)If, in the professional judgement of the master, a conflict between any safety and security requirements applicable to the ship arises during its operations, the master shall give effect to those requirements necessary to maintain the safety of the ship. In such cases, the master may implement temporary security measures and shall forthwith inform the administration, and, if appropriate, the Authority. Any such temporary security measures under this regulation shall, to the highest possible degree, be commensurate with the prevailing security level. When such cases are identified, the Authority shall ensure that such conflicts are resolved and that the possibility of recurrence is minimized.

10. Requirements for port facility operators

(1)Port facility operators shall comply with the relevant requirements of these Regulations taking into account the guidance given in the Second Schedule.

(2)The Director-General shall ensure that—

(a)port facility security assessments are carried out, reviewed and approved in accordance with the provisions of these Regulations; and

(b)port facility security plans are developed, reviewed, approved and implemented in accordance with the provisions of these Regulations.

(3)The Director-General shall designate and communicate the measures required to be addressed in a port facility security plan for the various security levels, including when the submission of a declaration of security shall be required.

11. Alternative security agreements

(1)The Authority may, when implementing these Regulations conclude in writing bilateral or multilateral agreements with other administrations on alternative security arrangements covering short international voyages on fixed routes between port facilities located within their territories.

(2)Any such agreement shall not compromise the level of security of other ships or of port facilities not covered by the agreement.

(3)A ship covered by such an agreement shall not conduct any shipto-ship activities with any ship not covered by the agreement.

(4)Such agreements shall be reviewed periodically, taking into account the experience gained as well as any changes in the particular circumstances or the assessed threats to the security of the ships, the port facilities or the routes covered by the agreement.

12. Equivalent security arrangements

(1)The Authority may allow a particular ship or a group of ships entitled to fly the Kenyan flag to implement other security measures equivalent to those prescribed in these Regulations, provided such security measures are at least as effective as those prescribed in these Regulations.

(2)When implementing these Regulations, the Authority may allow a particular port facility or a group of port facilities located in Kenya, other than those covered by an agreement concluded under regulation 11 to implement security measures equivalent to those prescribed in these Regulations, provided such security measures are at least as effective as those prescribed in these Regulations.

13. Notification

The Authority shall notify the organization of any security measures taken under regulation 11 and 12.

Part III – SHIP SECURITY

Ship Security Levels and Security Directions

14. Ship security

All ships shall act upon the security levels in the manner set out in this Part, thus—

(a)all foreign ships shall act upon the security levels set by the administration prior to entering a port within Kenya and whilst in a port within Kenya; and

(b)all Kenyan ships to which these Regulations apply shall act upon the security levels set by the Authority prior to entering a port within Kenya and whilst in a port within Kenya.

15. Ship security levels

All ships shall at all times maintain the relevant security levels 1, 2 and 3 as set out in regulations 16, 17 and 18.

16. Ship security level 1

At security level 1, the following activities shall be carried out, through appropriate measures, on all ships, taking into account the guidance given in the Second Schedule in order to identify and take preventive measures against security incidents—

(a)ensuring the performance of all ship security duties;

(b)controlling access to the ship;

(c)controlling the embarkation of persons and their effects;

(d)monitoring restricted areas to ensure that only authorized persons have access;

(e)monitoring of deck areas and areas surrounding the ship;

(f)supervising the handling of cargo and ship's stores; and

(g)ensuring that security communication is readily available.

17. Ship security level 2

At security level 2, the additional protective measures, specified in the ship security plan, shall be implemented for each activity detailed in regulation 16, taking into account the guidance given in the Second Schedule.

18. Ship security level 3

At security level 3, further specific protective measures, specified in the ship security plan, shall be implemented for each activity detailed in regulation 16, taking into account the guidance given in the Second Schedule.

19. Additional requirements for ship security levels

(1)Whenever security level 2 or 3 is set by the Authority, the ship shall acknowledge receipt of the instructions on change of the security level.

(2)Prior to entering a port or whilst in a port within Kenya that has set security level 2 or 3, the ship shall acknowledge receipt of this instruction and shall confirm to the port facility security officer the initiation of the implementation of the appropriate measures and procedures as detailed in the ship security plan, and in the case of security level 3, in instructions issued by the Authority, and the ship shall report any difficulties in implementation of any such additional measures, in which case, the port facility security officer and ship security officer shall liaise and co-ordinate the appropriate actions.

(3)If a ship is required by the Authority or an administration to set, or is already at, a higher security level than that set for the port it intends to enter or in which it is already located, then the ship shall advise, without delay, the Authority and the port facility security officer of the situation and in such cases, the ship security officer shall liaise with the port facility security officer and co-ordinate appropriate actions, if necessary.

(4)An administration requiring ships entitled to fly its flag to set security level 2 or 3 in a port within Kenya shall inform the Authority without delay.

(5)The Authority shall ensure the provision of security level information to ships operating in Kenya’s territorial sea, or having communicated an intention to enter Kenya’s territorial sea. Such ships shall be advised to maintain vigilance and report immediately to their administration and any nearby coastal States any information that comes to their attention that might affect maritime security in the area.

(6)When advising ships of the applicable security level, the Authority shall, taking into account the guidance given in the Second Schedule, advise those ships of any security measure that they should take and, if appropriate, of measures that have been taken by the Authority to provide protection against the threat.

Ship Security Assessment and Ship Security Plans

20. Ship security assessment

(1)Ship owners shall undertake ship security assessment and develop and update, as appropriate, the ship security plan.

(2)The company security officer shall ensure that the ship security assessment is undertaken only by recognized security organizational and actual assessment carried out by persons with appropriate skills to evaluate the security of a ship, in accordance with this regulation, taking into account the guidance given in the Second Schedule.

(3)Subject to the provisions of regulation 21 (4), a recognized security organization may carry out the ship security assessment of a specific ship.

(4)The ship security assessment shall include an on-scene security survey and, at least, the following elements—

(a)identification of existing security measures, procedures and operations;

(b)identification and evaluation of key ship board operations that it is important to protect;

(c)identification of possible threats to the key ship board operations and the likelihood of their occurrence, in order to establish and prioritize security measures; and

(d)identification of weaknesses, including human factors in the infrastructure, policies and procedures.

(5)The ship security assessment shall be documented, reviewed, accepted and retained by the company.

21. Ship security plan

(1)Each ship shall carry on board a ship security plan approved by the Authority or an administration.

(2)The plan shall make provisions for the three security levels as defined in regulations 16, 17 and 18.

(3)Subject to the provisions of subregulation (4), a recognized security organization may prepare the ship security plan for a specific ship.

(4)The Authority may entrust the review and approval of ship security plans or of amendments to a previously approved plan to recognized security organizations. In such cases, the recognized security organization undertaking the review and approval of a ship security plan or its amendments, for a specific ship, shall not have been involved in either the preparation of the ship security assessment or of the ship security plan or of the amendments under review.

(5)The submission of a ship security plan or of amendments to a previously approved plan for approval shall be accompanied by the security assessment on the basis of which the plan or the amendments have been developed.

(6)Such a plan shall be developed, taking into account the guidance given in the Second Schedule and shall be written in the working language or languages of the ship. If the language or languages used is not English a translation into English shall be included.

(7)The plan shall address, inter alia,—

(a)measures designed to prevent weapons, dangerous substances and devices intended for use against persons, ships or ports and the carriage of which is not authorized from being taken on board the ship;

(b)identification of the restricted areas and measures for the prevention of unauthorized access to them;

(c)measures for the prevention of unauthorized access to the ship;

(d)procedures for responding to security threats or breaches of security, including provisions for maintaining critical operations of the ship or ship/port interface;

(e)procedures for responding to any security instructions given by the Authority or an administration,

(f)procedures for evacuation in case of security threats or breaches of security;

(g)duties of shipboard personnel assigned security responsibilities and of other shipboard personnel on security aspects;

(h)procedures for auditing the security activities;

(i)procedures for training, drills and exercises associated with the plan;

(j)procedures for interfacing with port facility security activities;

(k)procedures for the periodic review of the plan and for updating;

(l)procedures for reporting security incidents;

(m)identification of the ship security officer;

(n)identification of the company security officer including 24-hour contact details;

(o)procedures to ensure the inspection, testing, calibration, and maintenance of any security equipment provided on board;

(p)frequency for testing or calibration of any security equipment provided on board;

(q)identification of the locations where the ship security alert system activation points are provided;

(r)procedures, instructions and guidance on the use of the ship security alert system, including the testing, activation, deactivation and resetting and to limit false alerts; and

(s)subject to paragraph (q) and (r), the ship security plan may provide that the information on the ship security alarm system shall be included in a separate document that shall be kept in location on board known only to the master, the ship security officer and other senior shipboard personnel identified by the company.

(8)Personnel conducting internal audits of the security activities specified in the plan or evaluating its implementation shall be independent of the activities being audited unless this is impracticable due to the size and the nature of the company or of the ship.

(9)The Authority shall determine which changes to an approved ship security plan or to any security equipment specified in an approved plan shall not be implemented unless the relevant amendments to the plan are approved by the Authority or an administration. Any such changes shall be at least as effective as those measures prescribed in subregulation (7).

(10)The nature of the changes to the ship security plan or the security equipment that have been specifically approved by the Authority or an administration under this subregulation shall be documented in a manner that clearly indicates such approval, and the approval shall be available on board and shall be presented together with the International Ship Security Certificate or the Interim International Ship Security Certificate, and if these changes are temporary, once the original approved measures or equipment are reinstated, this documentation no longer needs to be retained by the ship.

(11)The plan may be kept in an electronic format and that in case, it shall be protected by procedures aimed at preventing its unauthorized deletion, destruction or amendment.

(12)The plan shall be protected from unauthorized access or disclosure.

(13)Ship security plans are not subject to inspection by officers duly authorized by an administration or the Authority, as appropriate, to carry out control and compliance measures in accordance with regulations 22, 23 and 24, save in circumstances specified in subregulation (14).

(14)If the officers duly authorized by an administration or the Authority, as appropriate, have clear grounds to believe that the ship is not in compliance with the requirements of these regulations, and the only means to verify or rectify the non-compliance is to review the relevant requirements of the ship security plan, limited access to the specific sections of the plan relating to the non-compliance is exceptionally allowed, but only with the consent of an administration or the Authority, or the master of, the ship concerned.

(15)Nevertheless, the provisions in the plan relating to subregulation (7)(b), (d), (e), (g), (o), (q) and (r) are considered as confidential information, and cannot be subject to inspection unless otherwise agreed by the administrations concerned.

(16)Where a master fails to maintain and implement a ship security plan, he commits an offence and shall on conviction be liable to a fine of a sum not exceeding Kenya shillings fifty thousand for each day of violation or imprisonment for a term not exceeding six months, or to both such fine and imprisonment.

(17)Where a master of a ship is convicted under subregulation (16) the authorised officer shall seize and detain the ship and until such time as the ship owner provides on board the original ship security plan duly approved by the ship’s Flag State.

(18)The ship security plan shall indicate the operational and physical measures the ship itself shall take to ensure that it always operated at security level 1. The Ship Security Plans shall also indicate the additional security measures the ship itself shall take to operate at security levels 2 or 3 when instructed to do so.

(19)Where the master of a foreign ship fails to implement and maintain operational security measures as required in its ship security plan while within a regulated port in Kenya, the master commits an offence and shall on conviction be liable to a fine not exceeding a sum of Kenya shillings fifty thousand for every day of violation or imprisonment for a term not exceeding six months or to both.

(20)Where the master of a Kenyan ship fails to implement and maintain operational security measures as required in its ship security plan while within a regulated port in Kenya, the master commits an offence and shall on conviction be liable to a fine not exceeding a sum of Kenya Shillings fifty thousand for every day of violation or imprisonment for a term not exceeding six months or to both.

Control and Compliance Measures

22. Control of ships in port

(1)For the purpose of these Regulations—

(a)every Kenyan ship shall be subject to flag state control while within a port in Kenya; and

(b)all foreign ships shall be subject to port state control while within a port in Kenya.

(2)Port State control and flag state implementation shall be limited to verifying that there is onboard a valid International Ship Security Certificate or a valid Interim International Ship Security Certificate issued under these Regulations, which if valid, shall be accepted, unless there are clear grounds for believing that the ship is not in compliance with the requirements of these Regulations or equivalent legislation while within a foreign port.

(3)When there are such clear grounds referred to in sub- regulation (2), or where no valid Certificate is produced when required, the authorized officers shall impose any one or more control measures listed in subregulation (4) in relation to that ship, and such measures imposed must be proportionate, taking into account the guidance given in the Second Schedule. Such measures include—

(a)inspection of the ship; or

(b)delaying the ship; or

(c)detention of the ship; or

(d)restriction of operations including movement of the ship within the port; or

(e)expulsion of the ship from port.

Provided that such control measures may additionally or alternatively include other lesser administrative or corrective measures.

23. Ships intending to enter a port within Kenya

(1)For the purpose of these Regulations, the Authority shall require ships intending to enter a port within Kenya to provide the information set out in this subregulation to authorized officers to ensure compliance with these Regulations prior to entry into port with the aim of avoiding the need to impose control measures referred to in regulation 21 (4) (a) to (d)—

(a)that the ship possesses a valid Certificate and the name of its issuing authority;

(b)the security level at which the ship is currently operating;

(c)the security level at which the ship operated in any previous port where it has conducted a ship or port interface within the timeframe specified in subregulation (2);

(d)any special or additional security measures that were taken by the ship in any previous port where it has conducted a ship or port interface within the timeframe specified in subregulation (2);

(e)that the appropriate ship security procedures were maintained during any ship to ship activity within the timeframe specified in subregulation (2); or

(f)other practical security related information, taking into account the guidance given in the Second Schedule.

(g)other practical security related information that may assist with ensuring the safety and security of persons, port facilities, ships and other property including—

(i)information contained in the Continuous Synopsis Record;

(ii)location of the ship at the time the report is made;

(iii)expected time of arrival of the ship in port;

(iv)crew list;

(v)general description of cargo aboard the ship;

(vi)passenger list; and

(vii)information required to be carried under regulation 6(1)(e).

(2)The ship shall keep records of the information referred to in subregulation (1) for the last ten calls at port facilities.

(3)If, after receipt of the information described in subregulation (1), an authorized officer has clear grounds for believing that the ship is in non-compliance with the requirements of this regulation, such officer shall attempt to establish communication with and between the ship and the administration in order to rectify the non-compliance, and if such communication does not result in rectification, or if such officer has clear grounds otherwise for believing that the ship is in non-compliance with the requirements of this regulations, such officers may take steps in relation to that ship as provided in subregulation (4) and any such steps taken shall be proportionate, taking into account the guidance given in the Second Schedule.

(4)The steps referred to in subregulation (3) include, inter alia,—

(a)a requirement for the rectification of the non-compliance;

(b)a requirement that the ship proceed to a location specified in Kenya’s territorial sea or internal waters;

(c)inspection of the ship, if the ship is in Kenya’s territorial sea the port of which the ship intends to enter; or

(d)denial of entry into port.

(5)Prior to initiating the steps, set out in subregulation (4) the officer shall inform the master of the ship accordingly, and upon this information the master may withdraw the intention to enter that port, in which cases, this regulation shall not apply.

24. Additional measures

(1)In the event of—

(a)the imposition of a control measure, other than a lesser administrative or corrective measure, referred to in regulation 22 (4); or

(b)any of the steps referred to in regulation 23(4),

the authorized officer shall forthwith inform the administration, in writing, specifying which control measures have been imposed or steps taken and the reasons thereof, and shall also notify the recognized security organization, which issued the International Ship Security Certificate or the Interim International Ship Security Certificate relating to the ship concerned and when any such control measures have been imposed or steps taken.

(2)When entry into port within Kenya is denied or the ship is expelled from such a port, the Authority shall communicate the appropriate facts to the administration of the State of the next port of call, when known, and any other appropriate coastal States ensuring confidentiality and security of such notification.

(3)Denial of entry into port, pursuant to regulations 23(4) (d), or expulsion from port, pursuant to regulation 22(3) (e), shall only be imposed where the authorized officer has clear grounds to believe that the ship poses an immediate threat to the security or safety of persons, or of ships or other property and there are no other appropriate means for removing that threat.

(4)The control measures referred to in regulation 22(3) and the steps referred to in regulation 23(4) shall only be imposed, pursuant to this regulation, until the non-compliance giving rise to the control measures or steps has been corrected to the satisfaction of the Authority, taking into account actions proposed by the ship or the Authority, if any.

(5)When the Authority exercises control measures in respect of a ship under these regulations, necessary access to the ship shall not be prevented for emergency or humanitarian reasons and for security purposes.

Ship Security Personnel

25. Company security officer

(1)A company shall designate a suitably qualified person to be a company security officer.

(2)A person designated as a company security officer may act as the company security officer for one or more ships, depending on the number or types of ships a company operates provided it is clearly identified for which ships the company security officer is responsible for.

(3)A company may, depending on the number or types of ships they operate, designate several persons as company security officers provided it is clearly identified for which ships each company security officer is responsible for.

(4)In addition to those specified elsewhere in these Regulations, the duties and responsibilities of the company security officer shall include, inter alia,—

(a)advising the level of threats likely to be encountered by the ship, using appropriate security assessments and other relevant information;

(b)ensuring that ship security assessments are carried out;

(c)ensuring the development, the submission for approval, and thereafter the implementation and maintenance of the ship security plan;

(d)ensuring that the ship security plan is modified, as appropriate, to correct deficiencies and satisfy the security requirements of the individual ship;

(e)arranging for internal audits and reviews of security activities;

(f)arranging for the initial and subsequent verifications of the ship by the administration or the recognized security organization;

(g)ensuring that deficiencies and non-conformities identified during internal audits, periodic reviews, security inspections and verifications of compliance are promptly addressed and dealt with;

(h)enhancing security awareness and vigilance;

(i)ensuring adequate training for personnel responsible for the security of the ship;

(j)ensuring effective communication and co-operation between the ship security officer and the relevant port facility security officers;

(k)ensuring consistency between security requirements and safety requirements;

(l)ensuring that, if sister-ship or fleet security plans are used, the plan for each ship reflects the ship-specific information accurately; and

(m)ensuring that any alternative or equivalent arrangements approved for a particular ship or group of ships are implemented and maintained.

26. Ship security officer

(1)A company shall designate a ship security officer on each of its ships.

(2)In addition to duties those specified elsewhere in these Regulations, the duties and responsibilities of a ship security officer shall include, inter alia,—

(a)undertaking regular security inspections of the ship to ensure that appropriate security measures are maintained;

(b)maintaining and supervising the implementation of the ship security plan, including any amendments to the plan;

(c)co-ordinating the security aspects of the handling of cargo and ship's stores with other shipboard personnel and with the relevant port facility security officers;

(d)proposing modifications to the ship security plan;

(e)reporting to the company security officer any deficiencies and non-conformities identified during internal audits, periodic reviews, security inspections and verifications of compliance and implementing any corrective actions;

(f)enhancing security awareness and vigilance on board;

(g)ensuring that adequate training has been provided to shipboard personnel, as appropriate;

(h)reporting all security incidents;

(i)co-ordinating implementation of the ship security plan with the company security officer and the relevant port facility security officer; and

(j)ensuring that security equipment is properly operated, tested, calibrated and maintained, if any.

27. Records

(1)The master shall keep on board the ship records of the following activities addressed in the ship security plan for at least twelve months—

(a)training, drills and exercises;

(b)security threats and security incidents;

(c)breaches of security;

(d)changes in security level;

(e)communications relating to the direct security of the ship such as specific threats to the ship or to port facilities the ship is, or has been;

(f)internal audits and reviews of security activities;

(g)periodic review of the ship security assessment;

(h)periodic review of the ship security plan;

(i)implementation of any amendments to the plan; and

(j)maintenance, calibration and testing of any security equipment provided on board including testing of the ship security alert system.

(2)The records shall be kept in the working language of the ship, and where that language is not English a translation into English shall be included.

(3)The records may be kept in an electronic format, in which case, they shall be protected by procedures aimed at preventing their unauthorized deletion, destruction or amendment.

(4)All records shall be protected from unauthorized access or disclosure.

(5)If a master of a ship fails to maintain the security records required under subregulation (1), he commits an offence and shall on conviction be liable to a fine not exceeding a sum of Kenya Shillings two hundred thousand or imprisonment for a term not exceeding six months, or to both such fine or imprisonment.

28. Training, drills and exercises on ship security

(1)The company security officer and appropriate shore-based personnel shall have knowledge and have received training, taking into account the guidance given in the Second Schedule.

(2)The ship security officer shall have knowledge and have received training, taking into account the guidance given in in the Second Schedule.

(3)Shipboard personnel having specific security duties and responsibilities shall understand their responsibilities for ship security as described in the ship security plan and shall have sufficient knowledge and ability to perform their assigned duties, taking into account the guidance given in in the Second Schedule.

(4)To ensure the effective implementation of the ship security plan, drills shall be carried out at appropriate intervals taking into account the ship type, ship personnel changes, port facilities to be visited, other relevant circumstances and guidance given in in the Second Schedule.

(5)The company security officer shall ensure the effective coordination and implementation of ship security plans by participating in exercises at appropriate intervals, taking into account the guidance given in in the Second Schedule.

(6)Failure by a master of a ship to conduct scheduled security drills required under subregulation (4) shall be an administrative violation punishable by a fine of a sum of Kenya shillings ten thousand for each day of the violation and the seizure and detention of the offending ship until the accruing fine is paid in full.

Ship Security Alert System

29. Ship security alert system

(1)All ships of the following descriptions shall be provided with a ship security alert system—

(a)ships constructed on or after the 1st July, 2004;

(b)passenger ships, including high-speed passenger craft, constructed before the 1st July, 2004, not later than the first survey of the radio installation after the 1st July, 2004;

(c)oil tankers, chemical tankers, gas carriers, bulk carriers and high speed craft, of 500 gross tonnage and upwards constructed before the 1st July, 2004, not later than the first survey of the radio installation after the 1st July, 2004;

(d)cargo ships of 500 tons and upwards and mobile offshore drilling units constructed before the 1st July, 2004, later than the first survey of the radio installation after 1st July, 2006; and

(e)other cargo ships of more than 100 gross tonnage but less than 500 gross tonnage.

(2)The security alert system, when activated, shall be so as—

(a)to initiate and transmit a ship-to-shore security alert to a competent authority designated by the Director-General, which in the circumstances may include the company, identifying the ship, its location and indicating that the security of the ship is under threat or it has been compromised;

(b)not to send any security alert to any other ships;

(c)not to raise any alarm on-board the ship; and

(d)to continue the ship security alert until deactivated or reset.

(3)The security alert system shall—

(a)be capable of being activated from the navigation bridge and in at least one other location; and

(b)conform to performance standards not inferior to those adopted by the Organization.

(4)The ship security alert system activations points shall be designed so as to prevent the inadvertent initiation of the ship security alert.

(5)The requirement for a ship security alert system may be complied with by using the radio installation fitted, for compliance with the regulations relating to radio communication, provided that-

(a)the radio system used for a ship security alert system shall comply with all the requirements of subregulations (2) and (3);

(b)the activation points of a ship security alert system shall operate independently of the radio system so that transmission of a security alert does not require any adjustment of the radio system, such as the tuning of channels or the setting of modes or menu options;

(c)the operation of a ship security alert system shall not impair the functionality of the Global Maritime Distress and Safety System (GMDSS) installation; and

(d)if the ship security alert system is powered from the vessel's main source of electrical power, it shall also be possible to operate the system from another source of power.

(6)When the Director-General receives notification of a ship security alert relating to a Kenyan ship he shall immediately notify the State or States in the vicinity of which the ship is presently operating.

(7)When the Director-General receives notification of a ship security alert from a ship which is not entitled to fly the Kenyan flag he shall immediately notify the relevant administration and, if appropriate, the State or States in the vicinity of which the ship is presently operating.

(8)Any contravention of subregulations (1) to (5) of this regulation shall be an offence by both the company and the master.

(9)Failure by the owner of a ship to which subregulation (1) applies to install and maintain a Ship Security Alert System shall be an administrative action punishable by a penalty of a sum of Kenya Shillings ten thousand for each day of violation and the seizure and detention of the ship by an authorized officer of until a Ship Security Alarm System is installed on board the ship

30. Automatic identification System and Long Range Identification and Tracking System

(1)Ships of more than 50 tons but less than 300 tons and operated exclusively within Kenyan water, irrespective of the date of construction, shall be fitted with an automatic identification system as specified in safety of navigation Regulations made pursuant to section 227 of the Act.

(2)Failure by the owner of a ship to which subregulation (1) apply to install and maintain an Automatic Identification System shall be an administrative action punishable by a penalty of a sum of Kenya Shillings ten thousand for each day of violation and the seizure and detention of the ship by an authorized officer of until an Automatic Identification System is installed on board the ship.

(3)Ships of more than 500 tons, irrespective of the date of construction shall be fitted with long-range identification and tracking system.

(4)Failure by the owner of a ship to which subregulation (3) apply to install and maintain a Long Range Identification and Tracking System shall be an administrative action punishable by a penalty of a sum of Kenya Shillings twenty thousand for each day of violation and the seizure and detention of the ship by an authorized officer of until an Long Range Identification and Tracking System is installed on board the ship.

Part IV – VERIFICATION AND CERTIFICATION FOR SHIPS

31. Verifications

(1)Each ship to which these Regulations apply shall be subject to the following verifications—

(a)an initial verification before the ship is put in service or before the certificate required under regulation 33(1) is issued for the first time, which shall include a complete verification of its security system and any associated security equipment covered by the relevant provisions of these Regulations and the approved ship security plan, which shall ensure that the security system and any associated security equipment of the ship fully complies with the applicable requirements of Part III of these Regulations, is in satisfactory condition and fit for the service for which the ship is intended;

(b)an annual verification which shall ensure that the security system and any associated security equipment of the ship fully complies with the applicable requirements of Part III and the approved ship security plan, is in satisfactory condition and fit for the service for which the ship is intended;

(c)If only one intermediate verification is carried out it shall take place between the second and third anniversary date of the certificate, and shall include inspection of the security system and any associated security equipment of the ship to ensure that it remains satisfactory for the service for which the ship is intended. Such intermediate verification shall be endorsed on the certificate;

(d)renewal verification for upon the expiry of the International Ship Security Certificate issued under these regulations; and

(e)any additional verifications as determined by the Authority.

(2)The verifications of ships shall be carried out by authorized officers, but the Authority however, entrust the verifications to a recognized security organization.

(3)Failure to meet the verification requirements under subregulation (1) by any Kenyan ship shall be an administrative violation punishable by revocation of the International Ship Security Certificate.

(4)Failure to meet the verification requirements under sub- regulation (1) by foreign ships while in Kenyan ports shall be an administrative violation punishable by seizure and detention of the ship until the conduct of the relevant verification and endorsement of the International Ship Security Plan by the flag State or its recognized organization.

32. Standard of verification

The ship security system and any associated security equipment of the ship after verification shall be maintained to conform with the provisions of these regulations and the approved ship security plan, and after any verification under regulation 33(1) has been completed, no changes shall be made in the security system or any associated security equipment or the approved ship security plan without the approval of the Authority.

33. Issue and endorsement of certificate

(1)An International Ship Security Certificate (ISSC) shall be issued after the initial or annual verification in accordance with the provisions of regulation 31(1) (a) or (d) respectively.

(2)An International Ship Security Certificate (ISSC) shall be issued or endorsed either by the Authority or by a recognized security organization acting on behalf of the Authority.

(3)The Authority may, at the request of an administration, cause the ship to be verified and, if satisfied that the provisions of Part III are complied with, shall issue or authorize the issuance of an ISSC to the ship and, where appropriate, endorse or authorize the endorsement of that certificate on the ship, in accordance with these regulations, and a copy of the certificate and a copy of the verification report shall be transmitted as soon as possible to the requesting administration.

(4)The Authority may request an administration to conduct a verification of a Kenyan ship, and, if that administration is satisfied that the provisions of the relevant equivalent legislation on ship security have been complied with, issue or authorize the issuance of an ISSC to the ship and, where appropriate, endorse or authorize the endorsement of that certificate on the ship, in accordance with the said equivalent legislation, and a copy of the certificate and a copy of the verification report shall be transmitted as soon as possible to the Authority.

(5)A certificate so issued under subregulation (3) or (4) shall contain a statement to the effect that it has been issued at the request of the administration or the Authority and it shall have the same force and receive the same recognition as the certificate issued by the administration or the Authority.

34. Form and Validity of ISSC

An ISSC issued under this Part shall be in the form set out as Form 1 in the First Schedule and shall be valid for a period of five years.

35. Calculating the duration of the validity of an ISSC

(1)When the renewal verification is completed within three months before the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing certificate.

(2)When the renewal verification is completed after the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing certificate.

(3)When the renewal verification is completed more than three months before the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of completion of the renewal verification.

(4)Where a certificate is issued for a period of less than five years, the Authority may extend the validity of the certificate beyond the expiry date to the maximum period specified in subregulation (1), provided that the verifications referred to in regulation 31 applicable when a certificate is issued for a period of five years are carried out as appropriate.

(5)Where a renewal verification has been completed and a new certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the Authority or recognized security organization acting on behalf of the Authority may endorse the existing certificate and such a certificate shall be accepted as valid for a further period which shall not exceed three months from the expiry date.

(6)Where a ship at the time when a certificate expires is not in a port in which it is to be verified, the Authority may extend the period of validity of the certificate but this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so.

(7)No certificate shall be extended for a period longer than three months, and the ship to which an extension is granted shall not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new certificate, and when the renewal verification is completed, the new certificate shall be valid to a date not exceeding five years from the expiry date of the existing certificate before the extension was granted.

(8)A certificate issued to a ship engaged on short voyages which has not been extended under the foregoing provisions of this regulation may be extended by the Authority for a grace period of up to one month from the date of expiry stated on it, and when the renewal verification is completed, the new certificate shall be valid to a date not exceeding five years from the date of expiry of the existing certificate before the renewal was granted.

36. Calculating period of validity on the basis of intermediate verifications

When an intermediate verification is completed before the period specified in regulation 31(1)(c)—

(a)the expiry date shown on the certificate shall be amended by endorsement to a date which shall not be more than three years later than the date on which the intermediate verification was completed; and

(b)the expiry date may remain unchanged, provided one or more additional verifications are carried out so that the maximum intervals between the verifications prescribed by regulation 35 are not exceeded.

37. Cancellation of ISSC

A certificate issued under regulation 33 (1) shall cease to be valid if—

(a)the relevant verifications are not completed within the periods specified under regulation 31(1);

(b)the certificate is not endorsed in accordance with regulation 33, where applicable;

(c)a company assumes the responsibility for the operation of a ship not previously operated by that company;

(d)the ship is transferred to the flag of another State;

(e)where the ship services a regulated ship that does not possess a valid ISSC.

38. Obligation of the companies upon transfer of a ship’s flag on ISSC

When a company assumes responsibility for the operation of a ship not previously operated by it, the previous company shall as soon as possible, transmit to the company copies of any information related to the ISSC to facilitate the relevant verification described in regulation 31(1).

39. Interim certification

(1)The certificate specified in regulation 33 shall be issued only when the Authority or recognized security organization is satisfied that the ship complies with the provisions of Part III—

(a)a ship without a certificate, on delivery or prior to its entry or re-entry into service;

(b)transfer of a ship from the flag of an administration to the Kenyan flag;

(c)transfer of a ship from the flag of a State which is not a party to the Safety Convention to the Kenyan flag; or

(d)when a company assumes the responsibility for the operation of a ship not previously operated by that Company, until the certificate is issued, the Authority may issue an Interim ISSC which shall be in the form set out as Form 2 in the First Schedule.

(2)An Interim ISSC shall only be issued when the Authority has verified that—

(a)the ship security assessment has been completed;

(b)a copy of the ship security plan provided on board has been submitted for review and approval, and is being implemented on the ship;

(c)the ship is provided with a ship security alert system;

(d)the company security officer has—

(i)ensured—

(aa)the review of the ship security plan for compliance with these Regulations;

(bb)that the plan has been submitted for approval; and

(cc)that the plan is being implemented on the ship; and

(ii)established the necessary arrangements, including arrangements for drills, exercises and internal audits, through which the company security officer is satisfied that the ship will successfully complete the required verifications within 6 months;

(e)arrangements have been made for carrying out the required verifications under regulation 31(1);

(f)the master, the ship's security officer and other ship's personnel with specific security duties are familiar with their duties and responsibilities as specified in these Regulations and with the relevant provisions of the ship security plan placed on board, and have been provided such information in the working language of the ship's personnel or languages understood by them; and

(g)the ship security officer meets the requirements specified in these Regulations.

40. Duration and validity of an Interim ISSC

(1)An Interim ISSC shall be valid for 3 months, or until the certificate required by regulation 33 (1) is issued, whichever comes first, and may not be extended.

(2)The Authority or a recognized security organization shall not cause a subsequent, consecutive Interim International Ship Security Certificate to be issued to a ship if, in the judgment of the Authority or the authorized recognized security organization, one of the purposes of the ship or a company in requesting such certificate is to avoid full compliance with these Regulations beyond the period of the initial interim certificate.

Part V – PORT FACILITY SECURITY

General Provisions

41. Application of Part

This Part shall only apply to port facilities referred to in regulation 3(2).

42. Port facility security

(1)All port facilities within Kenya shall be required to act upon the security levels set out in regulation 44, 45 and 46.

(2)Security measures and procedures shall be applied at the port facility in such a manner as to cause minimum interference with, or delay to, passengers, ship, ship's personnel and visitors, goods and services.

43. Port security levels

There shall be designated three security levels set out in regulation 44, 45 and 46 at all ports within Kenya, relevant to the prevailing security situations.

44. Port facility security level 1

At security level 1, the following activities shall be carried out through appropriate measures in order to identify and take preventive measures against security incidents—

(a)ensuring the performance of all port facility security duties;

(b)controlling access to the port facility;

(c)monitoring of the port facility, including anchoring and berthing area;

(d)monitoring restricted areas to ensure that only authorized persons have access;

(e)supervising the handling of cargo;

(f)supervising the handling of ship's stores; and

(g)ensuring that security communication is readily available.

45. Port facility security level 2

At security level 2, the additional protective measures, specified in the port facility security plan, shall be implemented for each activity detailed in regulation 48 taking into account the guidance given in the Second Schedule.

46. Port Facility Security level 3

(1)At security level 3, further specific protective measures, specified in the port facility security plan, shall be implemented for each activity detailed in regulation 48 taking into account the guidance given in the Second Schedule.

(2)In addition, to subregulation (1), at security level 3, port facilities shall be required to respond to and implement any security instructions given by the Authority.

(3)When a port facility security officer is advised that a ship encounters difficulties in complying with the requirements of this Part or in implementing the appropriate measures and procedures as detailed in the ship security plan, and in the case of security level 3 following any security instructions given by the Authority, the port facility security officer and ship security officer shall liaise and co-ordinate appropriate actions.

(4)When a port facility security officer is advised that a ship is at a security level which is higher than that of the port facility, the port facility security officer shall report the matter to the Authority and shall liaise with the ship security officer and coordinate appropriate actions, if necessary.

Port Facility Security Assessment and Port Facility Security Plans

47. Port facility security assessment

(1)Every port facility in Kenya shall ensure that a port facility security assessment is conducted and a port facility security plan developed and updated whenever it is necessary.

(2)The port facility security assessment shall be carried out by the Authority.

(3)The Authority may authorize a recognized security organization to carry out the port facility security assessment of a specific port facility located within Kenya.

(4)When the port facility security assessment has been carried out by a recognized security organization, the security assessment shall be reviewed and approved for compliance with these Regulations by the Authority.

(5)The persons carrying out the assessment shall be required to possess appropriate skills to evaluate the security of the port facility in accordance with this section, taking into account the provisions of the Second Schedule.

(6)The port facility security assessments shall periodically be reviewed and updated, taking account of changing threats and minor changes in the port facility and shall always be reviewed and updated when major changes to the port facility take place.

(7)The port facility security assessment shall include, inter alia, the following elements—

(a)identification and evaluation of important infrastructure it is important to protect;

(b)identification of possible threats to the infrastructure and the likelihood of their occurrence, in order to establish and prioritize security measures;

(c)identification, selection and prioritization of counter measures and procedural changes and their level of effectiveness in reducing vulnerability; and

(d)identification of security weaknesses, including human factors, infrastructure, policies and procedures.

(8)The Authority may allow a port facility security assessment to cover more than one port facility if the operator, location, operation, equipment, and design of these port facilities are similar, and in the event the Authority allows such an arrangement, the Director-General shall communicate to the organization particulars thereof.

(9)Upon completion of the port facility security assessment, the port facility security officer shall prepare a report consisting of a summary of how the assessment was conducted, a description of each vulnerability found during the assessment and a description of counter measures that could be used to address each vulnerability, and such report shall be protected from unauthorized access or disclosure.

48. Port facility security plan

(1)A port facility security plan shall be developed and maintained, on the basis of a port facility security assessment, for each port facility, adequate for the ship or port interface. The plan shall make provisions for the three security levels, as defined in this Part.

(2)Subject to the provisions of subregulation (4), a recognized security organization may prepare the port facility security plan of a specific port facility.

(3)The port facility security plan shall be approved by the Authority.

(4)A port facility security plan shall be developed taking into account the guidance given in the Second Schedule and shall be in the English Language.

(5)The port facility security plan shall include, inter alia,—

(a)measures designed to prevent weapons or any other dangerous substances and devices intended for use against persons, ships or ports and the carriage of which is not authorized, from being introduced into the port facility or on board a ship;

(b)measures designed to prevent unauthorized access to the port facility, to ships moored at the facility, and to restricted areas of the facility;

(c)measures to detect and deter threats to the port facility and shipping as a result of transport of containerized cargo;

(d)procedures for responding to security threats or breaches of security, including provisions for maintaining critical operations of the port facility or ship or port interface;

(e)the restricted areas within the port facility and measures for monitoring the security of the port facility;

(f)procedures for responding to any security instructions the Authority may issue at security level 2 and 3;

(g)procedures for evacuation in case of security threats or breaches of security;

(h)procedures for provision of emergency services;

(i)duties of port facility personnel assigned security responsibilities and of other facility personnel on security aspects;

(j)procedures for interfacing with ship security activities;

(k)procedures for the periodic review of the plan and updating;

(l)procedures for reporting security incidents;

(m)identification of the port facility security officer including twenty four hour contact details;

(n)measures to ensure the security of the information contained in the plan;

(o)measures designed to ensure effective security of cargo and the cargo handling equipment at the port facility;

(p)measures designed to ensure effective security of passengers, screening of passengers baggage and presentation of valid travel documents by passengers;

(q)procedures for auditing the port facility security plan;

(r)procedures for responding in case the ship security alert system of a ship at the port facility has been activated;

(s)procedures for facilitating shore leave for ship's personnel or personnel changes, as well as access of visitors to the ship including representatives of seafarers' welfare and labour organizations;

(t)procedures for training, drills and exercises on port facility security personnel; and

(u)procedures for vetting of port facility security personnel and personnel with designated security duties within the port facility.

(6)Personnel conducting internal audits of the security activities specified in the plan or evaluating its implementation shall be independent of the activities being audited unless this is impracticable due to the size and the nature of the port facility.

(7)The port facility security plan may be combined with, or be part of, the port security plan or any other port emergency plan or plans.

(8)The port facility security plan shall be combined with the security plans of all the container freight stations serving such port facility.

(9)The Authority shall determine which changes to the port facility security plan shall not be implemented unless the relevant amendments to the plan are duly approved.

(10)The plan may be kept in an electronic format. In such a case, it shall be protected by procedures aimed at preventing its unauthorized deletion, destruction or amendment.

(11)The plan shall be protected from unauthorized access or disclosure.

(12)The Authority may allow a port facility security plan to cover more than one port facility if the operator, location, operation, equipment, and design of these port facilities are similar, and where the Authority allows such an arrangement, the Director-General shall communicate to the organization particulars thereof.

49. Port facility security audit

(1)The Authority shall conduct the following audits of the port facility security system to verify its compliance with the provisions of these Regulations—

(a)an initial audit for the purposes of approval of the port facility security plan and issuance of the statement of compliance referred to in regulation 50;

(b)annual port facility security system audit on every anniversary date of the statement of compliance;

(c)special port facility security audits, thus—

(i)audits conducted upon a major review of the port facility security system; and

(ii)audits conducted as a result of a port security level 2 or 3 incident; and

(d)a renewal audit on expiry of the validity of the statement of compliance.

(2)The Authority shall transmit the audit report including any recommendations to the port facility operator and the port facility security officer.

(3)The port facility security officer shall keep a copy of the port audit report for a period of not less than five years.

(4)Failure by a port facility to meet audit requirements shall be an administrative violation punishable by a fine of Kenya Shilling one hundred thousand for each day of violation and revocation of the port facility statement of compliance if the audit deficiencies are not remedied within twenty one dates of the relevant audit.

50. Issue and form of a port facility statement of compliance

The Authority shall issue to a port facility operator a statement of compliance upon the initial audit of the port facility security system and approval of the port facility security plan. The statement of compliance issued under this regulation shall be in the form set out in Form 3 in the First Schedule.

51. Validity of the port facility statement of compliance

The statement of compliance issued under regulation 50 shall be valid for a period of five years.

52. Endorsement of the port facility statement of compliance

The Authority shall endorse the statement of compliance after every annual port facility security system audit under regulation 49(1) (b), if the port facility security system is found to comply with the relevant provisions of these Regulations.

53. Cancellation of Statement of Compliance

A statement of compliance issued under regulation 50 shall cease to be valid if—(a)the port facility operator fails to close any recommendations made by the Authority following a port facility security system audit for a period of fourteen days from the date of receipt of the audit report, provided that the Director-General may grant an extension of the period in this paragraph, if in his opinion, the recommendations cannot be reasonably closed within a period of the said fourteen days;(b)the statement of compliance is not endorsed in accordance with regulation 52, where applicable; and(c)there are changes in the ownership or operational control of the port facility.

Port Facility Security Personnel

54. Port facility security officer

(1)A port facility security officer shall be designated for each port facility, provided that a person may be designated as the port facility security officer for one or more port facilities subject to regulation 48(12).

(2)In addition to the duties specified elsewhere in these Regulations, the duties and responsibilities of a port facility security officer shall include, inter alia,—

(a)conducting an initial comprehensive security survey of the port facility taking into account the relevant port facility security assessment;

(b)ensuring the development and maintenance of the port facility security plan;

(c)implementing the port facility security plan;

(d)undertaking regular security inspections of the port facility to ensure the continuation of appropriate security measures;

(e)recommending and incorporating, as appropriate, modifications to the port facility security plan in order to correct deficiencies and to update the plan to take into account of relevant changes to the port facility;

(f)enhancing security awareness and vigilance of the port facility personnel;

(g)ensuring adequate training has been provided to personnel responsible for the security of the port facility, including privately contracted security personnel;

(h)reporting to the Authority and to other relevant authorities and maintaining records of all occurrences of security incidents;

(i)coordinating implementation of the port facility security plan with the appropriate company and ship security officer;

(j)coordinating with security services, as appropriate;

(k)reporting to the Authority every security incident including measures taken to address such an incident;

(l)ensuring that standards for personnel responsible for security of the port facility are met in accordance with regulation 56;

(m)ensuring that security equipment is properly operated, tested, calibrated and maintained, if any;

(n)assisting ship security officers in confirming the identity of those seeking to board the ship when requested; and

(o)conduct training, drills and exercises for port facility security personnel.

(3)The port facility operator shall give the port facility security officer the necessary support to fulfil the duties and responsibilities imposed on him under these Regulations.

55. Training, drills and exercises on port facility security

(1)The port facility security officer and appropriate port facility security personnel shall be required to possess knowledge and training, in accordance with the Second Schedule.

(2)Port facility personnel having specific security duties shall be required to understand their duties and responsibilities for port facility security, as described in the port facility security plan and shall have sufficient knowledge and ability to perform their assigned duties.

(3)To ensure the effective implementation of the port facility security plan, drills shall be carried out at appropriate intervals taking into account the types of operation of the port facility, port facility personnel changes, the type of ships the port facility is serving and other relevant circumstances as set out in the Second Schedule.

(4)The port facility security officer shall ensure the effective coordination and implementation of the port facility security plan by participating in drills and exercises at appropriate intervals.

(5)Failure by a port facility operator to which this Part applies to conduct scheduled port security training, exercises and drills required under subregulation (3) shall be an administrative violation punishable by a penalty of a sum of Kenya shillings ten thousand for each day of the violation.

56. Standards of training for port facility security officers and other security personnel

(1)Every port facility operator shall ensure that all personnel with designated security duties are qualified in accordance with Paragraph 18.1 of the Second Schedule.

(2)Every port facility operator shall submit to the Authority evidence of training and certification of all personnel with designated security duties at the port facility, obtained from training institutions duly approved or recognized by the Authority for review and approval for purposes of issuance of the statement of compliance.

Part VI – DECLARATION OF SECURITY INCLUDING NOTIFICATION, DECLARATION AND REVOCATION OF MARITIME SECURITY LEVELS 2 OR 3

57. Declarations of Security

(1)The Authority shall determine when a declaration of security is required by assessing the risk the ship or port interface or ship-to-ship activity poses to persons, property or the environment.

(2)A ship may request completion of a declaration of security when—

(a)the ship is operating at a higher security level than the port facility or another ship it is interfacing with;

(b)there is an agreement on a declaration of security between the Authority and any administration covering certain international voyages or specific ships on those voyages;

(c)there has been a security threat or a security incident involving the ship or involving the port facility, as applicable;

(d)the ship is at a port which is not required to have and implement an approved port facility security plan; or

(e)the ship is conducting ship-to-ship activities with another ship not required to have and implement an approved ship security plan.

(3)Requests for the completion of a declaration of security, under this regulation, shall be acknowledged by the applicable port facility or ship.

(4)The declaration of security shall be completed by-

(a)the master or the ship or the ship’s security officer on behalf of the ship; and

(b)if appropriate, the port facility security officer or, if the Authority determines otherwise, by any other body responsible for shore-side security, on behalf of the port facility.

(5)Any declaration of security signed in respect of a port facility or ship shall address the security requirements that are shared between the port facility and a ship, between ships or an offshore facility interfacing with it, state the responsibilities of each and be completed and signed before the interface starts.

58. Form of Declaration of Security

(1)A declaration of security shall—

(a)be in English;

(b)be in the relevant form set out as Form 4A and Form 4B in the First Schedule for declaration of security between a ship and port facility and between ships respectively;

(c)be completed if there is an interface with a vessel or offshore facility that—

(i)is operating at a lower maritime security level than the port facility;

(ii)is not required to have a security plan; or

(iii)has experienced a security threat, security breach or security incident.

(2)A new declaration of security shall be completed if there is a change in maritime security level.

(3)At maritime security level 1, if the port facility interfaces with a ship or offshore facility that is carrying certain dangerous cargo in bulk or is to be loaded with certain dangerous cargo in bulk, the port facility security officer shall complete and sign a declaration of security.

(4)The port facility security officer shall complete and sign a declaration of security if he identifies a potential security threat at the ship or port facility interface.

(5)At maritime security level l and maritime security level 2 the port facility security officer may implement a continuing declaration of security for a ship or offshore facility with which the port facility frequently interfaces if the effective period of the declaration does not exceed—

(a)ninety days for maritime security level 1; and

(b)thirty days for maritime security level 2.

59. Director-General may declare maritime security level 2 or 3

(1)The Director-General may, in writing, declare that maritime security level 2 or 3 shall be in force for one or more of the following as specified in the declaration—

(a)a port facility;

(b)an area within a port facility;

(c)a Kenyan ship;

(d)a port service provider; and

(e)operations conducted by a port service provider within, or in connection with, a port facility.

(2)The Director-General may in writing, declare that maritime security level 2 or 3 is in force for a foreign regulated ship.

(3)The Director-General shall not make a declaration under sub- regulation (1) or (2) unless it is appropriate for a higher level of security to be put into place for the port facility, ship, area or port service provider concerned because a heightened risk of unlawful interference with maritime transport has been identified.

60. Notifying declarations covering ports

(1)Whenever the Director-General declares that a maritime security level is in force for a port facility, he shall within two hours of such declaration, notify—

(a)the port facility operator; and

(b)each port service provider who is required to have a security plan and who—

(i)controls an area within the boundaries of the port facility; or

(ii)operates within the boundaries of the port facility.

(2)Whenever the Director-General gives a port facility operator notice of a declaration under subregulation (1), the port facility operator shall within two hours of receipt of the notification of the Director General, give notice of the declaration to—

(a)every port service provider who is covered by the port facility operator's security plan and who—

(i)controls an area within the boundaries of the port;

(ii)operates within the boundaries of the port; and

(b)the master of every ship to which these regulations apply that is within the port facility or intending to enter the port facility.

(3)If a port facility operator fails to comply with subregulation(2) the port facility operator commits an offence and shall on conviction be liable to a penalty not exceeding a sum of five million Shillings or to imprisonment for a term not exceeding six months, or to both such fine and imprisonment.

61. Notifying ships

(1)Whenever the Director-General declares that maritime security level 2 or 3 is in force for a ship to which these regulations apply, the Director-General shall, within two hour of such declaration, notify—

(a)the ship owner or agent;

(b)the master of the ship; and

(c)if the ship is in port, the port facility operator.

(2)Where the master of ship fails to comply with security directions issued by the Director General under this regulation within two hours of receipt of such directions commits an offence and shall on conviction be liable to a fine not exceeding a sum of one million shillings or imprisonment for a term not exceeding three months, or to both such fine and imprisonment.

62. Notifying declarations covering areas within ports

(1)Whenever the Director-General declares that a maritime security level 2 or 3 is in force for an area within a Notifying declarations port facility, he shall, as soon as practicable, notify—

(a)the port service provider who controls the area; and

(b)if the port service provider is not the port facility operator, also the port facility operator.

(2)Where a port facility operator fails to comply with security directions issued by the Director-General under this regulation it shall be an administrative violation punishable by a penalty of Kenya shillings one million and suspension of the service providers’ operation until the fine is paid in full.

63. Notifying revocations

(1)Whenever—

(a)the Director-General has notified a person in terms of regulations 60, 61 and 62 that a maritime security level 2 or 3 is in force; and

(b)the Director-General revokes the declaration concerned;

the Director-General shall, as soon as practicable, notify all persons concerned of the revocation.

(2)Whenever—

(a)a port facility operator has notified a person in terms of regulation 60(2) that a maritime security level is in force; and

(b)the Director-General revokes the declaration concerned, the facility operator shall, within twelve hours of receipt of such notification of revocation of a security level 2 or 3 declaration, notify all persons concerned of the revocation.

(3)If a port facility operator fails to comply with sub- regulation (2) the port facility operator commits an offence and shall be liable upon conviction to a fine of a sum not exceeding of two hundred and fifty thousand shillings or imprisonment for a term not exceeding three months, or to both such fine and imprisonment.

64. Communicating declarations and revocations

(1)The Director-General may notify a person of a declaration under regulation 60, 61 and 62 by facsimile, courier or electronic mail.

(2)A port facility operator required to give notice of a declaration under regulation 60 (2) may do so by facsimile, courier or electronic mail.

(3)The Director-General may also notify a person of the revocation of a declaration under regulation 63(1) by facsimile, courier or electronic mail.

(4)A port facility operator required to notify a person of the revocation of a declaration under regulation 63(2) may do so by facsimile, courier or electronic mail.

65. Requirement for information sharing and cooperation

The National Intelligence Service or other relevant security agencies shall inform the Authority of any threats requiring a declaration of security levels 2 and 3 within a port facility. The Director-General shall, upon receiving such information and prior to making a declaration under regulations 61 or 62 make appropriate consultations with the port facility operator.

66. Coordination of security procedures during interfacing

(1)The port facility operator shall ensure that the implementation of the port facility security procedures is coordinated with ships and offshore facilities interfacing with the port facility.

(2)At maritime security level 1, if the port facility interfaces with a ship or offshore facility that is carrying certain dangerous cargo in bulk or is to be loaded with certain dangerous cargo in bulk, the port facility security officer shall complete and sign a declaration of security.

(3)The port facility security officer shall complete and sign a declaration of security if he identifies an interface that is of special concern.

(4)At maritime security level l and maritime security level 2, the port facility security officer may implement a continuing declaration of security for a ship or offshore facility with which the port facility frequently interfaces if the effective period of the declaration does not exceed—

(a)ninety days for maritime security level 1; and

(b)thirty days for maritime security level 2.

67. Port facility operator-further duties

The port facility operator shall, further to the duties referred to in regulation 10(1) —

(a)establish an administrative and organizational structure for security in the port facility;

(b)provide every officer who has security responsibilities in the port facility with the support needed to fulfill those responsibilities and identify how those officers can be contacted;

(c)ensure that the port facility operates in compliance with its approved port facility security plan;

(d)provide to the Director-General the information necessary for the conduct of a security assessment of the port facility in accordance with regulation 47;

(e)ensure that a procedure for the coordination of security issues between the port facility and ships and offshore facilities, including the signature of a declaration of security, is established;

(f)report any significant security threat, breach of security or security incident to the Director-General; and

(g)ensure that the port facility security officer develops the port facility security plan.

68. Record keeping by the port facility security officer

(1)The port facility security officer shall keep records of—

(a)security training, including the date, duration and description and the names of the participants;

(b)security drills and exercises, including the date and description, the names of the participants and any best practices or lessons learned that might improve the port facility security plan;

(c)security threats, breaches of security and security incidents including the date, time, location, description and response and the identity of the person to whom it was reported;

(d)changes in the maritime security level, including the date, the time that notification was received and the time of compliance with the security requirements of the new level;

(e)maintenance, calibration and testing of equipment used in security, including the date and time of the activity and the specific equipment involved;

(f)declarations of security signed in respect of the port facility;

(g)all audits and reviews of security activities;

(h)each periodic review of the port facility security assessment, including the date on which it was conducted and the findings of the review;

(i)each periodic review of the port facility security plan, including the date on which it was conducted, the findings of the review and any amendments to the port facility security plan that are recommended;

(j)each amendment to the port facility security plan including the date of approval and implementation; and

(k)a list of the names of the persons who have security responsibilities.

(2)Records in respect of equipment that is not used exclusively for security may be kept separately from the records in respect of the equipment used exclusively for security if—

(a)the port facility security officer documents, in written or electronic form, their existence and the location and name of the person responsible for their maintenance; and

(b)they are accessible by the port facility security officer.

(3)The port facility security officer shall ensure that the records are kept for at least five years after they are made and make them available to the Authority on request.

(4)If a port facility security officer fails to maintain the security records required under subregulation (1) he commits an offence and shall on conviction be liable to a fine not exceeding a sum of Kenya Shillings two hundred and fifty thousand or imprisonment for a term not exceeding twelve months, or to both such fine and imprisonment.

69. Communications

(1)The port facility security officer shall have the means to notify the port facility personnel of changes in security conditions at the port facility.

(2)The port facility shall have communication systems and procedures that allow effective communications—

(a)between the port facility security personnel, ships and offshore facilities interfacing with the port facility; and

(b)with the Director-General and relevant security agencies;

(3)The communication systems shall have a backup to ensure internal and external communications.

Part VII – SECURITY REQUIREMENTS FOR PORT FACILITES SERVING SHIPS NOT ENGAGED ON INTERNATIONAL VOYAGES AND PRIVATE JETTIES

General Provisions

70. Application

This Part shall apply exclusively to—

(a)all port facilities used exclusively for ships not engaged on international voyages and which are not at any time required to serve ships arriving or departing on international voyages; and

(b)all private jetties.

71. Interpretation

In this part, unless the context otherwise requires—"jetty" means any berthing place or landing place, stage, platform, or similar structure, whether fixed or floating, erected or placed, wholly or in part in or over any waters including any ramp or slipway used for landing or launching a vessel;"port facility’ means any port facility or private jetty referred to in regulation 3;"wharf" includes quay, pier, jetty, ramp or other landing place.

72. Port facility security levels

(1)All port facilities and private jetties to which this Part applies shall be required to act upon the security levels set by the Authority.

(2)Security measures and procedures shall be applied at the port facilities and private jetties in such a manner as to cause minimum interference with, or delay to, passengers, ship, ship's personnel and visitors, goods and services.

73. Security level 1

At security level 1, the following activities shall be carried out through appropriate measures in order to identify and take preventive measures against security incidents and ensuring the performance of all security duties including—

(a)controlling access to the facility;

(b)monitoring of the facility, including anchoring and berthing area(s);

(c)monitoring restricted areas to ensure that only authorized persons have access;

(d)supervising the handling of cargo;

(e)supervising the handling of ship's stores; and

(f)ensuring that security communication is readily available.

74. Security level 2

At security level 2, the additional protective measures, specified in the port facility security plan, shall be implemented for each activity detailed in regulation 73.

75. Security level 3

At security level 3, further specific protective measures, specified in the facility security plan, shall be implemented for each activity detailed in regulation 73 taking into account the guidance given in the Second Schedule.

76. Additional measures

(1)In addition, at security level 2 and 3, port facilities and private jetties under this Part shall be required to respond to and implement all security directions given by the Director General.

(2)The master of a ship or any person in charge of the ship and the port facility security officer or the private jetty security officer shall cooperate in implementing the appropriate measures and procedures required under security level 2 or 3 following any security directions given by the Director-General.

(3)Where a port facility operator fails to comply with security directions issued by the Director General under this regulation it shall be an administrative violation punishable by closure of the port facility or the private jetty.

Security Evaluation, Assessment and Plans

77. Security Evaluation

(1)The Authority shall conduct a security evaluation of port facilities or private jetties to determine those that shall be required to comply with the provisions of this Part in accordance with regulation 3 (3).

(2)The Director-General shall issue a notice to comply specified in regulation 3 (3) to a port facility or a jetty specifying the extent of application of the provisions of this Part.

78. Port facility security assessment

(1)Every operator of a port facility or private jetty to which this Part applies, upon receiving the notice to comply from the Director-General shall ensure that a security assessment is conducted and a security plan developed within forty calendar days of receipt of the notice to comply from the Director-General.

(2)The security assessment required under subregulation (1) shall be carried out by the Authority.

(3)The Authority may authorize a recognized security organization to carry out the security assessment in respect of a specific port facility to which this part applies located within Kenya.

(4)When a port facility security assessment has been carried out by a recognized security organization, the security assessment shall be reviewed and approved for compliance with these Regulations by the Authority.

(5)The security assessments shall periodically be reviewed and updated, taking account of changing threats and minor changes in the facility and shall always be reviewed and updated when major changes to the facility take place.

(6)The port facility security assessment shall include, inter alia,—

(a)identification and evaluation of important assets and infrastructure it is important to protect;

(b)identification of possible threats to human life, assets and infrastructure and the likelihood of their occurrence, in order to establish and prioritize security measures;

(c)identification, selection and prioritization of counter measures and procedural changes and their level of effectiveness in reducing vulnerability; and

(d)identification of security weaknesses, including human factors, infrastructure, policies and procedures.

79. Security plans

(1)A port facility security plan or private jetty security plan shall be developed and maintained by the port facility operator or private jetty operator, on the basis of the security assessment. The plan shall make provisions for the security levels defined in this Part.

(2)A recognized security organization may prepare the security plan for a port facility or private jetty.

(3)The port facility or private jetty security plan shall be approved by the Authority.

(4)The port facility or private jetty security plan shall be developed taking into account the guidance given in the Second Schedule and shall be in the English language.

(5)The security plan shall include, inter alia,—

(b)measures designed to prevent unauthorized access to the port facility or private jetty, to ships moored and to restricted areas;

(c)procedures for responding to security threats or breaches of security;

(d)identification of restricted areas and measures for monitoring its security;

(e)procedures for responding to any security instructions the Authority may issue;

(f)procedures for emergency and security evacuation;

(g)duties of personnel assigned security responsibilities;

(h)procedures for the periodic review and update of the plan;

(i)procedures for reporting security incidents;

(j)identification of the port facility security officer including twenty four hour contact details;

(k)measures to ensure the security of the information contained in the plan;

(l)procedures for auditing the security plan;

(m)procedures for conducting security training, drills and exercises.

(6)The Authority shall approve any significant change to the plan before implementation.

(7)The plan shall be protected from unauthorized access or disclosure.

(8)Failure by the port facility or private jetty operator to maintain and implement a security plan under this regulation shall be an administrative violation punishable by a penalty two hundred thousand shillings for each day of violation and closure of the facility if the plan is not submitted to the Authority for approval within forty calendar days of notice to comply.

80. Security Certificate

The Authority shall issue to a port facility operator or a private jetty operator a port facility security certificate or a private jetty security certificate, respectively upon conducting an initial audit specified in regulation 82 (1) (a) and approval of the plan.

81. Form and validity of the security certificate

The security certificate shall be as set out in the Form 5A and 5B for ports serving ships not engaged on international voyages and private jetties respectively in the First Schedule and shall be valid for a period of two years.

82. Security audit

(1)The Authority shall conduct the following audits of the security system of facilities to which this Part applies—

(a)initial audit for the purposes of approval of the plan and issuance of the security certificate specified in regulation 80;

(b)renewal audit for the purposes of renewal of the port facility security certificate or private jetty security certificate;

(c)special audits such as—

(i)audits conducted upon a major review of the security system; or

(ii)audits conducted as a result of a port security level 2 or 3 incident.

(2)The Authority shall transmit the audit report including any recommendations to the facility or jetty operator.

(3)The operator shall keep a copy of the port audit report for a period of not less than three years.

(4)If a port facility or private jetty operator fails to remedy all deficiencies identified and in respect of which recommendations for closure are made during a security audit within twenty one days of such audit, he commits an offence and shall on conviction be liable to a fine not exceeding a sum of Kenya shillings one million or imprisonment for a term not exceeding six months, or to both such fine and imprisonment.

(5)Where a port facility or private jetty operator is convicted under subregulation (4), the Director General shall revoke the port facility or private jetty Security Certificate for a period of twelve months from the date of sentencing of the operator.

83. Cancellation security certificate

A security certificate issued under regulation 80 shall cease to be valid if—(a)the operator of a port facility or private jetty fails to close any recommendations made by the Authority following a security system audit for a period of fourteen days from the date of receipt of the audit report, and the Director-General may grant an extension of the period in this paragraph, if in his opinion, the recommendations cannot be reasonably closed within a period of the said fourteen days.(b)there are changes in the ownership or operational control of the relevant port facility.

Security Personnel

84. Security Personnel

(1)The port facility operator or private jetty operator shall designate the port facility security officer or private jetty security officer.

(2)The duties and responsibilities of the port facility security officer shall include, inter alia,—

(a)implementation of the plan;

(b)undertaking regular security inspections of the port facility to ensure the continuation of appropriate security measures;

(c)reporting to the Authority every security incident including measures taken to address such an incident;

(d)ensuring personnel responsible for security are qualified in accordance with the Kenya Maritime Code of Qualifications;

(e)ensuring that security equipment, if any, is properly operated, tested, calibrated and maintained;

(f)conduct training, drills and exercises for port facility security personnel.

(3)The port facility operator shall give the port facility security officer the necessary support to fulfill the duties and responsibilities imposed on him under these Regulations.

85. Security training, drills and exercises

(1)The port facility security officer and appropriate port facility security personnel shall have knowledge and have received training, taking into account the guidance given in the Second Schedule.

(2)The port facility security officer shall ensure the effective coordination and implementation of the port facility security plan by participating in drills and exercises at appropriate intervals.

(3)Failure by the operator of a port facility or a private jetty to conduct scheduled security drills required under subregulation (2) it shall be an administrative violation punishable by a penalty of a sum of ten thousand shillings for each day of the violation and the seizure and detention of the offending ship until the accruing fine is paid in full.

Part VIII – SECURITY REQUIREMENTS FOR CARGO HANDLING FACILITIES

86. Application

(1)This Part shall apply to cargo handling facilities such as—

(a)container freight stations;

(b)inland container depots; and

(c)empty container depots.

(2)In this Part, unless the context otherwise requires—"operator" means the person or entity that has for the time being, the operational control and management of the cargo handling facility.

87. Responsibilities of cargo handling facility owner or operator

The cargo handling facility owner or operator shall—

(a)comply with the relevant requirements of this Part;

(b)designate a cargo handling facility security officer;

(c)ensure that personnel with designate security duties are given the necessary support to fulfill their duties and responsibilities;

(d)every cargo handling and facility operator shall ensure that all personnel with designated security duties are qualified in accordance with Paragraph 18.1 of the Second Schedule; and

(e)submit to the Authority evidence of training and certification of all personnel with designated security duties, obtained from training institutions duly approved or recognized by the Authority for review and approval for purposes of issuance of the cargo handling facility security certificate.

88. Cargo Handling facility security assessment

(1)Every cargo handling facility operator shall ensure that a security assessment is conducted and a security plan developed and updated whenever it is necessary.

(2)The security assessment shall be carried out by the Authority.

(3)The Authority may authorize a recognized security organization to carry out the security assessment in respect of a specific cargo handling facility located within Kenya.

(4)When a cargo handling facility assessment has been carried out by a recognized security organization, the security assessment shall be reviewed and approved for compliance with these regulations by the Authority.

(6)The cargo handling facility assessment shall include, inter alia,—

(a)identification and evaluation of infrastructure it is meant to protect;

(b)identification of possible threats to cargo, life, and infrastructure and the likelihood of their occurrence, in order to establish and prioritize security measures;

(c)identification, selection and prioritization of counter measures and procedural changes and their level of effectiveness in reducing vulnerability; and

(d)identification of security weaknesses, including human factors, infrastructure, policies and procedures.

89. Cargo handling facility security plan

(1)The cargo handling facility operator shall develop and maintain a cargo handling facility security plan on the basis of the security assessment and subject to the guidance given in Paragraph 16 of the Second Schedule, as appropriate.

(2)A recognized security organization may prepare the security plan for a cargo handling facility.

(3)The cargo handling facility security plan shall be approved by the Authority.

(4)The security plan shall include measures to, inter alia,—

(a)make provisions for the implementation of the security levels established under regulations 91, 92 and 93;

(b)deter tampering;

(c)ensure only approved cargo is transported for loading on board ships;

(d)control cargo procedures at access points to the facility;

(e)identify cargo that is accepted for temporary storage in a restricted area while awaiting loading or pick up;

(f)restrict the entry of cargo to the facility that does not have a confirmed date for loading, where possible;

(g)ensure the release of cargo only to the carrier specified in the cargo documentation;

(h)coordinate regular or repeated cargo operations with the same shipper or other responsible party in accordance with an established agreement and procedure; and

(i)create, update, and maintain a continuous inventory of all dangerous goods and hazardous substances from receipt to delivery within the facility, giving the location of those dangerous goods and hazardous substances.

(5)If a cargo handling facility operator fails to maintain and implement a cargo handling facility security plan he commits an offence and shall on conviction be liable to a fine not exceeding a sum of Kenya shillings one million or imprisonment for a term not exceeding six months, or to both such fine and imprisonment and closure of the facility if a cargo handling facility security plan is not submitted to the Authority for approval within twenty one calendar days of such conviction.

90. Cargo handling and storage facility security levels

(1)All cargo-handling facilities specified in regulation 86 shall be required to act upon the security levels set by the Authority.

(2)Security measures and procedures shall be applied at the cargo handling facilities in such a manner as to cause minimum interference to cargo handling services.

91. Security level 1

At security level 1, the facility operator must ensure the implementation of measures to—

(a)routinely check cargo, cargo transport units, and cargo storage areas within the facility prior to, and during, cargo handling operations for evidence of tampering;

(b)check that cargo, containers, or other cargo transport units entering the facility match the delivery note or equivalent cargo documentation;

(c)screen trucks; and

(d)check seals and other methods used to prevent tampering upon entering or leaving the facility and upon storage within the facility.

92. Security level 2

In addition to the security measures required for security level 1, at security level 2, the facility operator shall ensure the implementation of additional security measures as specified in the approved cargo handling security plan. These additional security measures shall include—

(a)conducting checks on cargo transport units, and cargo storage areas within the facility;

(b)intensifying checks, as appropriate, to ensure that only the documented cargo enters the facility, is temporarily stored there, and then loaded onto the truck or rail;

(c)intensifying the screening of truck or rail;

(d)increasing frequency and detail in checking of seals and other methods used to prevent tampering;

(e)coordinating enhanced security measures with the shipper or other responsible party in accordance with an established agreement and procedures;

(f)increasing the frequency and intensity of visual and physical inspections; or

(g)limiting the number of locations where dangerous goods and hazardous substances, including certain dangerous cargoes, can be stored.

93. Security level 3

In addition to the security measures required for security level 1, at security level 3, the facility operator shall ensure the implementation of additional security measures as specified in the approved cargo handling security plan. These additional security measures shall include —

(a)restricting or suspending cargo movements or operations within all or part of the facility;

(b)emergency and security response; and

(c)verifying the inventory and location of any dangerous goods and hazardous substances, including certain dangerous cargoes, held within the facility and their location.

94. Cargo handling facility security certificate

The Authority shall issue to a cargo handling facility operator a cargo handling facility security certificate upon conducting an initial audit specified in regulation 96 (1) (a) and approval of the plan.

95. Form and validity of cargo handling facility security certificate

The cargo handling facility security certificate shall be in the form set out in the Form 6 of First Schedule and shall be valid for a period of one year.

96. Audits

(1)The Authority shall conduct the following audits of the cargo handling facilities security system to verify its compliance with the provisions of these Regulations —

(a)initial audit for the purposes of approval of the plan and issuance of the cargo handling facility certificate specified in regulation 94;

(b)renewal audit for the purposes of renewal of the cargo handling facility certificate;

(c)Special audits such as —

(iii)audits conducted upon a major review of the security system; or

(iv)audits conducted as a result of a port security level 2 or 3 incident.

(2)The Authority shall transmit the audit report including any recommendations to the facility.

(3)The operator shall keep a copy of the port audit report for a period of not less than seven years.

97. Cancellation of cargo handling facility security certificate

A security certificate issued under regulation 94 shall cease to be valid if —

(a)the operator of a cargo handling facility fails to close any recommendations made by the Authority following a security system audit for a period of fourteen days from the date of receipt of the audit report. The Director-General may grant an extension of the period in this paragraph, if in his opinion, the recommendations cannot be reasonably closed within a period of the said fourteen days;

(b)there are changes in the ownership or operational control of the cargo handling facility.

98. Offences by cargo handling and storage handling facilities

A cargo handling facility operator who fails to comply with the requirements of this Part commits an offence and shall on conviction be liable to a fine of a sum not exceeding Kenya shillings one million or imprisonment for a term not exceeding twelve months, or to both such fine and imprisonment.

Part IX – ADDITIONAL REQUIREMENTS FOR SHIPS AND PORT FACILITIES

99. Requirement to provide information

(1)Without prejudice to regulation 61, but subject to regulation 69 the Authority may, by notice in writing require the persons listed in paragraphs (a) to (d) to provide the Director-General with such information specified in the notice as the Director-General may require in connection with the exercise by the Director-General of his functions under this Part—

(a)the owner, charterer, manager or master of any ship which is in, or appears to the Director-General to be likely to enter, a port facility;

(b)a port facility operator;

(c)any person who carries on operations in a port facility;

(d)port facility service provider; and

(e)any person who is permitted to have access to a restricted area of a port facility for the purposes of the activities of a business carried on by him.

(2)A notice under subregulation (1) shall specify a date before which the information required by the notice is to be furnished to the Director-General.

(3)Any such notice may also require the person on whom it is served, after he has furnished to the Director-General the information required by the notice, to inform the Director-General if at any time the information previously furnished to the Director-General, including any information furnished in pursuance of a requirement imposed by virtue of this regulation, is rendered inaccurate by any change of circumstances, including the taking of any further measures for purposes of this Part or the alteration or discontinuance of any measures already being taken.

(4)In so far as such a notice requires further information to be furnished to the Director-General in accordance with subregulation (3), he shall require that information to be furnished to him before the end of such period as is specified in the notice for the purposes of this regulation.

(5)A notice served on any person under subregulation (1) may at any time—

(a)be revoked by a notice in writing served on him by the Director-General; or

(b)be varied by a further notice under paragraph (1).

(6)The port facility security officer may in like manner require the owner, charterer, manager or master of any Kenyan ship to provide him with information, and subregulations (1) to (5) shall apply as if references to the port facility security officer were references to the Director-General.

(7)Any person who—

(a)without reasonable excuse, fails to comply with a requirement imposed on him by a notice under this regulation; or

(b)in furnishing any information so required, makes a statement which he knows to be false in a material particular, or recklessly makes a statement which is false in a material particular, commits an offence and shall on conviction be liable to a fine of a sum not exceeding Kenya shillings two hundred and fifty thousand or imprisonment for a term not exceeding twelve months, or to both such fine and imprisonment.

100. Powers of inspection

(1)An authorized person shall have power, on production of his credentials if required, to inspect —

(a)any Kenyan ship;

(b)any other ship while in a port facility in Kenya;

(c)any part of any port facility; or

(d)any facility outside a port facility that is occupied by a port service provider. For the purposes of this paragraph, a port service provider shall include any person who —

(i)carries on or appears to the authorized person to be about to carry on harbor operations in a port facility for the purposes of that business; or

(ii)is permitted or appears to the authorized person to be about to be permitted to have access to a restricted area of a port facility for the purposes of the activities of that business.

(2)An authorized person inspecting a ship or any part of a port facility or any facility outside a port facility that is occupied by a port service provider under subregulation (1) above shall have power to—

(a)subject any property he finds on the ship or on the port facility, or on the land as the case may be, to such tests; or

(b)take such steps to—

(i)ascertain what practices or procedures are being followed in relation to security; or

(ii)test the effectiveness of any practice or procedure relating to security; or require the owner, charterer, manager or master of the ship, the port facility operator or the occupier of the land to furnish to him such information as the authorized person may consider necessary for the purpose for which the inspection is carried out.

(3)Subject to subregulation (4), an authorized person, for the purpose of exercising any power conferred on him by subregulation (1) or (2) in relation to a ship, a facility outside a port facility that is occupied by a port service provider, shall have power —

(a)for the purpose of inspecting a ship, to go on board and to take all such steps as are necessary to ensure that the ship is not moved; or

(b)for the purpose of inspecting any part of a port facility, to enter any building or works in the port facility or enter upon any land in the port facility; or

(c)for the purpose of inspecting any facility outside a port facility that is occupied by a port service provider, to enter upon the land and to enter any building or works on the land.

(4)The powers conferred by subregulation (3) shall not include power for an authorized person to use force for the purpose of going on board any ship, entering any building or works or entering upon any land.

(5)Any person who—

(a)without reasonable excuse, fails to comply with a requirement imposed on him under subregulation (2)(b)(ii); or

(b)in furnishing any information so required, makes a statement which he knows to be false in a material particular, or

(c)recklessly makes a statement which is false in a material particular, commits an offence and shall on conviction be liable, to a fine of a sum not exceeding Kenya shillings two hundred and fifty thousand or to imprisonment for a term not exceeding twelve months, or to both such fine and imprisonment.

101. Equivalent security arrangements

(1)The Director-General may allow a particular ship or a group of Kenyan ships to implement other security measures equivalent to those prescribed in these Regulations, provided that such security measures are at least as effective as those prescribed in these Regulations. The Director-General, where he allows such security measures, shall communicate particulars thereof to the Organization.

(2)When implementing these Regulations, the Director- General may allow a particular port facility or a group of port facilities located within Kenya, other than those covered by an agreement concluded under regulation 11, to implement security measures equivalent to those prescribed in these Regulations, provided such security measures are at least as effective as those prescribed in these Regulations.

(3)Where the Director-General allows the security measures under subregulation (2), he shall communicate to the organization the particulars thereof.

102. Application of Regulations to ships of less than 50 GT

The Director-General may require the following ships of less than 50 gross tonnage to comply with the requirements of these Regulations—

(a)ships that interface with ships to which these Regulations apply;

(b)ships that interface with mobile offshore drilling units to which these Regulations apply; and

(c)when engaged on an international voyage.

Part X – RECOGNIZED SECURITY ORGANIZATIONS

103. Delegation of Authority to recognized security organizations

(1)The Authority may appoint a recognized security organization to undertake security assessments in respect of –

(a)a regulated ship; or

(b)a regulated port facility to which Part V of these Regulations apply; or

(c)a regulated port facility to which Part VII of these Regulations apply; or

(d)a regulated cargo handling facility; or

(e)a regulated private jetty.

(2)A recognized security organization authorized to undertake security assessments under subregulation (1) may advise or provide assistance to port facilities on port facility security assessments and plans, including their completion.

(3)The National Intelligence Service may be appointed as a recognized security organization provided that they possesses the appropriate security-related expertise provided under regulation 105.

(4)A recognized security organization shall not approve, verify or certify work or products that it has either developed or used sub-contractors to develop.

(5)A recognized security organization shall submit the security assessment report to the Authority for approval.

104. Authority of recognized security organizations

A recognized security organization shall when undertaking a security assessment have the authority to—

(a)enter land or premises;

(b)inspect documents, records and plans; and

(c)inspect security equipment.

105. Criteria for selecting recognized security organizations

A company applying to be appointed as a recognized security organization by the Authority for the purpose of undertaking security assessments shall—

(a)subject to regulation 103(3), be a private security intelligence company or a classification society;

(b)demonstrate organizational effectiveness by providing evidence of having –

(i)clear lines of managerial oversight for the proposed delegation of authority;

(ii)relevant qualifications and experience of key personnel proposed for the delegation of authority including security clearances which shall be matched with their proposed work assignments;

(iii)planned training of key personnel during the duration of the delegation to ensure that qualifications are maintained and upgraded as necessary;

(iv)replacement strategy for key personnel;

(v)company code of ethics or code of conduct;

(vi)successful testing of procedures established to avoid unauthorized disclosure of, or access to, security sensitive material;

(vii)successful completion of similar activities to those identified in the proposed delegation of authority; and

(viii)adequate records management and internal quality control systems;

(c)demonstrate technical capabilities for ship-related delegations, to be demonstrated by provision of evidence of possession by key personnel of—

(i)appropriate knowledge of ship operations including design and construction considerations;

(ii)appropriate knowledge of the requirements and guidance specified in the special measures and relevant national legislation, regulations, policies and operating procedures;

(iii)appropriate knowledge of current security threats and patterns and their relevance to ship operations;

(iv)experience in the application and maintenance of security and surveillance equipment and systems installed on board ships;

(v)appropriate knowledge of their operational limitations including techniques used to circumvent them; and

(vi)experience in assessing the likely security risks that could occur during ship operations including the ship or port interface and identifying options to minimize such risks; and

(d)demonstrate technical capabilities for port-related delegations, by provision evidence that the key personnel to undertake port security assessments possess —

(i)appropriate knowledge of port operations including design and construction considerations;

(ii)appropriate knowledge of the requirements and guidance specified in the special measures and relevant national legislation, regulations, policies and operating procedures;

(iii)experience in assessing the likely security risks that could occur during port facility operations including the ship or port and identifying options to minimize such risks;

(iv)appropriate knowledge of current security threats and patterns and their relevance to port operations;

(v)experience in the application and maintenance of security and surveillance equipment and systems installed in port areas;

(vi)appropriate knowledge of their operational limitations including techniques used to circumvent them.

Part XI – OFFENCES AND MISCELLANEOUS PROVISIONS

Offences

106. False statements relating to baggage, cargo, etc.

(1)A person commits an offence if, in answer to a question which—

(a)relates to any baggage, cargo or stores, whether belonging to him or to another, that is or are intended for carriage by sea —

(i)by a Kenyan ship; or

(ii)by any other ship to or from Kenya; and

(b)is put to him for purposes of enforcement of these Regulations by any of the persons mentioned in sub- regulation (2), by any employee or agent of any such person in his capacity as employee or agent; or by a police officer, he makes a statement which he knows to be false in a material, particulars, or recklessly makes a statement which is false in a material particular.

(2)The persons referred to in subregulation (1) (b) are —

(a)a port facility operator;

(b)a port facility service;

(c)the owner, charterer or manager of any ship;

(d)any person who is permitted to have access to a restricted area of a port facility for the purposes of the activities of a business carried on by him;

(e)any person who is permitted to have access to a restricted area of a cargo handling and storage facility for the purposes of the activities of a business carried on by him;

(f)any person who has control in that restricted area over the baggage, cargo or stores to which the question relates; or

(g)any person who is permitted to have access to a restricted area of a private jetty for the purposes of the activities of a business carried on by him.

(3)Any person who commits an offence under this regulation, shall on conviction be liable, to a fine of a sum not exceeding Kenya shillings five hundred thousand or imprisonment for a term not exceeding twelve months, or to both such fine and imprisonment.

107. False statements in connection with identity documents

(1)Any person commits an offence if—

(a)for the purpose of, or in connection with, an application made by him or another for the issue of an identity document to which this paragraph applies; or

(b)in connection with the continued holding by him or another of any such document which has already been issued,

he makes to any of the persons specified in subregulation (4), to any employee or agent of such any person or to a police officer, a statement which he knows to be false in a material particular, or recklessly makes to any of those persons, to any such employee or agent or to a police officer, a statement which is false in a material particular.

(2)subregulation (1) applies to any identity document which is to be or has been issued by any of the persons specified in sub- regulation (4) for the purposes of a ship security plan or a port facility security plan.

(3)Any person who commits an offence under this regulation, shall on conviction be liable, to a fine of a sum not exceeding Kenya shillings one hundred thousand, or, imprisonment for a term not exceeding twelve months, or to both such fine and imprisonment.

(4)The persons referred to in subregulation (2) are—

(a)a port facility operator;

(b)a port facility service;

(c)the owner, charterer or manager of any ship;

(d)any person who is permitted to have access to a restricted area of a port facility for the purposes of the activities of a business carried on by him;

(e)any person who is permitted to have access to a restricted area of a cargo handling and storage facility for the purposes of the activities of a business carried on by him;

(f)any person who has control in that restricted area over the baggage, cargo or stores to which the question relates; or

(g)any person who is permitted to have access to a restricted area of a private jetty for the purposes of the activities of a business carried on by him.

108. Unauthorized presence in restricted areas

(1)No person shall—

(a)go, with or without a vehicle or ship, onto or into any part of a restricted area of a port facility except with the permission of the port facility operator or any person acting on behalf of the port facility operator and in accordance with any conditions subject to which that permission is for the time being granted; or

(b)remain in any part of such a restricted area after being requested to leave by the port facility operator or any person acting on behalf of the port facility operator.

(2)subregulation (1)(a) shall not apply unless it is proved that, at the material time, notices stating that the area concerned was a restricted area was posted so as to be readily seen and read by persons entering the restricted area.

(3)For the purposes of this Part, any person is permitted to have access to a restricted area of a port facility if he is permitted to enter that area, or if arrangements exist for permitting any of his employees or agents to enter the zone.

(4)Any person who contravenes subregulation (1) commits an offence and shall on conviction be liable to a fine of a sum not exceeding Kenya shillings ten thousand or to imprisonment for a term not exceeding one month, or to both such fine and imprisonment.

109. Offences relating to authorized persons

Any person who—

(a)intentionally obstructs an authorized person acting in the exercise of a power conferred on him by or under these Regulations; or

(b)falsely pretends to be an authorized person commits an offence;

shall be liable conviction, to a fine of a sum not exceeding one hundred thousand shillings, or imprisonment for a term not exceeding six months, or to both such fine and imprisonment.

110. Offences by the company

Any Company which fails, in relation to each of its ships—

(a)to provide to the Director-General the information required by regulation 23 if requested by the Director-General, or

(b)to ensure the continuous synopsis record is left on the ship and is available for inspection,

commits an offence and, shall be liable, upon conviction to a fine of a sum not exceeding Kenya shillings two hundred and fifty thousand.

111. Offences relating to masters

Any master who fails to make any changes in the continuous synopsis record and ensure the continuous synopsis record is left on the ship and is available for inspection commits an offence, and shall be liable upon conviction to a fine of a sum not exceeding fifty thousand shillings.

112. Interference with law enforcement security personnel

Any person who knowingly or intentionally prevents, obstructs, resists or otherwise delays law enforcement or ship or port or cargo handling facility personnel in the discharge of their duties commits an offence, and shall be liable upon conviction to a fine of a sum not exceeding Kenya shillings fifty thousand or imprisonment for a term not exceeding three months or to both such fine and imprisonment.

113. Tampering

Any person who knowingly or intentionally alters, destroys, removes or manipulates in regulated ship or within a regulated port facility, cargo handing facility or a private jetty a container, containers or cargo without authorization commits an offence and shall be liable upon conviction to a fine of a sum not exceeding twice the value of the container or the cargo altered, removed, damaged or manipulated or an imprisonment for a term not exceeding twelve months or to both such fine and imprisonment.

114. Endangering persons or property

Any person who knowingly or intentionally endangers a person, or property inside a regulated port facility, cargo handling and storage facility or a private jetty or on board a regulated ship commits an offence and shall be liable upon conviction to a fine of a sum not exceeding Kenya shillings five hundred thousand or imprisonment for a term not exceeding twelve months or to both such fine and imprisonment.

115. Interference with port facilities, cargo-handling facilities or vessels

Any person who knowingly or intentionally interferes with the operation of a regulated ship, a non-regulated ship interfacing with a regulated ship or a port facility commits an offence and shall be liable upon conviction to a fine of a sum not exceeding Kenya shillings five hundred thousand or imprisonment for a term not exceeding twelve months or to both such fine and imprisonment.

116. Threat

Any person who knowingly or intentionally communicates or falsely reports the threat or injury to persons or damage to property inside a regulated port facility, cargo handling and storage facility or on board a regulated ship commits an offence and shall be liable upon conviction to a fine of a sum not exceeding Kenya shillings five hundred thousand or imprisonment for a term not exceeding twelve months or both such fine and imprisonment.

117. Unauthorised disclosure

Any person who knowingly or intentionally discloses a port facility security assessments, a cargo handling and storage facility security assessments, port facility security plan, a cargo handling and storage facility security plan, ship security assessments or a ship security plan commits an offence and shall be liable upon conviction to imprisonment for a term not exceeding twelve months.

Miscellaneous

118. Fees and fines

(1)The following fees shall be payable under these Regulations:

Service	Regulation	Fee (Us$)
PART IV: VERIFICATION AND CERTIFICATION FOR SHIPS
Ships of more than 500 GT
Ships Security Audits - Initial or Renewal		700
International Ship Security Certificate (ISSC)		500
Interim ISSC		600
Endorsement of ISSC - Annual or Intermediate		500
Ships of Less than 500 GT
Ships Security Audits - Initial or Renewal		200
International Ship Security Certificate (ISSC)		100
Interim ISSC		300
Endorsement of ISSC - Annual or Intermediate		100
PART V: PORT FACILITY SECURITY
Port Facility Security Audits - Initial, Annual or Renewal		3000
Port Facility Security Audit - Special		2000
Statement of Compliance		700
PART VII: SECURITY OF PORT FACILITES SERVING SHIPS NOT ENGAGED ON INTERNATIONAL VOYAGES AND JETTIES
Port Facility Security Audit - Initial, Renewal or Special		1000
Private Jetty Security Audit - Initial, Renewal or Special		500
Statement of Security Compliance		250
PART VIII: CARGO HANDLING FACILITY SECURITY
Cargo Handling Facility Security Audit - Initial, Annual or Special		1000
Cargo Handling Facility Security Certificate		500

(2)All fees under these Regulations shall be paid into the Authority.

119. Transitional provisions

(1)Any security measures implemented by the persons to whom Part VII and Part VIII of these Regulations apply immediately before the coming into force of these Regulations, shall be deemed to have been done under the corresponding provisions of these Regulations.

(2)Any person referred to under subregulation (1) who immediately before the commencement of these Regulations was authorized under a statute or license to carry on the business of a cargo handling facility operator, private jetty operator or port facility operator shall within twelve months of coming into force of these Regulations put in place the necessary measures for security verification and certification under these Regulations.

(3)Any person referred to under subregulation (1) who elects not to comply with the requirements of these Regulations on the expiration of the period referred to in subregulation (2), commits an offence and shall on conviction be subject to the relevant penal provisions under these Regulations.

120. Repeal

(1)The Merchant Shipping (Maritime Security) Regulations, 2004 are revoked.

(2)Part VII.1 of the First Schedule to the Merchant Shipping (Fees) Regulations, L.N. 192/2011, is revoked.

FIRST SCHEDULE

FORMS

FORM 1				(r. 34)
FORM OF THE INTERNATIONAL SHIP SECURITY CERTIFICATE
..............................................................................................................................................
(official seal)
THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
KENYA MARITIME AUTHORITY
INTERNATIONAL SHIP SECURITY CERTIFICATE
Certificate Number .............................................................................
Issued under Regulation 34 of the
MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015
Under the authority of the Government of the Republic of
KENYA
by.....................................................................................................................
(person(s) or organization authorized)

Name of ship:
Distinctive number or letters:
Port of registry:
Type of ship:
Gross tonnage:
IMO Number:
Name and address of the Company:
Company identification number:

THIS IS TO CERTIFY:

1. That the security system and any associated security equipment of the ship has been verified in accordance with regulation 31;2. That the verification showed that the security system and any associated security equipment of the ship is in all respects satisfactory and that the ship complies with the applicable requirements of the Merchant Shipping (Maritime Security) Regulations, 2015.3. That the ship is provided with an approved Ship Security Plan.Date of initial/renewal verification on which this certificate is based: ..........................This Certificate is valid until:.....................................................subject to verifications in accordance with Regulation 39.Issued at: ..................................................

		(see overleaf)
	Date of issue: ......................................................
..........................................................................................
(signature of the duly authorized official issuing the Certificate)

(Seal or stamp of the Authority)
ENDORSEMENT FOR ADDITIONAL VERIFICATION
Additional verification Signed: ...................................................
(Signature of authorized official)
Place: ……………………………..................................
Date: ..............................................................................
(Seal or stamp of the Authority)
Additional verification Signed: .................................................................
(Signature of authorized official)
Place: ............................................................
Date: .............................................................
(Seal or stamp of the Authority)
Additional verification Signed: ...............................................................
(Signature of authorized official)
(see overleaf)
Place: ..............................................................
Date: ..............................................................
(Seal or stamp of the Authority)
ADDITIONAL VERIFICATION IN ACCORDANCE WITH REGULATION ….
THIS IS TO CERTIFY that at an additional verification required by the Merchant Shipping (Maritime Security) Regulations, 2015, the ship was found to comply with the relevant provisions of the Regulations

Additional verification Signed: ...............................
(Signature of authorized official)
Place: ...............................................................
Date: ...............................................................
(Seal or stamp of the Authority)

ENDORSEMENT TO EXTEND THE CERTIFICATE IF VALID FOR LESS THAN 5 YEARS WHERE REGULATION ........... OF THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015 APPLIES

The ship complies with the relevant provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, and the Certificate shall, in accordance with Regulation ….be accepted as valid until: ..........

	Additional verification
		Signed:
		..............................................
		(Signature of authorized official)
		Place: ...............................................................
		Date: .................................................................
	(Seal or stamp of the Authority)

ENDORSEMENT FOR ADVANCEMENT OF EXPIRY DATE WHERE REGULATION ................…. OF THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS APPLIES
In accordance with Regulation ….. of the Merchant Shipping (Maritime Security) Regulations, 2015, the new expiry date is: ………………………………............
(In case of completion of this part of the certificate the expiry date shown onthe front of the certificate shall also be amended accordingly)
Additional verification
		Signed
		...........................................................
		(Signature of authorized official)
		Place:.............................................................
		Date:............................................................

(Seal or stamp of the Authority)

____________________________________


FORM 2			(r. 39(1)(d))
FORM OF THE INTERNATIONAL SHIP SECURITY CERTIFICATE
................................................................................................................................
(official seal)
THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
KENYA MARITIME AUTHORITY
Certificate Number ........................................................................
Issued under regulation 39(1) (d) of the
MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015
Under the authority of the Government of the Republic of
KENYA
by.....................................................................................................................
(person(s) or organization authorized)

Name of ship:
Distinctive number or letters:
Port of registry:
Type of ship:
Gross tonnage:
IMO Number:
Name and address of the Company:
Company identification number:
	(see overleaf)

Is this a subsequent, consecutive interim certificate? YES/ NO
(delete as appropriate)
If YES, date of issue of initial interim certificate: ………………………………............…………
THIS IS TO CERTIFY THAT the requirements of regulation 31 of the Merchant Shipping (Maritime Security) Regulations, 2015, have been complied with.
This Certificate is issued pursuant to Regulation 39
This Certificate is valid until: …………………………………………………..………….
Issued at:
…………………………………………………….………………………………………..
Date of issue: ……………………...................		………………………………………
(Signature of the duly authorized official
issuing the Certificate)
(Seal or stamp of the Authority)
---------------------------

Date of issue: …………………….......		........………………………………………
		(Signature of the duly authorized officialissuing the Certificate)
		(Seal or stamp of the Authority)
.................................................................

FORM 3		(r. 50)
FORM OF A STATEMENT OF COMPLIANCE OF A PORT FACILITY
(Official seal)
Statement Number............................................
Issued under regulation 50 of
THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015
The Government of the Republic of
_____________________KENYA______________________
Name of the Port Facility:
Address of the Port Facility:
THIS IS TO CERTIFY that the compliance of this port facility with the provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, has been verified and that this port facility operates in accordance with the approved Port Facility Security Plan. Thisplan has been approved for the type(s) of ship(s) indicated below:
Passenger shipPassenger high speed craftCargo high speed craftBulk carrierOil tankerChemical tankerGas carrierMobile offshore Drilling UnitsCargo ships other than those referred to above
This Statement of Compliance is valid until ........................................., subject to verifications (as indicated overleaf)
Issued at: .....................................................................Date of issue: .............................................................
(Signature of the duly authorized official issuing the document and Seal of the Authority)
ENDORSEMENT FOR VERIFICATIONS
The Government of ......KENYA......has established that the validity of this Statementof Compliance is subject to <insert relevant details of the verifications (e.g. mandatory annual or unscheduled)>.
THIS IS TO CERTIFY that, during a verification carried out in accordance with regulation 31 of the Merchant Shipping (Maritime Security) Regulations, 2015, the port facility was found to comply with the relevant provisions of chapter the regulations.

1st VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: .....................................
	(see overleaf)
2nd VERIFICATION	Signed:...............................
(Signature of authorized official)
	Place:..................................
	Date: ..................................
3rd VERIFICATION	Signed:...............................
(Signature of authorized official)
	Place:.................................
	Date: .................................
4th VERIFICATION	Signed:...............................
(Signature of authorized official)
	Place:.................................
	Date: .................................

____________________________________

FORM 4A

(r. 58(1)

THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
DECLARATION OF SECURITY BETWEEN A SHIP AND A PORT FACILITY DECLARATION OF SECURITY
Issued under regulation 58(1) of
THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS

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

...........................................................................................................(list of the activities with relevant details)
under the following security levels:

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

(see overleaf)

The port facility and ship agree to the following security measures and responsibilities to ensure compliance with the requirements of the Merchant Shipping (Maritime Security) Regulations, 2015.

	The affixing of the initials of the Ship Security Officer or the Port Facility Security Officer under these columns indicates that the activity will be done, in accordance with relevant approved plan, by
Activity	The 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 the port facility
Controlling access to the ship
Monitoring of the 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

The signatories to this agreement certify that security measures and arrangements for both the port facility and the ship during the specified activities meet the provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, that will be implemented in accordance with the provisions already stipulated in their approved plan or the specific arrangements agreed to and set out in the attached annex.

(see overleaf)

Dated at ........................... on the .....................................

Signed for and on behalf of
the port facility:	the ship:

(Signature of Port Facility SecurityOfficer)

(Signature of Master or Ship Security Officer)

Name: and title of person who signed
Name:		Name:
Title:		Title:

Contact Details(telephone numbers or the radio channels or frequencies to be used)
for the port facility:	for the ship:

Port Facility:	Master:
Port Facility Security Officer:	Ship Security Officer:
	Company
	Company Security Officer:

____________________________________

FORM 4B

(r. 58(1)

THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
DECLARATION OF SECURITY: SHIP TO SHIPDECLARATION OF SECURITY
Issued under regulation 58(1) of
THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015

//Name of ShipDeclaring://		Name of Ship Interfacing:
Port of registry:		Port of registry:
IMO number:		IMO number:

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

	................................................
	(list of the activities with relevant details)

Under the following security levels:

Under the following security levels:
Security level(s) for the Ship Declaring:
Security level(s) for the Ship Interfacing:
	(see overleaf)

The ships agree to the following security measures and responsibilities to ensure compliance with the requirements of the Merchant Shipping (Maritime Security) Regulations, 2015.

	The affixing of the initials of the Ship Security Officers under these columns indicates that the activity will be done, in accordance with relevant approved plan, by
ACTIVITY	THE SHIP Declaring:	THE Ship Interfacing:
Ensuring the performance of all security duties
Monitoring restricted areas to ensure that only authorized personnel have access
Controlling access to the port facility
Controlling access to the ship
Monitoring of the 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 ships

The signatories to this agreement certify that security measures and arrangements for both ships during the specified activities meet the provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, that will be implemented in accordance with the provisions already stipulated in their approved plan or the specific arrangements agreed to and set out in the attached annex.Dated at ................................ on the ................................

(see overleaf)

Signed for and on behalf of
the Ship Declaring:	the Ship Interfacing:

(Signature of Master or Ship Security officer) (Signature of Master or Ship Security Officer)

Name and title of person who signed
Name:			Name:
Title:			Title:

Contact Details
(telephone numbers or the radio channels or frequencies to be used)
for the Ship Declaring :		for the Ship Interfacing:
Master:		Master:
Ship Security Officer:		Ship Security Officer:
Company:		Company:
Company Security Officer:		Company Security Officer:

____________________________________

FORM 5A

(r. 81)

THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
FORM OF A STATEMENT OF COMPLIANCE FOR PRIVATE JETTIESSTATEMENT OF COMPLIANCE FOR PRIVATE JETTIES
(Official seal)Statement Number..........................................................................................
Issued under regulation 81 of
THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015
The Government of the Republic of
____________________ KENYA ______________________
Name of the Private Jetties: .................................................................................................................................................
Address of the Private Jetties:................................................................................................................................................
THIS IS TO CERTIFY that the compliance of this Private Jetties with the provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, has been verified and that this Private Jetties operates in accordance with the approved Private Jetties Security Plan.This plan has been approved for the type(s) of ship(s) indicated below:
Passenger ship
Passenger high speed craftPrivate yachtsCargo ships other than those referred to above
This Statement of Compliance is valid until ........................................., subject to verifications (as indicated overleaf)
Issued at: .....................................................................Date of issue: ..............................................................
(Signature of the duly authorized official issuing the document and Seal of the Authority

ENDORSEMENT FOR VERIFICATIONS

The Government of ……KENYA…… has established that the validity of this Statement of Compliance is subject to <insert relevant details of the verifications (e.g. mandatory annual or unscheduled)>.THIS IS TO CERTIFY that, during a verification carried out in accordance with regulation 31 of the Merchant Shipping (Maritime Security) Regulations, 2015, the port facility was found to comply with the relevant provisions of chapter the regulations.

1st. VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
	(see overleaf)
2nd VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
3rd VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
4th VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................

____________________________________

FORM 5B

(r. 81)

THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
FORM OF A STATEMENT OF COMPLIANCE FOR PORT FACILITIES SERVING SHIPS NOT ENGAGED ON INTERNATIONAL VOYAGES
(Official seal)Statement Number ..........................................................................................
Issued under regulation 81 of
THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015
The Government of the Republic of
____________________ KENYA ______________________
Name of the Port Facilities Serving Ships Not Engaged On International Voyages:.................................................................................................................................................
Address of the Port Facilities Serving Ships Not Engaged On International Voyages:..............................................................................................................................................................
THIS IS TO CERTIFY that the compliance of this Port Facilities Serving Ships Not Engaged on International Voyages with the provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, has been verified and that this Facilities operates in accordance with the approved Port Facility Security Plan.This plan has been approved for the type(s) of ship(s) indicated below
Passenger shipPassenger high speed craftCargo high speed craftBulk carrierOil tankerGas carrierMobile offshore Drilling UnitsCargo ships other than those referred to above
This Statement of Compliance is valid until ........................................., subject to verifications (as indicated overleaf)
Issued at: .....................................................................Date of issue: ..............................................................
(Signature of the duly authorized official issuing the document and Seal of the Authority
ENDORSEMENT FOR VERIFICATIONS
The Government of ....................... KENYA ......................... has established that the validity of this Statement of Compliance is subject to <insert relevant details of the verifications (e.g. mandatory annual or unscheduled)>.
HIS IS TO CERTIFY that, during a verification carried out in accordance with regulation 31 of the Merchant Shipping (Maritime Security) Regulations, 2015, the port facility was found to comply with the relevant provisions of part IV of the regulations.

(see overleaf)

____________________________________

1st. VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
2nd VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
3rd VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
4th VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................

____________________________________

FORM 6

(r. 95)

THE REPUBLIC OF KENYA
THE MERCHANT SHIPPING ACT
(Cap. 389, section 378)
CARGO HANDLING FACILITY SECURITY CERTIFICATE
(Official seal)Certificate Number .............................................
Issued under regulation 81 of
THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS, 2015
The Government of the Republic of
_____________________KENYA______________________
Name of the Cargo Handling Facility .................................................................................................................................................
Address of the Cargo Handling Facility:..............................................................................................................................................................
THIS IS TO CERTIFY that the compliance of this Port Facilities Serving Ships Not Engaged on International Voyages with the provisions of the Merchant Shipping (Maritime Security) Regulations, 2015, has been verified and that this Facilities operates in accordance with the approved Port Facility Security Plan.
This plan has been approved for the type(s) of cargo handling and storage facilities indicated below:
Container Freight StationInland Container DepotEmpty Container Depot
This Certificate is valid until ........................................., subject to verifications (as indicated overleaf)
Issued at: .....................................................................Date of issue: ..............................................................
(Signature of the duly authorized official issuing the document and Seal of the Authority
ENDORSEMENT FOR VERIFICATIONS
The Government of ......KENYA......has established that the validity of this Certificateis subject to <insert relevant details of the verifications (e.g. mandatory annual orunscheduled)>.
THIS IS TO CERTIFY that, during a verification carried out in accordance with regulation 31 of the Merchant Shipping (Maritime Security) Regulations, 2015, the CargoHandling Facility was found to comply with the relevant provisions of chapter of theregulations.

1st. VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
2nd VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
3rd VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................
4th VERIFICATION	Signed:..................................
(Signature of authorized official)
	Place:.....................................
	Date: ..........................................

SECOND SCHEDULE [r. 45]

THE INTERNATIONAL SHIP AND PORT FACILITY SECURITY (ISPS) CODE

Part BGuidance regarding the provisions of Chapter XI-2 of the Annex to the International Convention for the Safety of Life at Sea, 1974 as amended and Part A of this Code1. IntroductionGeneral1.1 The preamble of this Code indicates that these regulations establish the new international framework of measures to enhance maritime security and through which ships and port facilities can co-operate to detect and deter acts which threaten security in the maritime transport sector.1.2 This introduction outlines, in a concise manner, the processes envisaged in establishing and implementing the measures and arrangements needed to achieve and maintain compliance with the provisions of chapter XI-2 and of part A of this Code and identifies the main elements on which guidance is offered. The guidance is provided in paragraphs 2 through to 19. It also sets down essential considerations, which should be taken into account when considering the application of the guidance relating to ships and port facilities.1.3 If the reader's interest relates to ships alone, it is strongly recommended that this Part of the Code is still read as a whole, particularly the sections relating to port facilities. The same applies to those whose primary interests are port facilities; they should also read the sections relating to ships.1.4 The guidance provided in the following sections relates primarily to protection of the ship when it is at a port facility. There could, however, be situations when a ship may pose a threat to the port facility, e.g. because, once within the port facility, it could be used as a base from which to launch an attack. When considering the appropriate security measures to respond to ship-based security threats, those completing the port facility security assessment or preparing the port facility security plan should consider making appropriate adaptations to the guidance offered in the following sections.1.5 The reader is advised that nothing in this Part of the Code should be read or interpreted in conflict with any of the provisions of either chapter XI-2 or part A of this Code and that the aforesaid provisions always prevail and override any unintended inconsistency which may have been inadvertently expressed in this Part of the Code. The guidance provided in this Part of the Code should always be read, interpreted and applied in a manner which is consistent with the aims, objectives and principles established in chapter XI-2 and part A of this Code.Responsibilities of Contracting Governments1.6 Contracting Governments have, under the provisions of chapter XI-2 and part A of this Code, various responsibilities, which, amongst others, include

(a)setting the applicable security level; approving the ship security plan and relevant amendments to a previously approved plan;

(b)verifying the compliance of ships with the provisions of these Regulations and issuing to ships the International Ship Security Certificate;

(c)determining which of the port facilities located within their territory are required to designate a port facility security officer who will be responsible for the preparation of the port facility security plan;

(d)ensuring completion and approval of the port facility security assessment and of any subsequent amendments to a previously approved assessment;

(e)approving the port facility security plan and any subsequent amendments to a previously approved plan; and - exercising control and compliance measures;

(f)testing approved plans; and

(g)communicating information to the International Maritime Organization and to the shipping and port industries.

1.7 Contracting Governments can designate, or establish, designated authorities within Government to undertake, with respect to port facilities, their security duties under these Regulations and allow recognized security organizations to carry out certain work with respect to port facilities but the final decision on the acceptance and approval of this work should be given by the Contracting Government or the designated authority. Administrations may also delegate the undertaking of certain security duties, relating to ships, to recognized security organizations. The following duties or activities cannot be delegated to a recognized security organization—

(a)setting of the applicable security level;

(b)determining which of the port facilities located within the territory of a Contracting Government are required to designate a port facility security officer and to prepare a port facility security plan;

(c)approving a port facility security assessment or any subsequent amendments to a previously approved assessment;

(d)approving a Port Facility Security Plan or any subsequent amendments to a previously approved plan;

(e)exercising control and compliance measures; and

(f)establishing the requirements for a declaration of security.

Setting the security level1.8 The setting of the security level applying at any particular time is the responsibility of Contracting Governments and can apply to ships and port facilities. Part A of this Code defines three security levels for international use. These are—

(a)Security Level 1, normal; the level at which ships and port facilities normally operate;

(b)Security Level 2, heightened; the level applying for as long as there is a heightenedrisk of a security incident; and

(c)Security Level 3, exceptional, the level applying for the period of timewhen there is the probable or imminent risk of a security incident.

The Company and the Ship1.9 Any company operating ships to which these Regulations apply has to designate a company security officer for the company and a ship security officer for each of its ships. The duties, responsibilities and training requirements of these officers and requirements for drills and exercises are defined in part A of this Code.1.10 The company security officer's responsibilities include, in brief amongst others, ensuring that a ship security assessment is properly carried out, that a ship security plan is prepared and submitted for approval by, or on behalf of, the administration and thereafter is placed on board each ship to which part A of this Code applies and in respect of which that person has been appointed as the company security officer.1.11 The ship security plan should indicate the operational and physical security measures the ship itself should take to ensure it always operates at security level 1. The plan should also indicate the additional, or intensified, security measures the ship itself can take to move to and operate at security level 2 when instructed to do so. Furthermore, the plan should indicate the possible preparatory actions the ship could take to allow prompt response to the instructions that may be issued to the ship by those responding at security level 3 to a security incident or threat thereof.1.12 The ships to which the requirements of these Regulations apply are required to have, and operated in accordance with, a ship security plan approved by, or on behalf of, the administration. The company and ship security officer should monitor the continuing relevance and effectiveness of the plan, including the undertaking of internal audits. Amendments to any of the elements of an approved plan, for which the administration has determined that approval is required, have to be submitted for review and approval before their incorporation in the approved plan and their implementation by the ship.1.13 The ship has to carry an International Ship Security Certificate indicating that it complies with the requirements of chapter XI-2 and part A of this Code. Part A of this Code includes provisions relating to the verification and certification of the ship's compliance with the requirements on an initial, renewal and intermediate verification basis.1.14 When a ship is at a port or is proceeding to a port of a Contracting Government, the Contracting Government has the right, under the provisions of regulation XI-2/9, to exercise various control and compliance measures with respect to that ship. The ship is subject to port State control inspections but such inspections will not normally extend to examination of the ship security plan itself except in specific circumstances. The ship may, also, be subject to additional control measures if the Contracting Government exercising the control and compliance measures has reason to believe that the security of the ship has, or the port facilities it has served have, been compromised.1.15 The ship is also required to have onboard information, to be made available to Contracting Governments upon request, indicating who is responsible for deciding the employment of the ship's personnel and for deciding various aspects relating to the employment of the ship.The port facility1.16 Each Contracting Government has to ensure completion of a port facility fecurity assessment for each of the port facilities, located within its territory, serving ships engaged on international voyages. The Contracting Government, a designated authority or a recognized security organization may carry out this assessment. The completed port facility security assessment has to be approved by the Contracting Government or the designated authority concerned. This approval cannot be delegated. port facility security assessments should be periodically reviewed.1.17 The port facility security assessment is fundamentally a risk analysis of all aspects of a port facility's operation in order to determine which part of it is more susceptible and more likely, to be the subject of attack. Security risk is a function of the threat of an attack coupled with the vulnerability of the target and the consequences of an attack.The assessment must include the following components—

(a)the perceived threat to port installations and infrastructure must be determined;

(b)the potential vulnerabilities identified; and

(c)the consequences of incidents calculated.

On completion of the analysis, it will be possible to produce an overall assessment of the level of risk. The port facility security assessment will help determine which port facilities are required to appoint a port facility security officer and prepare a port facility security plan.1.18 The port facilities which have to comply with the requirements of these regulations are required to designate a port facility security officer. The duties, responsibilities and training requirements of these officers and requirements for drills and exercises are defined in part A of this Code.1.19 The port facility security plan should indicate the operational and physical security measures the port facility should take to ensure that it always operates at security level 1. The plan should also indicate the additional, or intensified, security measures the port facility can take to move to and operate at security level 2 when instructed to do so. Furthermore, the plan should indicate the possible preparatory actions the port facility could take to allow prompt response to the instructions that may be issued by those responding at security level 3 to a security incident or threat thereof.1.20 The port facilities which have to comply with the requirements of these regulations are required to have, and operate in accordance with, a port facility security plan approved by the Contracting Government or by the designated authority concerned. The port facility security officer should implement its provisions and monitor the continuing effectiveness and relevance of the plan, including commissioning internal audits of the application of the plan. Amendments to any of the elements of an approved plan, for which the Contracting Government or the designated authority concerned has determined that approval is required, have to be submitted for review and approval before their incorporation in the approved plan and their implementation at the port facility. The Contracting Government or the designated authority concerned may test the effectiveness of the plan. The port facility security assessment covering the port facility or on which the development of the plan has been based should be regularly reviewed. All these activities may lead to amendment of the approved plan. Any amendments to specified elements of an approved plan will have to be submitted for approval by the Contracting Government or by the designated authority concerned.1.21 Ships using port facilities may be subject to the port State control inspections and additional control measures outlined in regulation XI-2/9. The relevant authorities may request the provision of information regarding the ship, its cargo, passengers and ship’s personnel prior to the ship's entry into port. There may be circumstances in which entry into port could be denied.Information and communication1.22 These Regulations require Contracting Governments to provide certain information to the International Maritime Organization and for information to be made available to allow effective communication between Contracting Governments and between Company and Ship security officers and the port facility security officers.2. Definitions2.1 No guidance is provided with respect to the definitions set out in chapter XI-2 or part A of this Code.2.2 For the purpose of this Part of the Code—"section" means a section of part A of the Code and is indicated as "section A/<followed by the number of the section>";"paragraph" means a paragraph of this Part of the Code and is indicated as"paragraph <followed by the number of the paragraph>"; and"Contracting Government", when used in paragraphs 14 to 18, means the "Contracting Government within whose territory the port facility is located" and includes a reference to the "designated authority".3. ApplicationGeneral3.1 The guidance given in this Part of the Code should be taken into account when implementing the requirements of chapter XI-2 and part A of this Code.3.2 However, it should be recognized that the extent to which the guidance on ships applies will depend on the type of ship, its cargoes and passengers, its trading pattern and the characteristics of the port facilities visited by the ship.3.3 Similarly, in relation to the guidance on port facilities, the extent to which this guidance applies will depend on the port facilities, the types of ships using the port facility, the types of cargo and passengers and the trading patterns of visiting ships.3.4 The provisions of these Regulations are not intended to apply to port facilities designed and used primarily for military purposes.4. Responsibilities of Contracting Governments Security of assessments and plans4.1 Contracting Governments should ensure that appropriate measures are in place to avoid unauthorized disclosure of, or access to, security sensitive material relating to Ship security assessments, ship security plans, port facility security assessments and port facility security plans, and to individual assessments or plans.Designated authorities4.2 Contracting Governments may identify a designated authority within Government to undertake their security duties relating to port facilities as set out in chapter XI-2 or part A of this CodeRecognized Security Organizations4.3 Contracting Governments may authorize a recognized security organization to undertake certain security related activities, including—

(a)approval of ship security plans, or amendments thereto, on behalf of the administration ;

(b)verification and certification of compliance of ships with the requirements of these regulations on behalf of the administration; and

(c)conducting port facility security assessments required by the Contracting Government.

4.4 A recognized security organization may also advise or provide assistance to companies or port facilities on security matters, including ship security assessments, ship security plans, port facility security assessments and port facility security lans. This can include completion of a ship security sssessment or plan or port facility security assessment or plan. If a recognized security organization has done so in respect of a ship security assessment or plan that recognized security organization should not be authorized to approve that ship security plan.4.5 When authorizing a recognized security organization, Contracting Governments should give consideration to the competency of such an organization. A recognized security organization should be able to demonstrate—

(a)expertise in relevant aspects of security;

(b)appropriate knowledge of ship and port operations, including knowledge of ship design and construction if providing services in respect of ships and port design and construction if providing services in respect of port facilities;

(c)their capability to assess the likely security risks that could occur during ship and port facility operations including the ship/port interface and how to minimise such risks;

(d)their ability to maintain and improve the expertise of their personnel;

(e)their ability to monitor the continuing trustworthiness of their personnel;

(f)their ability to maintain appropriate measures to avoid unauthorized disclosure of, or access to, security sensitive material;

(g)their knowledge of the requirements these regulations and relevant national and international legislation and security requirements;

(h)their knowledge of current security threats and patterns;

(i)their knowledge on recognition and detection of weapons, dangerous substances and devices;

(j)their knowledge on recognition, on a non-discriminatory basis, of characteristics and behavioural patterns of persons who are likely to threaten security;

(k)their knowledge on techniques used to circumvent security measures; and

(l)their knowledge of security and surveillance equipment and systems and their operational limitations.

When delegating specific duties to a recognized security organization, Contracting Governments, including administrations, should ensure that the RSO has the competencies needed to undertake the task.4.6 A Recognized Organization, as defined in regulation I/6 and fulfilling the requirements of regulation XI-1/1, may be appointed as a recognized security organization provided it has the appropriate security related expertise listed in paragraph 4.5.4.7 A Port or harbour authority or port facility operator may be appointed as a recognized security organization provided it has the appropriate security related expertise listed in paragraph 4.5.Setting the security level4.8 In setting the security level Contracting Governments should take account of general and specific threat information. Contracting Governments should set the security level applying to ships or port facilities at one of three levels—

(a)security level 1: normal, the level at which the ship or port facility normally operates;

(b)security level 2: heightened, the level applying for as long as there is a heightened risk of a security incident; and

(c)security level 3: exceptional, the level applying for the period of time when there is the probable or imminent risk of a security incident.

4.9 Setting security level 3 should be an exceptional measure applying only when there is credible information that a security incident is probable or imminent. Security level 3 should only be set for the duration of the identified security threat or actual security incident. While the security levels may change from security level 1, through security level 2 to security level 3, it is also possible that the security levels will change directly from security level 1 to security level 3.4.10 At all times the Master of a ship has the ultimate responsibility for the safety and security of the ship. Even at security level 3 a Master may seek clarification or amendment of instructions issued by those responding to a security incident, or threat thereof, if there are reasons to believe that compliance with any instruction may imperil the safety of the ship.4.11 The company security officer or the ship security officer should liase at the earliest opportunity with the port facility security officer of the port facility the ship is intended to visit to establish the security level applying for that ship at the port facility. Having established contact with a ship, the PFSO should advise the ship of any subsequent change in the port facility's security level and should provide the ship with any relevant security information.4.12 While there may be circumstances when an individual ship may be operating at a higher security level than the port facility it is visiting, there will be no circumstances when a ship can have a lower security level than the port facility it is visiting. If a ship has a higher security level than the port facility it intends to use, the company security office or ship security officer should advise the port facility security officer without delay. The port facility security officer should undertake an assessment of the particular situation in consultation with the company security officer or ship security officer and agree on appropriate security measures with the ship, which may include completion and signing of a declaration of security.4.13 Contracting Governments should consider how information on changes in security levels should be promulgated rapidly. Administrations may wish to use NAVTEX messages or Notices to Mariners as the method for notifying such changes in security levels to ship and company security officer and ship security officer. Or, they may wish to consider other methods of communication that provide equivalent or better speed and coverage. Contracting Governments should establish means of notifying PFSO of changes in security levels. Contracting Governments should compile and maintain the contact details for a list of those who need to be informed of changes in security levels. Whereas the security level need not be regarded as being particularly sensitive, the underlying threat information may be highly sensitive. Contracting Governments should give careful consideration to the type and detail of the information conveyed and the method by which it is conveyed, to ship security officers, company security officers and port facility security officers.Contact points and information on Port Facility Security Plans4.14 Where a port facility has a port facility security plan , that fact has to be communicated to the organization and that information must also be made available to company and ship security officers. No further details of the port facility security plan have to be published other than that it is in place. Contracting Governments should consider establishing either central or regional points of contact, or other means of providing up to date information on the locations where port facility security plans are in place, together with contact details for the relevant port facility security officer. The existence of such contact points should be publicised. They could also provide information on the recognized security organizations appointed to act on behalf of the Contracting Government, together with details of the specific responsibility and conditions of authority delegated to such recognized security organizations.4.15 In the case of a port that does not have a port facility security plan (and therefore does not have a port facility security officer) the central or regional point of contact should be able to identify a suitably qualified person ashore who can arrange for appropriate security measures to be in place, if needed, for the duration of the ship's visit.4.16 Contracting Governments should also provide the contact details of Government officers to whom an ship security officer, a company security officer and a port facility security officer can report security concerns. These Government officers should assess such reports before taking appropriate action. Such reported concerns may have a bearing on the security measures falling under the jurisdiction of another Contracting Government. In that case, the Contracting Governments should consider contacting their counterpart in the other Contracting Government to discuss whether remedial action is appropriate. For this purpose, the contact details of the Government officers should be communicated to the International Maritime Organization.4.17 Contracting Governments should also make the information indicated in paragraphs 4.14 to 4.16, available to other Contracting Governments on request.Identification documents4.18 Contracting Governments are encouraged to issue appropriate identification documents to Government officials entitled to board ships or enter port facilities when performing their official duties and to establish procedures whereby the authenticity of such documents might be verified.Fixed and floating platforms and mobile offshore drilling units on location4.19 Contracting Governments should consider establishing appropriate security measures for fixed and floating platforms and mobile offshore drilling units on location to allow interaction with ships which are required to comply with the provisions of chapter XI-2 and part A of this Code.Ships which are not required to comply with part A of this Code 4.20 Contracting Governments should consider establishing appropriate security measure to enhance the security of ships to which this these regulations does not apply and to ensure that any security provisions applying to such ships allow interaction with ships to which part A of this Code applies.Threats to ships and other incidents at sea4.21 Contracting Governments should provide general guidance on the measures considered appropriate to reduce the security risk to ships flying their flag when at sea. They should provide specific advice on the action to be taken in accordance with security levels 1 to 3, if—

(a)there is a change in the security level applying to the ship while it is at sea, e.g. because of the geographical area in which it is operating or relating to the ship itself; and

(b)there is a security incident or threat thereof involving the ship while at sea.

Contracting Governments should establish the best methods and procedures for these purposes. In the case of an imminent attack the ship should seek to establish direct communication with those responsible in the flag State for responding to security incidents.4.22 Contracting Governments should also establish a point of contact for advice on security for any ship—

(a)entitled to fly their flag; or

(b)operating in their territorial sea or having communicated an intention to enter their territorial sea.

4.23 Contracting Governments should offer advice to ships operating in their territorial sea or having communicated an intention to enter their territorial sea, which could include advice—

(a)to alter or delay their intended passage;

(b)to navigate on a particular course or proceed to a specific location;

(c)on the availability of any personnel or equipment that could be placed on the ship;

(d)to co-ordinate the passage, arrival into port or departure from port, to allow escort by patrol craft or aircraft (fixed-wing or helicopter).

Contracting Governments should remind ships operating in their territorial sea, or having communicated an intention to enter their territorial sea, of any temporary restricted areas that they have published.4.24 Contracting Governments should recommend that ships operating in their territorial sea, or having communicated an intention to enter their territorial sea, implement expeditiously, for the ship's protection and for the protection of other ships in the vicinity, any security measure the Contracting Government may have advised.4.25 The plans prepared by the Contracting Governments for the purposes given in paragraph 4.22 should include information on an appropriate point of contact, available on a 24-hour basis, within the Contracting Government including the administration. These plans should also include information on the circumstances in which the administration considers assistance should be sought from nearby coastal States, and a procedure for liaison between port facility security officers and ship security officers.Alternative security agreements4.26 Contracting Governments, in considering how to implement chapter XI-2 and part A of this Code, may conclude one or more agreements with one or more Contracting Governments. The scope of an agreement is limited to short international voyages on fixed routes between port facilities in the territory of the parties to the agreement. When concluding an agreement, and thereafter, the Contracting Governments should consult other Contracting Governments and administrations with an interest in the effects of the agreement. Ships flying the flag of a State that is not party to the agreement should only be allowed to operate on the fixed routes covered by the agreement if their administration agrees that the ship should comply with the provisions of the agreement and requires the ship to do so. In no case can such an agreement compromise the level of security of other ships and port facilities not covered by it, and specifically, all ships covered by such an agreement may not conduct ship-to-ship activities with ships not so covered. Any operational interface undertaken by ships covered by the agreement should be covered by it. The operation of each agreement must be continually monitored and amended when the need arises and in any event should be reviewed every 5 years.Equivalent arrangements for port facilities4.27 For certain specific port facilities with limited or special operations but with more than occasional traffic, it may be appropriate to ensure compliance by security measures equivalent to those prescribed in chapter XI-2 and in part A of this Code. This can, in particular, be the case for terminals such as those attached to factories, or quaysides with no frequent operations.Manning level4.28 In establishing the minimum safe manning of a ship the administration should take into account that the minimum safe manning provisions established by regulation V/14 only address the safe navigation of the ship. The administration should also take into account any additional workload which may result from the implementation of the ship's security plan and ensure that the ship is sufficiently and effectively manned. In doing so the administration should verify that ships are able to implement the hours of rest and other measures to address fatigue which have been promulgated by national law, in the context of all shipboard duties assigned to the various shipboard personnel.General4.29 Regulation XI-2/9 describes the control and compliance measures applicable to ships under chapter XI-2. It is divided into three distinct sections; control of ships already in a port, control of ships intending to enter a port of another Contracting Government, and additional provisions applicable to both situations.4.30 Regulation XI-2/9.1, control of ships in port, implements a system for the control of ships while in the port of a foreign country where duly authorized officers of the Contracting Government (duly authorized officers) have the right to go on board the ship to verify that the required certificates are in proper order. Then if there are clear grounds to believe the ship does not comply, control measures such as additional inspections or detention may be taken. This reflects current control systems. Regulation XI-2/9.1 builds on such systems and allows for additional measures (including expulsion of a ship from a port to be taken as a control measure) when duly authorized officers have clear grounds for believing that a ship is in non-compliance with the requirements of chapter XI-2 or part A of this Code. Regulation XI-2/9.3 describes the safeguards that promote fair and proportionate implementation of these additional measures.4.31 Regulation XI-2/9.2 applies control measures to ensure compliance to ships intending to enter a port of another Contracting Government and introduces an entirely different concept of control within chapter XI-2, applying to security only. Under this regulation measures may be implemented prior to the ship entering port, to better ensure security. Just as in regulation XI-2/9.1, this additional control system is based on the concept of clear grounds for believing the ship does not comply with chapter XI-2 or part A of this Code, and includes significant safeguards in regulations XI-2/9.2.2 and XI-2/9.2.5 as well as in regulation XI-2/9.3.4.32 Clear grounds that the ship is not in compliance means evidence or reliable information that the ship does not correspond with the requirements of chapter XI-2 or part A of this Code, taking into account the guidance given in this Part of the Code. Such evidence or reliable information may arise from the duly authorized officer's professional judgement or observations gained while verifying the ship's International Ship Security Certificate or Interim International Ship Security Certificate issued in accordance with part A of this Code (certificate) or from other sources. Even if a valid certificate is on board the ship, the duly authorized officers may still have clear grounds for believing that the ship is not in compliance based on their professional judgment.4.33 Examples of possible clear grounds under regulations XI-2/9.1 and XI-2/9.2 may include, when relevant—

(a)evidence from a review of the certificate that it is not valid or it has expired;

(b)evidence or reliable information that serious deficiencies exist in the security equipment, documentation or arrangements required by chapter XI-2 and part A of this Code;

(c)receipt of a report or complaint which, in the professional judgment of the duly authorized officer, contains reliable information clearly indicating that the ship does not comply with the requirements of chapter XI- 2 or part A of this Code;

(d)evidence or observation gained by a duly authorized officer using professional judgment that the master or ship's personnel is not familiar with essential shipboard security procedures or cannot carry out drills related to the security of the ship or that such procedures or drills have not been carried out;

(e)evidence or observation gained by a duly authorized officer using professional judgment that key members ship's personnel are not able to establish proper communication with any other key members of ship's personnel with security responsibilities on board the ship;

(f)evidence or reliable information that the ship has embarked persons, or loaded stores or goods at a port facility or from another ship where either the port facility or the other ship is in violation of chapter XI- 2 or part A of this Code, and the ship in question has not completed a Declaration of Security, nor taken appropriate, special or additional security measures or has not maintained appropriate ship security procedures;

(g)evidence or reliable information that the ship has embarked persons, or loaded stores or goods at a port facility or from another source (e.g., another ship or helicopter transfer) where either the port facility or the other source is not required to comply with chapter XI-2 or part A of this Code, and the ship has not taken appropriate, special or additional security measures or has not maintained appropriate security procedures; and

(h)if the ship holds a subsequent, consecutively issued Interim International Ship Security Certificate as described in section A/19.4, and if, in the professional judgment of an officer duly authorized, one of the purposes of the ship or a Company in requesting such a certificate is to avoid full compliance with these regulations beyond the period of the initial interim certificate as described in section A/19.4.4.

4.34 The international law implications of regulation XI-2/9 are particularly relevant, and the regulation should be implemented with regulation XI-2/2.4 in mind, as the potential exists for situations where either measures will be taken which fall outside the scope of chapter XI-2, or where rights of affected ships, outside chapter XI-2, should be considered. Thus, regulation XI-2/9 does not prejudice the Contracting Government from taking measures having a basis in, and consistent with, international law, to ensure the safety or security of persons, ships, port facilities and other property in cases where the ship, although in compliance with chapter XI-2 and part A of this Code, is still considered to present a security risk.4.35 When a Contracting Government imposes control measures on a ship, the administration should, without delay, be contacted with sufficient information to enable the administration to fully liaise with the Contracting Government.Control of ships in port4.36 Where the non-compliance is either a defective item of equipment or faulty documentation leading to the ship's detention and the non-compliance cannot be remedied in the port of inspection, the Contracting Government may allow the ship to sail to another port provided that any conditions agreed between the port States and the administration or master are met.Ships intending to enter the port of another Contracting Government4.37 Regulation XI-2/9.2.1 lists the information Contracting Governments may require from a ship as a condition of entry into port. One item of information listed is confirmation of any special or additional measures taken by the ship during its last ten calls at a port facility. Examples could include—

(a)records of the measures taken while visiting a port facility located in the territory of a State which is not a Contracting Government especially those measures that would normally have been provided by port facilities located in the territories of Contracting Governments; and

(b)any declarations of security that were entered into with port facilities or other ships.

4.38 Another item of information listed, that may be required as a condition of entry into port, is confirmation that appropriate ship security procedures were maintained during ship-to-ship activity conducted within the period of the last 10 calls at a port facility. It would not normally be required to include records of transfers of pilots, customs, immigration, security officials nor bunkering, lightering, loading of supplies and unloading of waste by ship within port facilities as these would normally fall within the auspices of the port facility security plan. Examples of information that might be given include—

(a)records of the measures taken while engaged in a ship to ship activity with a ship flying the flag of a State which is not a Contracting especially those measures that would normally have been provided by ships flying the flag of Contracting Governments;

(b)records of the measures taken while engaged in a ship to ship activity with a ship that is flying the flag of a Contracting Government but is not required to comply with the provisions of these regulations such as a copy of any security certificate issued to that ship under other provisions; and

(c)in the event that persons or goods rescued at sea are on board, all known information about such persons or goods, including their identities when known and the results of any checks run on behalf of the ship to establish the security status of those rescued. It is not the intention of chapter XI-2 or part A of this Code to delay or prevent the delivery of those in distress at sea to a place of safety. It is the sole intention of chapter XI- 2 and part A of this Code to provide States with enough appropriate information to maintain their security integrity.

4.39 Examples of other practical security related information on that may be required as a condition of entry into port in order to assist with ensuring the safety and security of persons, port facilities, ships and other property include—

(a)information contained in the Continuous Synopsis Record;

(b)location of the ship at the time the report is made;

(c)expected time of arrival of the ship in port;

(d)crew list;

(e)general description of cargo aboard the ship;

(f)passenger list; and

(g)information required to be carried under regulation XI- 2/5.

4.40 Regulation XI-2/9.2.5 allows the master of a ship, upon being informed that the coastal or port State will implement control measures under regulation XI-2/9.2, to withdraw the intention for the ship to enter port. If the master withdraws that intention, regulation XI-2/9 no longer applies, and any other steps that are taken must be based on, and consistent with, international law.Additional provisions4.41 In all cases where a ship is denied entry or expelled from a port, all known facts should be communicated to the authorities of relevant States. This communication should consist of the following when known—

(a)name of ship, its flag, the ship's identification number, call sign, ship type and cargo;

(b)reason for denying entry or expulsion from port or port areas;

(c)if relevant, the nature of any security non-compliance;

(d)if relevant, details of any attempts made to rectify any non-compliance, including any conditions imposed on the ship for the voyage;

(e)past port(s) of call and next declared port of call;

(f)time of departure and likely estimated time of arrival at those ports;

(g)any instructions given to ship, e.g., reporting on route;

(h)available information on the security level at which the ship is currently operating;

(i)information regarding any communications the port State has had with the administration;

(j)contact point within the port State making the report for the purpose of obtaining further information;

(k)crew list; and

(l)any other relevant information.

4.42 Relevant States to contact should include those along the ship's intended passage to its next port, particularly if the ship intends to enter the territorial sea of that coastal State. Other relevant States could include previous ports of call, so that further information might be obtained and security issues relating to the previous ports resolved.4.43 In exercising control and compliance measures, the duly authorized officers should ensure that any measures or steps imposed are proportionate. Such measures or steps should be reasonable and of the minimum severity and duration necessary to rectify or mitigate the non-compliance.4.44 The word "delay" in regulation XI-2/9.3.5.1 also refers to situations where, pursuant to actions taken under this regulation, the ship is unduly denied entry into port or the ship is unduly expelled from port.Non-party ships and ships below convention size4.45 With respect to ships flying the flag of a State which is not a Contracting Government to the Convention and not a Party to the 1988 SOLAS Protocol, Contracting Governments should not give more favourable treatment to such ships. Accordingly, the requirements of regulation XI-2/9 and the guidance provided in this Part of the Code should be applied to those ships.4.46 Ships below Convention size are subject to measures by which States maintain security. Such measures should be taken with due regard to the requirements in chapter XI-2 and the guidance provided in this Part of the Code.5. Declaration of SecurityGeneral5.1 A declaration of security should be completed when the Contracting Government of the port facility deems it to be necessary or when a ship deems it necessary.5.1.1 The need for a declaration of security may be indicated by the results of the port facility security assessment ( and the reasons and circumstances in which a declaration of security is required should be set out in the port facility security plan.5.1.2 The need for a declaration of security may be indicated by an administration for ships entitled to fly its flag or as a result of a ship security assessment and should be set out in the ship security plan.5.2 It is likely that a declaration of security will be requested at higher security levels, when a ship has a higher security level than the port facility, or another ship with which it interfaces, and for ship/port interface or ship to ship activities that pose a higher risk to persons, property or the environment for reasons specific to that ship, including its cargo or passengers or the circumstances at the port facility or a combination of these factors.5.2.1 In the case that a ship or an administration, on behalf of ships entitled to fly its flag, requests completion of a declaration of security, the port facility security officer or ship security officer should acknowledge the request and discuss appropriate security measures.5.3 A port facility security officer may also initiate a declaration of security prior to ship/port interfaces that are identified in the approved port facility security assessment as being of particular concern. Examples may include the embarking or disembarking passengers, and the transfer, loading or unloading of dangerous goods or hazardous substances. The port facility security assessment may also identify facilities at or near highly populated areas or economically significant operations that warrant a declaration of security.5.4 The main purpose of a declaration of security is to ensure agreement is reached between the ship and the port facility or with other ships with which it interfaces as to the respective security measures each will undertake in accordance with the provisions of their respective approved security plans.5.4.1 The agreed declaration of security should be signed and dated by both the port facility and the ship(s), as applicable, to indicate compliance with these regulations and should include its duration, the relevant security level, or levels and the relevant contact details.5.4.2 A change in the security level may require that a new or revised declaration of security be completed.5.5 The declaration of security should be completed in English, French or Spanish or in a language common to both the port facility and the ship or the ships, as applicable.5.6 A model declaration of security is included in First Schedule of these regulations. This model is for declaration of security between a ship and a port facility. If the declaration of security is to cover two ships this model should be appropriately adjusted.6. Obligations of the CompanyGeneral6.1 Regulation XI-2/5 requires the company to provide the master of the ship with information to meet the requirements of the company under the provisions of this regulation. This information should include items such as—

(a)parties responsible for appointing shipboard personnel, such as ship management companies, manning agents, contractors, concessionaries (for example, retail sales outlets, casinos, etc.);

(b)parties responsible for deciding the employment of the ship including, time or bareboat charterer(s) or any other entity acting in such capacity; and

(c)in cases when the ship is employed under the terms of a charter party, the contact details of those parties including time or voyage charterers.

6.2 In accordance with regulation XI-2/5 the company is obliged to update and keep this information current as and when changes occur.6.3 This information should be in English, French or Spanish language.6.4 With respect to ships constructed before 1 July 2004, this information should reflect the actual condition on that date.6.5 With respect to ships constructed on or after 1 July 2004 and for ships constructed before 1 July 2004 which were out of service on 1 July 2004, the information should be provided as from the date of entry of the ship into service and should reflect the actual condition on that date.6.6 After 1 July 2004 when a ship is withdrawn from service the information should be provided as from the date of re-entry of the ship into service and should reflect the actual condition on that date.6.7 Previously provided information that does not relate to the actual condition on that date need not be retained on board.6.8 When the responsibility for the operation of the ship is assumed by another company, the information relating to the company, which operated the ship, is not required to be left on board.In addition other relevant guidance is provided under sections 8, 9 and 13.7. Ship SecurityRelevant guidance is provided under sections 8, 9, 11, 12 and 14.8. Ship Security Assessment Security assessment8.1 The company security officer is responsible for ensuring that a ship security assessment is carried out for each of the ships in the company's fleet which is required to comply with the provisions of these regulations for which the company security officer is responsible. While the company security officer need not necessarily personally undertake all the duties associated with the post, the ultimate responsibility for ensuring that they are properly performed remains with the individual company security officer.8.2 Prior to commencing the ship security assessment, the company security officer should ensure that advantage is taken of information available on the assessment of threat for the ports at which the ship will call or at which passengers embark or disembark and about the port facilities and their protective measures. The company security officer should study previous reports on similar security needs. Where feasible, the company security officer should meet with appropriate persons on the ship and in the port facilities to discuss the purpose and methodology of the assessment. The company security officer should follow any specific guidance offered by the Contracting Governments.8.3 A ship security assessment should address the following elements on board or within the ship—

(a)physical security;

(b)structural integrity;

(c)personnel protection systems;

(d)procedural policies;

(e)radio and telecommunication systems, including computer systems and networks; and

(f)other areas that may, if damaged or used for illicit observation, pose a risk to persons, property, or operations on board the ship or within a port facility.

8.4 Those involved in a ship security assessment should be able to draw upon expert assistance in relation to—

(a)knowledge of current security threats and patterns;

(b)recognition and detection of weapons, dangerous substances and devices;

(c)recognition, on a non-discriminatory basis, of characteristics and behavioural patterns of persons who are likely to threaten security;

(d)techniques used to circumvent security measures;

(e)methods used to cause a security incident;

(f)effects of explosives on ship's structures and equipment;

(g)ship security;

(h)ship/port interface business practices;

(i)contingency planning, emergency preparedness and response;

(j)physical security;

(k)radio and telecommunications systems, including computer systems and networks;

(l)marine engineering; and

(m)ship and port operations.

8.5 The company security officer should obtain and record the information required to conduct an assessment, including—

(a)the general layout of the ship;

(b)the location of areas which should have restricted access, such as navigation bridge, machinery spaces of category A and other control stations as defined in chapter II-2, etc.;

(c)the location and function of each actual or potential access point to the ship;

(d)changes in the tide which may have an impact on the vulnerability or security of the ship;

(e)the cargo spaces and stowage arrangements;

(f)the locations where the ship's stores and essential maintenance equipment is stored;

(g)the locations where unaccompanied baggage is stored;

(h)the emergency and stand-by equipment available to maintain essential services;

(i)the number of ship's personnel, any existing security duties and any existing training requirement practices of the company;

(j)existing security and safety equipment for the protection of passengers and ship's personnel;

(k)escape and evacuation routes and assembly stations which have to be maintained to ensure the orderly and safe emergency evacuation of the ship;

(l)existing agreements with private security companies providing ship/waterside security services; and

(m)existing security measures and procedures in effect, including inspection and, control procedures, identification systems, surveillance and monitoring equipment, personnel identification documents and communication, alarms, lighting, access control and other appropriate systems.

8.6 The ship security assessment should examine each identified point of access, including open weather decks, and evaluate its potential for use by individuals who might seek to breach security. This includes points of access available to individuals having legitimate access as well as those who seek to obtain unauthorized entry.8.7 The ship security assessment should consider the continuing relevance of the existing security measures and guidance, procedures and operations, under both routine and emergency conditions and should determine security guidance including—

(i)the restricted areas;

(ii)the response procedures to fire or other emergency conditions;

(iii)the level of supervision of the ship's personnel, passengers, visitors, vendors, repair technicians, dock workers, etc.;

(iv)the frequency and effectiveness of security patrols;

(v)the access control systems, including identification systems;

(vi)the security communications systems and procedures;

(vii)the security doors, barriers and lighting; and

(viii)the security and surveillance equipment and systems, if any.

8.8 The ship security assessment should consider the persons, activities, services and operations that it is important to protect. This includes—

(a)the ship's personnel;

(b)passengers, visitors, vendors, repair technicians, port facility personnel, etc;

(c)the capacity to maintain safe navigation and emergency response;

(d)the cargo, particularly dangerous goods or hazardous substances;

(e)the ship's stores;

(f)the ship security communication equipment and systems, if any; and

(g)the ship's security surveillance equipment and systems, if any.

8.9 The ship security assessment should consider all possible threats, which may include the following types of security incidents—

(a)damage to, or destruction of, the ship or of a port facility, e.g. by explosive devices, arson, sabotage or vandalism;

(b)hijacking or seizure of the ship or of persons on board;

(c)tampering with cargo, essential ship equipment or systems or ship's stores;

(d)unauthorized access or use, including presence of stowaways;

(e)smuggling weapons or equipment, including weapons of mass destruction;

(f)use of the ship to carry those intending to cause a security incident and/or their equipment;

(g)use of the ship itself as a weapon or as a means to cause damage or destruction;

(h)attacks from seaward whilst at berth or at anchor; and

(i)attacks whilst at sea.

8.10 The ship security assessment should take into account all possible vulnerabilities, which may include—

(a)conflicts between safety and security measures;

(b)conflicts between shipboard duties and security assignments;

(c)watch-keeping duties, number of ship's personnel, particularly with implications on crew fatigue, alertness and performance;

(d)any identified security training deficiencies; and

(e)any security equipment and systems, including communication systems.

8.11 The company security officer and ship security officer should always have regard to the effect that security measures may have on ship's personnel who will remain on the ship for long periods. When developing security measures, particular consideration should be given to the convenience, comfort and personal privacy of the ship's personnel and their ability to maintain their effectiveness over long periods.8.12 Upon completion of the ship security assessment, a report shall be prepared, consisting of a summary of how the assessment was conducted, a description of each vulnerability found during the assessment and a description of counter measures that could be used to address each vulnerability. The report shall be protected from unauthorized access or disclosure.8.13 If the SSA has not been carried out by the company, the report of the SSA should be reviewed and accepted by the company security officer.On-scene security survey8.14 The on-scene security survey is an integral part of any ship security assessment.The on-scene security survey should examine and evaluate existing shipboard protective measures, procedures and operations for—

(a)ensuring the performance of all ship security duties;

(b)monitoring restricted areas to ensure that only authorized persons have access;

(c)controlling access to the ship, including any identification systems;

(d)monitoring of deck areas and areas surrounding the ship;

(e)controlling the embarkation of persons and their effects (accompanied and unaccompanied baggage and ship's personnel personal effects);

(f)supervising the handling of cargo and the delivery of ship's stores; and

(g)ensuring that ship security communication, information, and equipment are readily available.

9. Ship Security PlanGeneral9.1 The Company Security Officer has the responsibility of ensuring that a ship security plan is prepared and submitted for approval. The content of each individual ship security plan should vary depending on the particular ship it covers. The Ship security assessment will have identified the particular features of the ship and the potential threats and vulnerabilities. The preparation of the ship security plan will require these features to be addressed in detail. Administrations may prepare advice on the preparation and content of a ship security plan.9.2 All ship security plans should—

(a)detail the organizational structure of security for the ship;

(b)detail the ship's relationships with the company, port facilities, other ships and relevant authorities with security responsibility;

(c)detail the communication systems to allow effective continuous communication within the ship and between the ship and others, including port facilities;

(d)detail the basic security measures for security level 1, both operational and physical, that will always be in place;

(e)detail the additional security measures that will allow the ship to progress without delay to security level 2 and, when necessary, to security level 3;

(f)provide for regular review, or audit, of the ship security plan and for its amendment in response to experience or changing circumstances; and

(g)reporting procedures to the appropriate Contracting Governments contact points.

9.3 Preparation of an effective ship security plan should rest on a thorough assessment of all issues that relate to the security of the ship, including, in particular, a thorough appreciation of the physical and operational characteristics, including the voyage pattern, of the individual ship.9.4 All ship security plans should be approved by, or on behalf of, the administration. If an administration uses a recognized security organization to review or approve the ship security plan the recognized security organization should not be associated with any other recognized security organization that prepared, or assisted in the preparation of, the plan.9.5 Company security officers and ship security officers should develop procedures to—

(a)assess the continuing effectiveness of the ship security plan; and

(b)prepare amendments of the plan subsequent to its approval.

9.6 The security measures included in the ship security plan should be in place when the initial verification for compliance with the requirements of these regulations will be carried out. Otherwise the process of issue to the ship of the required International Ship Security Certificate cannot be carried out. If there is any subsequent failure of security equipment or systems, or suspension of a security measure for whatever reason, equivalent temporary security measures should be adopted, notified to, and agreed by, the administration.Organization and performance of ship security duties9.7 In addition to the guidance given in section 9.2, the ship security plan should establish the following which relate to all security levels—

(a)the duties and responsibilities of all shipboard personnel with a security role;

(b)the procedures or safeguards necessary to allow such continuous communications to be maintained at all times;

(c)the procedures needed to assess the continuing effectiveness of security procedures and any security and surveillance equipment and systems, including procedures for identifying and responding to equipment or systems failure or malfunction;

(d)the procedures and practices to protect security sensitive information held in paper or electronic format;

(e)the type and maintenance requirements, of security and surveillance equipment and systems, if any;

(f)the procedures to ensure the timely submission, and assessment, of reports relating to possible breaches of security or security concerns; and

(g)procedures to establish, maintain and up-date an inventory of any dangerous goods or hazardous substances carried on board, including their location.

9.8 The remainder of this section addresses specifically the security measures that could be taken at each security level covering—

(a)access to the ship by ship's personnel, passengers, visitors, etc;

(b)restricted areas on the ship;

(c)handling of cargo;

(d)delivery of ship's stores;

(e)handling unaccompanied baggage; and

(f)monitoring the security of the ship.

Access to the ship9.9 The ship security plan should establish the security measures covering all means of access to the ship identified in the ship security assessment. This should include any—

(a)access ladders;

(b)access gangways;

(c)access ramps;

(d)access doors, side scuttles, windows and ports;

(e)mooring lines and anchor chains; and

(f)cranes and hoisting gear.

9.10 For each of these the ship security plan should identify the appropriate locations where access restrictions or prohibitions should be applied for each of the security levels. For each security level the ship security plan should establish the type of restriction or prohibition to be applied and the means of enforcing them.9.11 The ship security plan should establish for each security level the means of identification required to allow access to the ship and for individuals to remain on the ship without challenge, this may involve developing an appropriate identification system allowing for permanent and temporary identifications, for ship's personnel and visitors respectively. Any ship identification system should, when it is practicable to do so, be co-ordinated with that applying to the port facility. Passengers should be able to prove their identity by boarding passes, tickets, etc., but should not be permitted access to restricted areas unless supervised. The ship security plan should establish provisions to ensure that the identification systems are regularly updated, and that abuse of procedures should be subject to disciplinary action.9.12 Those unwilling or unable to establish their identity and/or to confirm the purpose of their visit when requested to do so should be denied access to the ship and their attempt to obtain access should be reported, as appropriate, to the ship security officers, the company security officers, the port facility security officer and to the national or local authorities with security responsibilities.9.13 The ship security plan should establish the frequency of application of any access controls particularly if they are to be applied on a random, or occasional, basis.Security Level 19.14 At security level 1, the ship security plan should establish the security measures to control access to the ship, where the following may be applied—

(a)checking the identity of all persons seeking to board the ship and confirming their reasons for doing so by checking, for example, joining instructions, passenger tickets, boarding passes, work orders etc;

(b)in liaison with the port facility the ship should ensure that designated secure areas are established in which inspections and searching of persons, baggage (including carry on items), personal effects, vehicles and their contents can take place;

(c)in liaison with the port facility the ship should ensure that vehicles destined to be loaded on board car carriers, ro-ro and other passenger ships are subjected to search prior to loading, in accordance with the frequency required in the ship security plan;

(d)segregating checked persons and their personal effects from unchecked persons and their personal effects;

(e)segregating embarking from disembarking passengers;

(f)identification of access points that should be secured or attended to prevent unauthorized access;

(g)securing, by locking or other means, access to unattended spaces adjoining areas to which passengers and visitors have access; and

(h)providing security briefings to all ship personnel on possible threats, the procedures for reporting suspicious persons, objects or activities and the need for vigilance.

9.15 At security level 1, all those seeking to board a ship should be liable to search. The frequency of such searches, including random searches, should be specified in the approved ship security plan and should be specifically approved by the administration. Such searches may best be undertaken by the port facility in close co-operation with the ship and in close proximity to it. Unless there are clear security grounds for doing so, members of the ship's personnel should not be required to search their colleagues or their personal effects. Any such search shall be undertaken in a manner which fully takes into account the human rights of the individual and preserves their basic human dignity.Security Level 29.16 At security level 2, the ship security plan should establish the security measures to be applied to protect against a heightened risk of a security incident to ensure higher vigilance and tighter control, which may include—

(a)assigning additional personnel to patrol deck areas during silent hours to deter unauthorized access;

(b)limiting the number of access points to the ship, identifying those to be closed and the means of adequately securing them;

(c)deterring waterside access to the ship, including, for example, in liaison with the port facility, provision of boat patrols;

(d)establishing a restricted area on the shore-side of the ship, in close co- operation with the port facility;

(e)increasing the frequency and detail of searches of persons, personal effects, and vehicles being embarked or loaded onto the ship;

(f)escorting visitors on the ship;

(g)providing additional specific security briefings to all ship personnel on any identified threats, re-emphasising the procedures for reporting suspicious persons, objects, or activities and the stressing the need for increased vigilance; and

(h)carrying out a full or partial search of the ship.

Security Level 39.17 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The ship security plan should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include—

(a)limiting access to a single, controlled, access point;

(b)granting access only to those responding to the security incident or threat thereof;

(c)directions of persons on board;

(d)suspension of embarkation or disembarkation;

(e)suspension of cargo handling operations, deliveries etc;

(f)evacuation of the ship;

(g)movement of the ship; and

(h)preparing for a full or partial search of the ship.

Restricted areas on the ship9.18 The ship security plan should identify the restricted areas to be established on the ship, specify their extent, times of application, the security measures to be taken to control access to them and those to be taken to control activities within them. The purpose of restricted areas are to—

(a)prevent unauthorized access;

(b)protect passengers, ship's personnel, and personnel from port facilities or other agencies authorized to be on board the ship;

(c)protect sensitive security areas within the ship; and

(d)protect cargo and ship's stores from tampering.

9.19 The ship security plan should ensure that there are clearly established policies and practices to control access to all restricted areas them.9.20 The ship security plan should provide that all restricted areas should be clearly marked indicating that access to the area is restricted and that unauthorized presence within the area constitutes a breach of security.9.21 Restricted areas may include—

(a)navigation bridge, machinery spaces of category A and other control stations as defined in chapter II-2;

(b)spaces containing security and surveillance equipment and systems and their controls and lighting system controls;

(c)ventilation and air-conditioning systems and other similar spaces;

(d)spaces with access to potable water tanks, pumps, or manifolds;

(e)spaces containing dangerous goods or hazardous substances;

(f)spaces containing cargo pumps and their controls;

(g)cargo spaces and spaces containing ship's stores;

(h)crew accommodation; and

(i)any other areas as determined by the company security officer, through the ship security assessment to which access must be restricted to maintain the security of the ship.

Security Level 19.22 At security level 1, the ship security plan should establish the security measures to be applied to restricted areas, which may include—

(a)locking or securing access points;

(b)using surveillance equipment to monitor the areas;

(c)using guards or patrols; and

(d)using automatic intrusion detection devices to alert the ship's personnel of unauthorized access.

Security Level 29.23 At security level 2, the frequency and intensity of the monitoring of, and control of access to restricted areas should be increased to ensure that only authorized persons have access. The ship security plan should establish the additional security measures to be applied, which may include—

(a)establishing restricted areas adjacent to access points;

(b)continuously monitoring surveillance equipment; and

(c)dedicating additional personnel to guard and patrol restricted areas.

Security Level 39.24 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The ship security plan should detail the security measures which could be taken by the ship, in close co- operations with those responding and the port facility, which may include—

(a)setting up of additional restricted areas on the ship in proximity to the security incident, or the believed location of the security threat, to which access is denied; and

(b)searching of restricted areas as part of a search of the ship.

Handling of cargo9.25 The security measures relating to cargo handling should—

(a)prevent tampering; and

(b)prevent cargo that is not meant for carriage from being accepted and stored on board the ship.

9.26 The security measures, some of which may have to be applied in liaison with the port facility, should include inventory control procedures at access points to the ship. Once on board the ship, cargo should be capable of being identified as having been approved for loading onto the ship. In addition, security measures should be developed to ensure that cargo, once on board, is not tampered with.Security Level 19.27 At security level 1, the ship security plan should establish the security measures to be applied during cargo handling, which may include—

(a)routine checking of cargo, cargo transport units and cargo spaces prior to, and during, cargo handling operations;

(b)checks to ensure that cargo being loaded matches the cargo documentation;

(c)ensuring, in liaison with the port facility, that vehicles to be loaded on board car-carriers, ro-ro and passenger ships are subjected to search prior to loading, in accordance with the frequency required in the SSP; and

(d)checking of seals or other methods used to prevent tampering.

9.28 Checking of cargo may be accomplished by the following means—

(a)visual and physical examination; and

(b)using scanning and detection equipment, mechanical devices, or dogs.

9.29 When there are regular, or repeated, cargo movement the company security officer or ship security officer may, in consultation with the port facility, agree arrangements with shippers or others responsible for such cargo covering offsite checking, sealing, scheduling, supporting documentation, etc. Such arrangements should be communicated to and agreed with the port facility security officer concerned.Security Level 29.30 At security level 2, the ship security plan should establish the additional security measures to be applied during cargo handling, which may include—

(a)detailed checking of cargo, cargo transport units and cargo spaces;

(b)intensified checks to ensure that only the intended cargo is loaded;

(c)intensified searching of vehicles to be loaded on car-carriers, ro-ro and passenger ships; and

(d)increased frequency and detail in checking of seals or other methods used to prevent tampering.

9.31 Detailed checking of cargo may be accomplished by the following means—

(a)increasing the frequency and detail of visual and physical examination;

(b)increasing the frequency of the use of scanning anddetection equipment, mechanical devices, or dogs; and

(c)co-ordinating enhanced security measures with the shipper or other responsible party in accordance with an established agreement and procedures.

Security Level 39.32 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The ship security plan should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include—

(a)suspension of the loading or unloading of cargo; and

(b)verify the inventory of dangerous goods and hazardous substances carried on board, if any, and their location.

Delivery of ship's stores9.33 The security measures relating to the delivery of ship's stores should—

(a)ensure checking of ship's stores and package integrity;

(b)prevent ship's stores from being accepted without inspection;

(c)prevent tampering; and

(d)prevent ship's stores from being accepted unless ordered.

9.34 For ships regularly using the port facility it may be appropriate to establish procedures involving the ship, its suppliers and the port facility covering notification and timing of deliveries and their documentation. There should always be some way of confirming that stores presented for delivery are accompanied by evidence that they have been ordered by the ship.Security Level 19.35 At security level 1, the ship security plan should establish the security measures to be applied during delivery of ship's stores, which may include—

(a)checking to ensure stores match the order prior to being loaded on board; and

(b)ensuring immediate secure stowage of ship's stores.

Security Level 29.36 At security level 2, the ship security plan should establish the additional security measures to be applied during delivery of ship's stores by exercising checks prior to receiving stores on board and intensifying inspections.Security Level 39.37 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The ship security plan should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include—

(a)subjecting ship's stores to more extensive checking;

(b)preparation for restriction or suspension of handling of ship's stores; and

(c)refusal to accept ship's stores on board the ship.

Handling unaccompanied baggage9.38 The ship security plan should establish the security measures to be applied to ensure that unaccompanied baggage (i.e. any baggage, including personal effects, which is not with the passenger or member of ship's personnel at the point of inspection or search) is identified and subjected to appropriate screening, including searching, before it is accepted on board the ship. It is not envisaged that such baggage will be subjected to screening by both the ship and the port facility, and in cases where both are suitably equipped, the responsibility for screening should rest with the port facility. Close co-operation with the port facility is essential and steps should be taken to ensure that unaccompanied baggage is handled securely after screening.Security Level 19.39 At security level 1, the ship security plan should establish the security measures to be applied when handling unaccompanied baggage to ensure that unaccompanied baggage is screened or searched up to and including one hundred percent, which may include use of x-ray screening.Security Level 29.40 At security level 2, the ship security plan should establish the additional security measures to be applied when handling unaccompanied baggage which should include 100 percent x-ray screening of all unaccompanied baggage.Security Level 39.41 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The ship security plan should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include—

(a)subjecting such baggage to more extensive screening, for example x-raying it from at least two different angles;

(b)preparation for restriction or suspension of handling of unaccompanied baggage; and

(c)refusal to accept unaccompanied baggage on board the ship.

Monitoring the Security of the Ship9.42 The ship should have the capability to monitor the ship, the restricted areas on board and areas surrounding the ship. Such monitoring capabilities may include use of—

(a)lighting;

(b)watch-keepers, security guards and deck watches including patrols; and

(c)automatic intrusion detection devices and surveillance equipment.

9.43 When used, automatic intrusion detection devices should activate an audible and/or visual alarm at a location that is continuously attended or monitored.9.44 The SSP should establish the procedures and equipment needed at each security level and the means of ensuring that monitoring equipment will be able to perform continually, including consideration of the possible effects of weather conditions or of power disruptions.Security Level 19.45 At security level 1, the ship security plan should establish the security measures to be applied which may be a combination of lighting, watch keepers, security guards or use of security and surveillance equipment to allow ship's security personnel to observe the ship in general, and barriers and restricted areas in particular.9.46 The ship's deck and access points to the ship should be illuminated during hours of darkness and periods of low visibility while conducting ship and port interface activities or at a port facility or anchorage when necessary. While underway, when necessary, ships should use the maximum lighting available consistent with safe navigation, having regard to the provisions of the International Regulations for the Prevention of Collisions at Sea in force. The following should be considered when establishing the appropriate level and location of lighting—

(a)the ship's personnel should be able to detect activities beyond the ship, on both the shore side and the waterside;

(b)coverage should include the area on and around the ship;

(c)coverage should facilitate personnel identification at access points; and

(d)coverage may be provided through coordination with the port facility.

Security Level 29.47 At security level 2, the ship security plan should establish the additional security measures to be applied to enhance the monitoring and surveillance capabilities, which may include—

(a)increasing the frequency and detail of security patrols;

(b)increasing the coverage and intensity of lighting or the use of security and surveillance and equipment;

(c)assigning additional personnel as security lookouts; and

(d)ensuring coordination with waterside boat patrols, and foot or vehicle patrols on the shore-side, when provided.

9.48 Additional lighting may be necessary to protect against a heightened risk of a security incidents. When necessary, the additional lighting requirements may be accomplished by coordinating with the port facility to provide additional shore side lighting.Security Level 39.49 At security level 3, the ship should comply with the instructions issued by those responding to the security incident or threat thereof. The ship security plan should detail the security measures which could be taken by the ship, in close co-operation with those responding and the port facility, which may include—

(a)switching on of all lighting on, or illuminating the vicinity of, the ship;

(b)switching on of all on board surveillance equipment capable of recording activities on, or in the vicinity of, the ship;

(c)maximising the length of time such surveillance equipment can continue to record;

(d)preparation for underwater inspection of the hull of the ship; and

(e)initiation of measures, including the slow revolution of the ship's propellers, if practicable, to deter underwater access to the hull of the ship.

Differing security levels9.50 The SSP should establish details of the procedures and security measures the ship could adopt if the ship is at a higher security level than that applying to a port facility.Activities not covered by the Code9.51 The SSP should establish details of the procedures and security measures the ship should apply when—

(a)it is at a port of a State which is not a Contracting Government;

(b)it is interfacing with a ship to which this Code does not apply;

(c)it is interfacing with fixed or floating platforms or a mobile drilling unit on location; or

(d)it is interfacing with a port or port facility which is not required to comply with chapter XI-2 and part A of this Code.

Declarations of security9.52 The ship security plan should detail how requests for declaration of security from a port facility will be handled and the circumstances under which the ship itself should request a declaration of security.Audit and review9.53 The ship security plan should establish how the company security officer and the ship security officer intend to audit the continued effectiveness of the SSP and the procedure to be followed to review, update or amend the ship security plan.10. RecordsGeneral10.1 Records should be available to duly authorized officers of Contracting Governments to verify that the provisions of ship security plans are being implemented.10.2 Records may be kept in any format but should be protect from unauthorized access or disclosure.11. Company Security Officer Relevant guidance is provided under regulations 20, 21 and 25.12. Ship Security Officer Relevant guidance is provided under regulation 19, 26 and 28.13. Training, drills and exercises on ship security Training13.1 The company security officer and appropriate shore based company personnel, and the ship security officer , should have knowledge of, and receive training, in some or all of the following, as appropriate—

(a)security administration ;

(b)relevant international conventions, codes and recommendations;

(c)relevant Government legislation and regulations;

(d)responsibilities and functions of other security organizations;

(e)methodology of ship security assessment;

(f)methods of ship security surveys and inspections;

(g)ship and port operations and conditions;

(h)ship and port facility security measures;

(i)emergency preparedness and response and contingency planning;

(j)instruction techniques for security training and education, including security measures and procedures;

(k)handling sensitive security related information and security related communications;

(l)knowledge of current security threats and patterns;

(m)recognition and detection of weapons, dangerous substances and devices;

(n)recognition, on a non-discriminatory basis, of characteristics and behavioural patterns of persons who are likely to threaten security;

(o)techniques used to circumvent security measures;

(p)security equipment and systems and their operational limitations;

(q)methods of conducting audits, inspection, control and monitoring;

(r)methods of physical searches and non-intrusive inspections;

(s)security drills and exercises, including drills and exercises with port facilities; and

(t)assessment of security drills and exercises.

13.2 In addition the ship security officer should have adequate knowledge of, and receive training, in some or all of the following, as appropriate—

(a)the layout of the ship;

(b)the ship security plan and related procedures (including scenario-based training on how to respond);

(c)crowd management and control techniques;

(d)operations of security equipment and systems; and

(e)testing, calibration and whilst at sea maintenance of security equipment and systems.

13.3 Shipboard personnel having specific security duties should have sufficient knowledge and ability to perform their assigned duties, including, as appropriate—

(a)knowledge of current security threats and patterns;

(b)recognition and detection of weapons, dangerous substances and devices;

(c)recognition of characteristics and behavioural patterns of persons who are likely to threaten security;

(d)techniques used to circumvent security measures;

(e)crowd management and control techniques;

(f)security related communications;

(g)knowledge of the emergency procedures and contingency plans;

(h)operations of security equipment and systems;

(i)testing, calibration and whilst at sea maintenance of security equipment and systems;

(j)inspection, control, and monitoring techniques; and

(k)methods of physical searches of persons, personal effects, baggage, cargo, and ship's stores.

13.4 All other shipboard personnel should have sufficient knowledge of and be familiar with relevant provisions of the ship security plan, including—

(a)the meaning and the consequential requirements of the different security levels;

(b)knowledge of the emergency procedures and contingency plans;

(c)recognition and detection of weapons, dangerous substances and devices;

(d)recognition, on a non discriminatory basis, of characteristics and behavioural patterns of persons who are likely to threaten security; and

(e)techniques used to circumvent security measures.

Drills and exercises13.5 The objective of drills and exercises is to ensure that shipboard personnel are proficient in all assigned security duties at all security levels and the identification of any security related deficiencies, which need to be addressed.13.6 To ensure the effective implementation of the provisions of the ship security plan, drills should be conducted at least once every three months. In addition, in cases where more than twenty five percent of the ship's personnel has been changed, at any one time, with personnel that has not previously participated in any drill on that ship, within the last three months, a drill should be conducted within one week of the change. These drills should test individual elements of the plan such as those security threats listed in paragraph 8.9.13.7 Various types of exercises which may include participation of company security officers, port facility security officers, relevant authorities of Contracting Governments as well as ship security officers, if available, should be carried out at least once each calendar year with no more than 18 months between the exercises. These exercises should test communications, coordination, resource availability, and response. These exercises may be—

(a)full scale or live;

(b)tabletop simulation or seminar; or

(c)combined with other exercises held such as search and rescue or emergency response exercises.

13.8 Company participation in an exercise with another Contracting Government should be recognized by the administration.14. Port Facility Security Relevant guidance is provided under regulation 16, 17 and 18.15. Port Facility Security AssessmentGeneral15.1 The port facility security assessment may be conducted by a recognized security organization . However, approval of a completed PFSA should only be given by the relevant Contracting Government.15.2 If a Contracting Government uses a recognized security organization , to review or verify compliance of the port facility security assessment, the recognized security organization should not be associated with any other recognized security organization that prepared or assisted in the preparation of that assessment.15.3 A port facility security assessment should address the following elements within a port facility—

(a)physical security;

(b)structural integrity;

(c)personnel protection systems;

(d)procedural policies;

(e)radio and telecommunication systems, including computer systems and networks;

(f)relevant transportation infrastructure;

(g)utilities; and

(h)other areas that may, if damaged or used for illicit observation, pose a risk to persons, property, or operations within the port facility.

15.4 Those involved in a port facility security assessment should be able to draw upon expert assistance in relation to—

(a)knowledge of current security threats and patterns;

(b)recognition and detection of weapons, dangerous substances and devices;

(c)recognition, on a non-discriminatory basis, of characteristics and behavioural patterns of persons who are likely to threaten security;

(d)techniques used to circumvent security measures;

(e)methods used to cause a security incident;

(f)effects of explosives on structures and port facility services;

(g)port facility security;

(h)port business practices;

(i)contingency planning, emergency preparedness and response;

(j)physical security measures e.g. fences;

(k)radio and telecommunications systems, including computer systems and networks;

(l)transport and civil engineering; and

(m)ship and port operations.

Identification and evaluation of important assets and infrastructure it is important to protect15.5 The identification and evaluation of important assets and infrastructure is a process through which the relative importance of structures and installations to the functioning of the port facility can be established. This identification and evaluation process is important because it provides a basis for focusing mitigation strategies on those assets and structures which it is more important to protect from a security incident. This process should take into account potential loss of life, the economic significance of the port, symbolic value, and the presence of Government installations.15.6 Identification and evaluation of assets and infrastructure should be used to prioritise their relative importance for protection. The primary concern should be avoidance of death or injury. It is also important to consider whether the port facility, structure or installation can continue to function without the asset and the extent to which rapid re-establishment of normal functioning is possible.15.7 Assets and infrastructure that should be considered important to protect may include—

(a)accesses, entrances, approaches, and anchorages, manoeuvring and berthing areas;

(b)cargo facilities, terminals, storage areas, and cargo handling equipment;

(c)systems such as electrical distribution systems, radio and telecommunication systems and computer systems and networks;

(d)port vessel traffic management systems and aids to navigation;

(e)power plants, cargo transfer piping, and water supplies;

(f)bridges, railways, roads;

(g)port service vessels, including pilot boats, tugs, lighters etc;

(h)security and surveillance equipment and systems; and

(i)the waters adjacent to the port facility.

15.8 The clear identification of assets and infrastructure is essential to the evaluation of the port facility's security requirements, the prioritisation of protective measures, and decisions concerning the allocation of resources to better protect the port facility. The process may involve consultation with the relevant authorities relating to structures adjacent to the port facility which could cause damage within the facility or be used for the purpose of causing damage to the facility or for illicit observation of the facility or for diverting attention.Identification of the possible threats to the assets and infrastructure and the likelihood of their occurrence, in order to establish and prioritise security measures15.9 Possible acts that could threaten the security of assets and infrastructure, and the methods of carrying out those acts, should be identified to evaluate the vulnerability of a given asset or location to a security incident, and to establish and prioritise security requirements to enable planning and resource allocations. Identification and evaluation of each potential act an its method should be based on various factors, including threat assessments by Government agencies. By identifying and assessing threats, those conducting the assessment do not have to rely on worst-case scenarios to guide planning and resource allocations.15.10 The port facility security assessment should include an assessment undertaken in consultation with the relevant national security organizations to determine—

(a)any particular aspects of the port facility, including the vessel traffic using the facility, which make it likely to be the target of an attack;

(b)the likely consequences in terms of loss of life, damage to property, economic disruption, including disruption to transport systems, of an attack on, or at, the port facility;

(c)the capability and intent of those likely to mount such an attack; and

(d)the possible type, or types, of attack,

producing an overall assessment of the level of risk against which security measures have to be developed.15.11 The port facility security assessment should consider all possible threats, which may include the following types of security incidents—

(a)damage to, or destruction of, the port facility or of the ship, e.g. by explosive devices, arson, sabotage or vandalism;

(b)hijacking or seizure of the ship or of persons on board;

(c)tampering with cargo, essential ship equipment or systems or ship's stores;

(d)unauthorized access or use including presence of stowaways;

(e)smuggling weapons or equipment, including weapons of mass destruction;

(f)sue of the ship to carry those intending to cause a security incident and their equipment;

(g)use of the ship itself as a weapon or as a means to cause damage or destruction;

(h)blockage; of port entrances, locks, approaches etc; and

(i)nuclear, biological and chemical attack.

15.12 The process should involve consultation with the relevant authorities relating to structures adjacent to the port facility which could cause damage within the facility or be used for the purpose of causing damage to the facility or for illicit observation of the facility or for diverting attention.Identification, selection, and prioritisation of countermeasures and procedural changes and their level of effectiveness in reducing vulnerability15.13 The identification and prioritisation of countermeasures is designed to ensure that the most effective security measures are employed to reduce the vulnerability of a port facility or ship/port interface to the possible threats.15.14 Security measures should be selected on the basis of factors such as whether they reduce the probability of an attack and should be evaluated using information that includes—

(a)security surveys, inspections and audits;

(b)consultation with port facility owners and operators, and owners/operators of adjacent structures if appropriate;

(c)historical information on security incidents; and

(d)operations within the port facility.

Identification of vulnerabilities15.15 Identification of vulnerabilities in physical structures, personnel protection systems, processes, or other areas that may lead to a security incident can be used to establish options to eliminate or mitigate those vulnerabilities. For example, an analysis might reveal vulnerabilities in a port facility's security systems or unprotected infrastructure such as water supplies, bridges etc that could be resolved through physical measures, e.g. permanent barriers, alarms, surveillance equipment etc.15.16 Identification of vulnerabilities should include consideration of—

(a)waterside and shore-side access to the port facility and ships berthing at the facility;

(b)structural integrity of the piers, facilities, and associated structures;

(c)existing security measures and procedures, including identification systems;

(d)existing security measures and procedures relating to port services and utilities;

(e)measures to protect radio and telecommunication equipment, port services and utilities, including computer systems and networks;

(f)adjacent areas that may be exploited during, or for, an attack;

(g)existing agreements with private security companies providing waterside/shore-side security services;

(h)any conflicting policies between safety and security measures and procedures;

(i)any conflicting port facility and security duty assignments;

(j)any enforcement and personnel constraints;

(k)any deficiencies identified during training and drills; and

(l)any deficiencies identified during daily operation, following incidents or alerts, the report of security concerns, the exercise of control measures, audits etc.

16. Port Facility Security PlanGeneral16.1 Preparation of the port facility security plan is the responsibility of the port facility security officer . While the port facility security officer need not necessarily personally undertake all the duties associated with the post the ultimate responsibility for ensuring that they are properly performed remains with the individual port facility security officer.16.2 The content of each individual port facility security plan should vary depending on the particular circumstances of the port facility, or facilities, it covers. The port facility security will have identified the particular features of the port facility, and of the potential security risks, that have led to the need to appoint a port facility security officer and to prepare a port facility security plan . The preparation of the port facility security plan will require these features, and other local or national security considerations, to be addressed in the port facility security plan and for appropriate security measures to be established so as to minimise the likelihood of a breach of security and the consequences of potential risks. Contracting Governments may prepare advice on the preparation and content of a port facility security plan .16.3 All port facility security plans should—

(a)detail the security organization of the port facility,

(b)the organization's links with other relevant authorities and the necessary communication systems to allow the effective continuous operation of the organization and its links with others, including ships in port;

(c)detail the basic security level 1 measures, both operational and physical, that will be in place;

(d)detail the additional security measures that will allow the port facility to progress without delay to security level 2 and, when necessary, to security level 3;

(e)provide for regular review, or audit, of the port facility security plan and for its amendments in response to experience or changing circumstances; and

(f)reporting procedures to the appropriate Contracting Governments contact points.

16.4 Preparation of an effective port facility security plan will rest on a thorough assessment of all issues that relate to the security of the port facility, including, in particular, a thorough appreciation of the physical and operational characteristics of the individual port facility.16.5 Contracting Government should approve the port facility security plans of the port facilities under their jurisdiction. Contracting Governments should develop procedures to assess the continuing effectiveness of each port facility security plan and may require amendment of the port facility security plan prior to its initial approval or subsequent to its approval. The port facility security plan should make provision for the retention of records of security incidents and threats, reviews, audits, training, drills and exercises as evidence of compliance with those requirements.16.6 The security measures included in the port facility security plan should be in place within a reasonable period of the port facility security plans approval and the port facility security plan should establish when each measure will be in place. If there is likely to be any delay in their provision this should be discussed with the Contracting Government responsible for approval of the port facility security plan and satisfactory alternative temporary security measures that provide an equivalent level of security should be agreed to cover any interim period.16.7 The use of firearms on or near ships and in port facilities may pose particular and significant safety risks, in particular in connection with certain dangerous or hazardous substances and should be considered very carefully. In the event that a Contracting Government decides that it is necessary to use armed personnel in these areas, that Contracting Government should ensure that these personnel are duly authorized and trained in the use of their weapons and that they are aware of the specific risks to safety that are present in these areas. If Contracting Government authorizes the use of firearms they should issue specific safety guidelines on their use. The port facility security plan should contain specific guidance on this matter in particular with regard its application to ships carrying dangerous goods or hazardous substances.Organization and performance of port facility security duties16.8 In addition to the guidance given under section 16.3, the port facility security plan should establish the following which relate to all security levels—

(a)the role and structure of the port facility security organization;

(b)the duties, responsibilities and training requirements of all port facility personnel with a security role and the performance measures needed to allow their individual effectiveness to be assessed;

(c)the port facility security organization's links with other national or local authorities with security responsibilities;

(d)the communication systems provided to allow effective and continuous communication between port facility security personnel, ships in port and, when appropriate, with national or local authorities with security responsibilities;

(e)the procedures or safeguards necessary to allow such continuous communications to be maintained at all times;

(f)the procedures and practices to protect security sensitive information held in paper or electronic format;

(g)the procedures to assess the continuing effectiveness of security measures, procedures and equipment, including identification of, and response to, equipment failure or malfunction;

(h)the procedures to allow the submission, and assessment, of reports relating to possible breaches of security or security concerns;

(i)procedures relating to cargo handling;

(j)procedures covering the delivery of ship's stores;

(k)the procedures to maintain, and update, records of dangerous goods and hazardous substances and their location within the port facility;

(l)the means of alerting and obtaining the services of waterside patrols and specialist search teams, including bomb searches and underwater searches;

(m)the procedures for assisting ship security officers in confirming the identity of those seeking to board the ship when requested; and

(n)the procedures for facilitating shore leave for ship's personnel or personnel changes, as well as access of visitors to the ship including representatives of seafarers' welfare and labour organizations.

16.9 The remainder of this section addresses specifically the security measures that could be taken at each security level covering—

(a)access to the port facility;

(b)restricted areas within the port facility;

(c)handling of cargo;

(d)delivery of ship's stores;

(e)handling unaccompanied baggage; and

(f)monitoring the security of the port facility.

Access to the port facility16.10 The port facility security plan should establish the security measures covering all means of access to the port facility identified in the port facility security assessment.16.11 For each of these the port facility security plan should identify the appropriate locations where access restrictions or prohibitions should be applied for each of the security levels. For each security level the port facility security plan should specify the type of restriction or prohibition to be applied and the means of enforcing them.16.12 The port facility security plan should establish for each security level the means of identification required to allow access to the port facility and for individuals to remain within the port facility without challenge, this may involve developing an appropriate identification system allowing for permanent and temporary identifications, for port facility personnel and for visitors respectively. Any port facility identification system should, when it is practicable to do so, be co-ordinated with that applying to ships that regularly use the port facility. Passengers should be able to prove their identity by boarding passes, tickets, etc., but should not be permitted access to restricted areas unless supervised. The port facility security plan should establish provisions to ensure that the identification systems are regularly updated, and that abuse of procedures should be subject to disciplinary action.16.13 Those unwilling or unable to establish their identity and to confirm the purpose of their visit when requested to do so should be denied access to the port facility and their attempt to obtain access should be reported to the port facility security officer and to the national or local authorities with security responsibilities.16.14 The port facility security plan should identify the locations where persons, personal effects, and vehicle searches are to be undertaken. Such locations should be covered to facilitate continuous operation regardless of prevailing weather conditions, in accordance with the frequency laid down in the port facility security plan . Once subjected to search persons, personal effects and vehicles should proceed directly to the restricted holding, embarkation or car loading areas.16.15 The port facility security plan should establish separate locations for checked and unchecked persons and their effects and if possible separate areas for embarking and disembarking passengers, ship's personnel and their effects to ensure that unchecked persons are not able to come in contact with checked persons.16.16 The port facility security plan should establish the frequency of application of any access controls particularly if they are to be applied on a random, or occasional, basis.Security Level 116.17 At security level 1, the port facility security plan should establish the control points where the following security measures may be applied—

(a)restricted areas which should be bound by fencing or other barriers to a standard which should be approved by the Contracting Government;

(b)checking identity of all persons seeking entry to the port facility in connection with a ship, including passengers, ship's personnel and visitors and confirming their reasons for doing so by checking, for example, joining instructions, passenger tickets, boarding passes, work orders, etc;

(c)checking vehicles used by those seeking entry to the port facility in connection with a ship;

(d)verification of the identity of port facility personnel and those employed within the port facility and their vehicles;

(e)restricting access to exclude those not employed by the port facility or working within it, if they are unable to establish their identity;

(f)undertaking searches of persons, personal effects, vehicles and their contents; and

(g)identification of any access points not in regular use which should be permanently closed and locked.

16.18 At security level 1, all those seeking access to the port facility should be liable to search. The frequency of such searches, including random searches, should be specified in the approved port facility security plan and should be specifically approved by the Contracting Government. Unless there are clear security grounds for doing so, members of the ship's personnel should not be required to search their colleagues or their personal effects. Any such search shall be undertaken in a manner which fully takes into account the human rights of the individual and preserves their basic human dignity.Security Level 216.19 At security level 2, the port facility security plan should establish the additional security measures to be applied, which may include—

(a)assigning additional personnel to guard access points and patrol perimeter barriers;

(b)limiting the number of access points to the port facility, and identify those to be closed and the means of adequately securing them;

(c)providing for means of impeding movement through the remaining access points, e.g. security barriers;

(d)increasing the frequency of searches of persons, personal effects, and vehicle;

(e)deny access to visitors who are unable to provide a verifiable justification for seeking access to the port facility; and

(f)using of patrol vessels to enhance waterside security.

Security Level 316.20 At security level 3, the port facility should comply with instructions issued by those responding to the security incident or threat thereof. The port facility security plan should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include—

(a)suspension of access to all, or part of, the port facility;

(b)granting access only to those responding to the security incident or threat thereof;

(c)suspension of pedestrian or vehicular movement within all, or part, of the port facility;

(d)increased security patrols within the port facility, if appropriate;

(e)suspension of port operations within all, or part, of the port facility;

(f)direction of vessel movements relating to all, or part, of the port facility; and

(g)evacuation of all, or part of, the port facility.

Restricted areas within the port facility16.21 The port facility security plan should identify the restricted areas to be established within the port facility, specify their extent, times of application, the security measures to be taken to control access to them and those to be taken to control activities within them. This should also include, in appropriate circumstances, measures to ensure that temporary restricted areas are security swept both before and after that area is established. The purpose of restricted areas is to—

(a)protect passengers, ship's personnel, port facility personnel and visitors, including those visiting in connection with a ship;

(b)protect the port facility;

(c)protect ships using, and serving, the port facility;

(d)protect sensitive security locations and areas within the port facility;

(e)to protect security and surveillance equipment and systems; and

(f)protect cargo and ship's stores from tampering.

16.22 The port facility security plan should ensure that all restricted areas have clearly established security measures to control—

(a)access by individuals;

(b)the entry, parking, loading and unloading of vehicles;

(c)movement and storage of cargo and ship's stores; and

(d)unaccompanied baggage or personal effects.

16.23 The port facility security plan should provide that all restricted areas should be clearly marked indicating that access to the area is restricted and that unauthorized presence within the area constitutes a breach of security.16.24 When automatic intrusion detection devices are installed they should alert a control centre which can respond to the triggering of an alarm.16.25 Restricted areas may include—

(a)shore and waterside areas immediately adjacent to the ship;

(b)embarkation and disembarkation areas, passenger and ship's personnel holding and processing areas including search points;

(c)areas where loading, unloading or storage of cargo and stores is undertaken;

(d)locations where security sensitive information, including cargo documentation, is held;

(e)areas where dangerous goods and hazardous substances are held;

(f)vessel traffic management system control rooms, aids to navigation and port control buildings, including security and surveillance control rooms;

(g)areas where security and surveillance equipment are stored or located;

(h)essential electrical, radio and telecommunication, water and other utility installations; and

(i)other locations in the port facility where access by vessels, vehicles and individuals should be restricted.

16.26 The security measures may extend, with the agreement of the relevant authorities, to restrictions on unauthorized access to structures from which the port facility can be observed.Security Level 116.27 At security level 1, the port facility security plan should establish the security measures to be applied to restricted areas, which may include—

(a)provision of permanent or temporary barriers to surround the restricted area whose standard should be accepted by the Contracting Government;

(b)provision of access points where access can be controlled by security guards when in operation and which can be effectively locked or barred when not in use;

(c)providing passes which must be displayed to identify individuals entitlement to be within the restricted area;

(d)clearly marking vehicles allowed access to restricted areas;

(e)providing guards and patrols;

(f)providing automatic intrusion detection devices, or surveillance equipment or systems to detect unauthorized access into, or movement within restricted areas; and

(g)control of the movement of vessels in the vicinity of ships using the port facility.

Security Level 216.28 At security level 2, the port facility security plan should establish the enhancement of the frequency and intensity of the monitoring of, and control of access to, restricted areas. The port facility security plan should establish the additional security measures, which may include—

(a)enhancing the effectiveness of the barriers or fencing surrounding restricted areas, including the use of patrols or automatic intrusion detection devices;

(b)reducing the number of access points to restricted areas and enhancing the controls applied at the remaining accesses;

(c)restrictions on parking adjacent to berthed ships;

(d)further restricting access to the restricted areas and movements and storage within them;

(e)use of continuously monitored and recording surveillance equipment;

(f)enhancing the number and frequency of patrols including waterside patrols undertaken on the boundaries of the restricted areas and within the areas;

(g)establishing and restricting access to areas adjacent to the restricted areas; and

(h)enforcing restrictions on access by unauthorized craft to the waters adjacent to ships using the port facility.

Security Level 316.29 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The port facility security plan should detail the security measures which could be taken by the port facility, in close cooperation with those responding and the ships at the port facility, which may include—

(a)setting up of additional restricted areas within the port facility in proximity to the security incident, or the believed location of the security threat, to which access is denied; and

(b)preparing for the searching of restricted areas as part of a search of all, or part, of the port facility.

Handling of cargo16.30 The security measures relating to cargo handling should—

(a)prevent tampering; and

(b)prevent cargo that is not meant for carriage from being accepted and stored within the port facility.

16.31 The security measures should include inventory control procedures at access points to the port facility. Once within the port facility cargo should be capable of being identified as having been checked and accepted for loading onto a ship or for temporary storage in a restricted area while awaiting loading. It may be appropriate to restrict the entry of cargo to the port facility that does not have a confirmed date for loading.Security Level 116.32 At security level 1, the port facility security plan should establish the security measures to be applied during cargo handling, which may include—

(a)routine checking of cargo, cargo transport units and cargo storage areas within the port facility prior to, and during, cargo handling operations;

(b)checks to ensure that cargo entering the port facility matches the delivery note or equivalent cargo documentation;

(c)searches of vehicles; and

(d)checking of seals and other methods used to prevent tampering upon entering the port facility and upon storage within the port facility.

16.33 Checking of cargo may be accomplished by some or all of the following means—

(a)visual and physical examination; and

(b)using scanning and detection equipment, mechanical devices, or dogs.

16.34 When there are regular, or repeated, cargo movement the company security officer or the hip ecurity fficer may, in consultation with the port facility, agree arrangements with shippers or others responsible for such cargo covering offsite checking, sealing, scheduling, supporting documentation, etc. Such arrangements should be communicated to and agreed with the port facility security officer concerned.Security Level 216.35 At security level 2, the port facility security plan should establish the additional security measures to be applied during cargo handling to enhance control, which may include—

(a)detailed checking of cargo, cargo transport units and cargo storage areas within the port facility;

(b)intensified checks, as appropriate, to ensure that only the documented cargo enters the port facility, is temporarily stored there and then loaded onto the ship;

(c)intensified searches of vehicles; and

(d)increased frequency and detail in checking of seals and other methods used to prevent tampering.

16.36 Detailed checking of cargo may be accomplished by some or all of the following means—

(a)increasing the frequency and detail of checking of cargo, cargo transport units and cargo storage areas within the port facility (visual and physical examination);

(b)increasing the frequency of the use of scanning and detection equipment, mechanical devices, or dogs; and

(c)co-ordinating enhanced security measures with the shipper or other responsible party in addition to an established agreement and procedures.

Security Level 316.37 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The port facility security plan should detail the security measures which could be taken by the port facility, in close cooperation with those responding and the ships at the port facility, which may include—

(a)restriction or suspension of cargo movements or operations within all, or part, of the port facility or specific ships; and

(b)verifying the inventory of dangerous goods and hazardous substances held within the port facility and their location.

Delivery of ship's stores16.38 The security measures relating to the delivery of ship's stores should—

(a)ensure checking of ship's stores and package integrity;

(b)prevent ship's stores from being accepted without inspection;

(c)prevent tampering;

(d)prevent ship's stores from being accepted unless ordered;

(e)ensure searching the delivery vehicle; and

(f)ensure escorting delivery vehicles within the port facility.

16.39 For ships regularly using the port facility it may be appropriate to establish procedures involving the ship, its suppliers and the port facility covering notification and timing of deliveries and their documentation. There should always be some way of confirming that stores presented for delivery are accompanied by evidence that they have been ordered by the ship.Security Level 116.40 At security level 1, the port facility security plan should establish the security measures to be applied to control the delivery of ship's stores, which may include—

(a)checking of ship's stores;

(b)advance notification as to composition of load, driver details and vehicle registration; and

(c)searching the delivery vehicle.

16.41 Checking of ship's stores may be accomplished by some or all of the following means—

(a)visual and physical examination; and

(b)using scanning and detection equipment, mechanical devices or dogs.

Security Level 216.42 At security level 2, the port facility security plan should establish the additional security measures to be applied to enhance the control of the delivery of ship's stores, which may include—

(a)detailed checking of ship's stores;

(b)detailed searches of the delivery vehicles;

(c)co-ordination with ship personnel to check the order against the delivery note prior to entry to the port facility; and

(d)escorting the delivery vehicle within the port facility.

16.43 Detailed checking of ship's stores may be accomplished by some or all of the following means—

(a)increasing the frequency and detail of searches of delivery vehicles;

(b)increasing the use of scanning/detection equipment, mechanical devices, or dogs; and

(c)restricting, or prohibiting, entry of stores that will not leave the port facility within a specified period.

Security Level 316.44 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The port facility security plan should detail the security measures which could be taken by the port facility, in close cooperation with those responding and the ships at the port facility which may include preparation for restriction, or suspension, of the delivery of ship's stores within all, or part, of the port facility.Handling unaccompanied baggage16.45 The port facility security plan should establish the security measures to be applied to ensure that unaccompanied baggage (i.e. any baggage, including personal effects, which is not with the passenger or member of ship's personnel at the point of inspection or search) is identified and subjected to appropriate screening, including searching, before is allowed in the port facility and, depending on the storage arrangements, before it is transferred between the port facility and the ship. It is not envisaged that such baggage will be subjected to screening by both the port facility and the ship, and in cases where both are suitably equipped, the responsibility for screening should rest with the port facility. Close cooperation with the ship is essential and steps should be taken to ensure that unaccompanied baggage is handled securely after screening.Security Level 116.46 At security level 1, the port facility security plan should establish the security measures to be applied when handling unaccompanied baggage to ensure that unaccompanied baggage is screened or searched up to and including 100 percent, which may include use of x-ray screening.Security Level 216.47 At security level 2, the port facility security plan should establish the additional security measures to be applied when handling unaccompanied baggage which should include one hundred percent x-ray screening of all unaccompanied baggage.Security Level 316.48 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The port facility security plan should detail the security measures which could be taken by the port facility, in close cooperation with those responding and the ships at the port facility, which may include—

(a)subjecting such baggage to more extensive screening, for example x-raying it from at least two different angles;

(b)preparations for restriction or suspension of handling or unaccompanied baggage; and

(c)refusal to accept unaccompanied baggage into the port facility.

Monitoring the security of the port facility16.49 The port facility security organization should have the capability to monitor the port facility and its nearby approaches, on land and water, at all times, including the night hours and periods of limited visibility, the restricted areas within the port facility, the ships at the port facility and areas surrounding ships. Such monitoring can include use of—

(a)lighting;

(b)security guards, including foot, vehicle and waterborne patrols; and

(c)automatic intrusion detection devices and surveillance equipment.

16.50 When used, automatic intrusion detection devices should activate an audible and/or visual alarm at a location that is continuously attended or monitored.16.51 The port facility security plan should establish the procedures and equipment needed at each security level and the means of ensuring that monitoring equipment will be able to perform continually, including consideration of the possible effects of weather or of power disruptions.Security Level 116.52 At security level 1, the port facility security plan should establish the security measures to be applied which may be a combination of lighting, security guards or use of security and surveillance equipment to allow port facility security personnel to—

(a)observe the general port facility area, including shore and water-side accesses to it;

(b)observe access points, barriers and restricted areas; and

(c)allow port facility security personnel to monitor areas and movements adjacent to ships using the port facility, including augmentation of lighting provided by the ship itself.

Security Level 216.53 At security level 2, the port facility security plan should establish the additional security measures to be applied to enhance the monitoring and surveillance capability, which may include—

(a)increasing the coverage and intensity of lighting and surveillance equipment, including the provision of additional lighting and surveillance coverage;

(b)increasing the frequency of foot, vehicle or waterborne patrols; and

(c)assigning additional security personnel to monitor and patrol.

Security Level 316.54 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The port facility security plan should detail the security measures which could be taken by the port facility, in close cooperation with those responding and the ships at the port facility, which may include:

(a)switching on all lighting within, or illuminating the vicinity of, the port facility;

(b)switching on all surveillance equipment capable of recording activities within, or adjacent to, the port facility; and

(c)maximising the length of time such surveillance equipment can continue to record.

Differing security levels16.55 The port facility security plan should establish details of the procedures and security measures the port facility could adopt if the port facility is at a lower security level than that applying to a ship.Activities not covered by the Code16.56 The port facility security plan should establish details of the procedures and security measures the port facility should apply when—

(a)it is interfacing with a ship which has been at a port of a State which not a Contracting Government;

(b)it is interfacing with a ship to which this Code does not apply; and

(c)it is interfacing with fixed or floating platforms or mobile offshore drilling units on location.

Declarations of security16.57 The port facility security plan should establish the procedures to be followed when on the instructions of the Contracting Government the port facility security officer requests a declaration of security or when a declaration of security is requested by a ship.Audit, review and amendment16.58 The port facility security plan should establish how the port facility security officer intends to audit the continued effectiveness of the port facility security plan and the procedure to be followed to review, update or amend the port facility security plan.16.59 The port facility security plan should be reviewed at the discretion of the port facility security officer. In addition it should be reviewed—

(a)if the port facility security assessment relating to the port facility is altered;

(b)if an independent audit of the port facility security plan or the Contracting Government's testing of the port facility security organization identifies failings in the organization or questions the continuing relevance of significant element of the approved port facility security plan ;

(c)following security incidents or threats thereof involving the port facility; and

(d)following changes in ownership or operational control of the port facility.

16.60 The port facility security officer can recommend appropriate amendments to the approved plan following any review of the plan. Amendments to the port facility security plan relating to—

(a)proposed changes which could fundamentally alter the approach adopted to maintaining the security of the port facility; and

(b)the removal, alteration or replacement of permanent barriers, security and surveillance equipment and systems etc., previously considered essential in maintaining the security of the port facility;

should be submitted to the Contracting Government that approved the original port facility security plan for their consideration and approval. Such approval can be given by, or on behalf of, the Contracting Government with, or without, amendments to the proposed changes. On approval of the port facility security plan the Contracting Government should indicate which procedural or physical alterations have to be submitted to it for approval.Approval of port facility security plans16.61 PFSPs have to be approved by the relevant Contracting Government which should establish appropriate procedures to provide for—

(a)the submission of port facility security plans to them;

(b)the consideration of port facility security plans;

(c)the approval of port facility security plans, with or without amendments;

(d)consideration of amendments submitted after approval; and

(e)procedures for inspecting or auditing the continuing relevance of the approved port facility security planPFSP .

At all stages steps should be taken to ensure that the contents of the port facility security plan remains confidential.Statement of Compliance of a Port Facility16.62 The Contracting Government within whose territory a port facility is located may issue an appropriate statement of compliance of a port facility indicating—

(a)the port facility;

(b)that the port facility complies with the provisions of chapter XI-2 and part A of the Code;

(c)the period of validity of the statement of compliance of a port facility which should be specified by the Contracting Governments but should not exceed five years; and

(d)the subsequent verification arrangements established by the Contracting Government and a confirmation when these are carried out.

16.63 The statement of compliance of a port facility should be in the form set out in the appendix to this Part of the Code. If the language used is not Spanish, French or English, the Contracting Government, if it considers it appropriate, may also include a translation into one of these languages.17. Port Facility Security OfficerGeneral17.1 In those exceptional instances where the ship security officer has questions about the validity of identification documents of those seeking to board the ship for official purposes, the port facility security officer should assist.17.2 The port facility security officer should not be responsible for routine confirmation of the identity of those seeking to board the ship.In addition other relevant guidance is provided under regulations 16, 17 and 18.18. Training, drills and exercises on port facility securityTraining18.1 The port facility security officer should have knowledge and receive training, in some or all of the following, as appropriate—

(a)security administration;

(b)relevant international conventions, codes and recommendations;

(c)relevant Government legislation and regulations;

(d)responsibilities and functions of other security organizations;

(e)methodology of port facility security assessment;

(f)methods of ship and port facility security surveys and inspections;

(g)ship and port operations and conditions;

(h)ship and port facility security measures;

(i)emergency preparedness and response and contingency planning;

(j)instruction techniques for security training and education, including security measures and procedures;

(k)handling sensitive security related information and security related communications;

(l)knowledge of current security threats and patterns;

(m)recognition and detection of weapons, dangerous substances and devices;

(n)recognition, on a non discriminatory basis, of characteristics and behavioural patterns of persons who are likely to threaten the security;

(o)techniques used to circumvent security measures;

(p)security equipment and systems, and their operational limitations;

(q)methods of conducting audits, inspection, control and monitoring;

(r)methods of physical searches and non-intrusive inspections;

(s)security drills and exercises, including drills and exercises with ships; and

(t)assessment of security drills and exercises.

18.2 Port facility personnel having specific security duties should have knowledge and receive training, in some or all of the following, as appropriate—

(a)knowledge of current security threats and patterns;

(b)recognition and detection of weapons, dangerous substances and devices;

(c)recognition of characteristics and behavioural patterns of persons who are likely to threaten security;

(d)techniques used to circumvent security measures;

(e)crowd management and control techniques;

(f)security related communications;

(g)operations of security equipment and systems;

(h)testing, calibration and maintenance of security equipment and systems;

(i)inspection, control, and monitoring techniques; and .10 methods of physical searches of persons, personal effects, baggage, cargo, and ship's stores.

18.3 All other port facility personnel should have knowledge of and be familiar with relevant provisions of the port facility security plan, in some or all of the following, as appropriate—

(a)the meaning and the consequential requirements of the different security levels;

(b)recognition and detection of weapons, dangerous substances and devices;

(c)recognition of characteristics and behavioral patterns of persons who are likely to threaten the security; and

(d)techniques used to circumvent security measures.

Drills and exercises18.4 The objective of drills and exercises is to ensure that port facility personnel are proficient in all assigned security duties, at all security levels, and to identify any security related deficiencies, which need to be addressed.18.5 To ensure the effective implementation of the provisions of the port facility security plan, drills should be conducted at least every three months unless the specific circumstances dictate otherwise. These drills should test individual elements of the plan such as those security threats listed in paragraph 15.11.18.6 Various types of exercises which may include participation of port facility security officers, in conjunction with relevant authorities of Contracting Governments, company security officers, or ship security officers, if available, should be carried out at least once each calendar year with no more than eighteen months between the exercises. Requests for the participation of company security officers or ships security officers in joint exercises should be made bearing in mind the security and work implications for the ship. These exercises should test communication, coordination, resource availability and response. These exercises may be—

(a)full scale or live;

(b)tabletop simulation or seminar; or

(c)combined with other exercises held such as emergency response or other port State authority exercises.

19. Verification and Certification of Ships No additional guidance.

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History of this document

31 December 2022 this version

Revised by 24th Annual Supplement

31 July 2015

Published in Kenya Gazette 80

24 July 2015

Commenced

The Merchant Shipping (Maritime Security) Regulations

Legal Notice 152 of 2015

The Merchant Shipping (Maritime Security) Regulations

Related documents

LAWS OF KENYA

MERCHANT SHIPPING ACT

THE MERCHANT SHIPPING (MARITIME SECURITY) REGULATIONS

LEGAL NOTICE 152 OF 2015

Part I – PRELIMINARY PROVISIONS

1. Citation and commencement

2. Interpretation

3. Application

4. Exemptions

Part II – SPECIAL MEASURES TO ENHANCE MARITIME SECURITY

5. Responsibilities of the Director General

6. Requirements, obligations and specific responsibilities of companies

7. Requirements for ship owners and masters

8. Threats to ships

9. Master's discretion for safety and security

10. Requirements for port facility operators

11. Alternative security agreements

12. Equivalent security arrangements

13. Notification

Part III – SHIP SECURITY

Ship Security Levels and Security Directions

14. Ship security

15. Ship security levels

16. Ship security level 1

17. Ship security level 2

18. Ship security level 3

19. Additional requirements for ship security levels

Ship Security Assessment and Ship Security Plans

20. Ship security assessment

21. Ship security plan

Control and Compliance Measures

22. Control of ships in port

23. Ships intending to enter a port within Kenya

24. Additional measures

Ship Security Personnel

25. Company security officer

26. Ship security officer

27. Records

28. Training, drills and exercises on ship security

Ship Security Alert System

29. Ship security alert system

30. Automatic identification System and Long Range Identification and Tracking System

Part IV – VERIFICATION AND CERTIFICATION FOR SHIPS

31. Verifications

32. Standard of verification

33. Issue and endorsement of certificate

34. Form and Validity of ISSC

35. Calculating the duration of the validity of an ISSC

36. Calculating period of validity on the basis of intermediate verifications

37. Cancellation of ISSC

38. Obligation of the companies upon transfer of a ship’s flag on ISSC

39. Interim certification

40. Duration and validity of an Interim ISSC

Part V – PORT FACILITY SECURITY

General Provisions

41. Application of Part

42. Port facility security

43. Port security levels

44. Port facility security level 1

45. Port facility security level 2

46. Port Facility Security level 3

Port Facility Security Assessment and Port Facility Security Plans

47. Port facility security assessment

48. Port facility security plan

49. Port facility security audit

50. Issue and form of a port facility statement of compliance

51. Validity of the port facility statement of compliance

52. Endorsement of the port facility statement of compliance

53. Cancellation of Statement of Compliance

Port Facility Security Personnel

54. Port facility security officer

55. Training, drills and exercises on port facility security

56. Standards of training for port facility security officers and other security personnel

Part VI – DECLARATION OF SECURITY INCLUDING NOTIFICATION, DECLARATION AND REVOCATION OF MARITIME SECURITY LEVELS 2 OR 3

57. Declarations of Security

58. Form of Declaration of Security