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CHAPTER 4 Security Regulations and Guidance Vessels and facilities may be required to have approved security plans under either inter- national or national law. Guidance and background information for achieving compliance with the national regulations is provided in several different types of publications. This chapter briefly discusses international and national security regulations and federally published guidance for meeting these regulations. The final section of this chapter describes regulations for VTSs and automatic identification systems (AISs), both of which were initiated primarily for safety reasons but have security implications. 4.1 International Vessel and Terminal Security Regulations Security at sea has long been a concern of governments, shipping lines, port authorities, and importers and exporters as a result of piracy and smuggling. However, the 9/11 terrorist attacks stimulated the International Maritime Organization (IMO) within the United Nations to develop more stringent, international security measures, called the International Ship and Port Facility Security (ISPS) code. In December 2002, this code was incorporated into the existing Safety of Life at Sea (SOLAS) convention as amendments to Chapters V and XI. Thus, the ISPS code applies to vessels and facilities of the 163 signatory nations of the SOLAS convention, including the United States, as well as ships that call on ports of contracting nations. It specifi- cally applies to ships engaged in international voyages, including Passenger ships, Cargo ships of at least 500 gross tonnage, Mobile offshore drilling units, and Port facilities serving ships engaged on international voyages. The ISPS code does not apply to warships, naval auxiliaries, or other ships owned or operated by a SOLAS signatory government and used only on government non-commercial service. The ISPS code establishes an international framework for cooperation between the signatory nations' government agencies, local administrations, and shipping and port industries on ships and port facilities used in international trade. This co-operation is for the detection of security threats, establishment of preventive measures against security incidents, and establishment of rel- evant roles and responsibilities at the national and international level. The ISPS code requires the establishment of security levels and compliance of all ships with the security-level requirements of the government that has jurisdiction over the water the vessel is in. In addition, for each ship and port authority affected, the ISPS code requires the following: 39