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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:
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