# Vertical Governance Policy: Maritime — IMO ISPS Code / SOLAS / IMO MSC-FAL.1/Circ.3
# Doctrine v6 | R3 Adversarial Receipts
# Last revised: 2025-07

schema_version: "1.0.0"
vertical: maritime
regime: IMO-ISPS/SOLAS/MSC-FAL1-Circ3
effective_date: "2025-07-01"
jurisdiction: IMO-International

meta:
  title: "Maritime AI Governance Policy — IMO ISPS / SOLAS / Cyber Risk Guidelines"
  description: >
    Maps IMO ISPS Code, SOLAS Chapter XI-2, and IMO MSC-FAL.1/Circ.3 (Maritime
    Cyber Risk Management) to Doctrine v6 Λ-axes for AI systems used in vessel
    navigation, port operations, and maritime supply chain management.
  authority: "SOLAS 1974 Chapter XI-2; IMO ISPS Code Parts A & B (2002); IMO MSC-FAL.1/Circ.3 (2017); IMO Resolution MSC.428(98)"
  receipt_chain_required: true
  merkle_root_algorithm: SHA3-256
  maritime_security_level: MARSEC-1

regulatory_clauses:
  - clause_id: ISPS-A-7
    title: "Ship Security Assessment"
    citation: "ISPS Code Part A § 7; SOLAS XI-2/2"
    full_ref: "ISPS Code Part A § 7 — Ship security assessment: identification of existing security measures, procedures, and operations"
    lambda_axes:
      - axis: Λ6
        label: Security
        weight: 0.95
        enforcement: mandatory
        rationale: >
          AI bridge systems and ECDIS must be included in ship security
          assessment; threat model documented in security receipt with IMO number.
      - axis: Λ8
        label: Robustness
        weight: 0.85
        enforcement: mandatory

  - clause_id: IMO-MSC-FAL-CIRC3-CYBER
    title: "Maritime Cyber Risk Management"
    citation: "IMO MSC-FAL.1/Circ.3 (2017); MSC Resolution MSC.428(98) (2017)"
    full_ref: "IMO MSC-FAL.1/Circ.3 — Guidelines on Maritime Cyber Risk Management; MSC.428(98) incorporation into ISM Code"
    lambda_axes:
      - axis: Λ6
        label: Security
        weight: 1.0
        enforcement: mandatory
        rationale: >
          Maritime cyber risk management must address AI systems in integrated
          bridge, cargo, and propulsion systems; risk assessment receipts
          required per ISM Code annual review.
      - axis: Λ7
        label: Auditability
        weight: 0.90
        enforcement: mandatory

  - clause_id: ISPS-A-9
    title: "Ship Security Plan — Confidentiality"
    citation: "ISPS Code Part A § 9.4"
    full_ref: "ISPS Code Part A § 9.4 — Ship security plan: protection and access restrictions"
    lambda_axes:
      - axis: Λ3
        label: Privacy
        weight: 0.80
        enforcement: mandatory
        rationale: >
          AI systems with access to Ship Security Plan (SSP) must enforce
          role-based access; each SSP query generates a receipt.
      - axis: Λ10
        label: Sovereignty
        weight: 0.85
        enforcement: mandatory
        rationale: >
          SSP data must remain under flag-state jurisdiction; AI cloud
          processing must use data residency receipts specifying IMO flag.

  - clause_id: SOLAS-XI2-AIS
    title: "SOLAS — Automatic Identification System Requirements"
    citation: "SOLAS Chapter V Reg. 19; ITU-R M.1371-5"
    full_ref: "SOLAS Chapter V Regulation 19 — Carriage requirements for AIS; ITU-R M.1371-5 technical characteristics"
    lambda_axes:
      - axis: Λ1
        label: Transparency
        weight: 0.88
        enforcement: mandatory
        rationale: >
          AI vessel tracking systems consuming AIS data must log data source
          provenance; spoofing detection alerts generate integrity receipts.
      - axis: Λ5
        label: Safety
        weight: 0.90
        enforcement: mandatory

  - clause_id: IMO-COLREGS-RULE-5
    title: "COLREGs — Rule 5: Look-out"
    citation: "COLREGS 1972 Rule 5; IMO Resolution A.1106(29)"
    full_ref: "Convention on the International Regulations for Preventing Collisions at Sea 1972 Rule 5 — Proper look-out by sight, hearing, and other means"
    lambda_axes:
      - axis: Λ5
        label: Safety
        weight: 1.0
        enforcement: mandatory
        rationale: >
          Autonomous/AI-assisted collision avoidance must comply with COLREGs;
          each autonomous manoeuvre decision must produce a receipt with scene
          classification confidence score.
      - axis: Λ9
        label: Explainability
        weight: 0.88
        enforcement: mandatory

  - clause_id: IMO-MASS-L4
    title: "Maritime Autonomous Surface Ships — Level 4"
    citation: "IMO Maritime Safety Committee MASS Framework (MSC 107/16, 2023)"
    full_ref: "IMO MSC 107/16 — MASS Regulatory Scoping Exercise: Degree of autonomy Level 4 (fully autonomous)"
    lambda_axes:
      - axis: Λ2
        label: Accountability
        weight: 0.95
        enforcement: mandatory
        rationale: >
          Fully autonomous vessels must designate a remote-control centre as
          accountable entity; each navigation decision receipt includes RCC ID.
      - axis: Λ4
        label: Fairness
        weight: 0.65
        enforcement: recommended

  - clause_id: ISPS-B-4-PORT
    title: "Port Facility Security Assessment"
    citation: "ISPS Code Part B § 4; 33 CFR Part 105 (USCG)"
    full_ref: "ISPS Code Part B § 4 — Port facility security assessment; 33 C.F.R. Part 105 (USCG port security)"
    lambda_axes:
      - axis: Λ6
        label: Security
        weight: 0.90
        enforcement: mandatory
      - axis: Λ8
        label: Robustness
        weight: 0.82
        enforcement: mandatory
        rationale: >
          AI cargo scanning and port access control systems undergo annual
          penetration testing; test results committed as port security receipts.

  - clause_id: MARPOL-EEDI-EEXI
    title: "MARPOL Annex VI — Energy Efficiency (AI-Optimised Routing)"
    citation: "MARPOL Annex VI Reg. 24 (EEXI); Reg. 28 (CII); MEPC.328(76)"
    full_ref: "MARPOL Annex VI Regulation 28 — Carbon Intensity Indicator (CII) and operational carbon intensity rating"
    lambda_axes:
      - axis: Λ4
        label: Fairness
        weight: 0.70
        enforcement: recommended
        rationale: >
          AI voyage optimisation must demonstrate equitable efficiency gains;
          CII rating receipts submitted to IMO GISIS registry.
      - axis: Λ1
        label: Transparency
        weight: 0.78
        enforcement: mandatory

compliance_thresholds:
  minimum_lambda_coverage: 7
  mandatory_axes: [Λ5, Λ6, Λ7]
  receipt_retention_days: 1825        # 5 years ISM Code
  max_colreg_response_latency_ms: 500
  marsec_level: 1

receipt_chain:
  algorithm: SHA3-256
  chaining: merkle_dag
  quorum: 2-of-3
  nodes: [vessel-primary, shore-backup, flag-state-archive]
  satellite_sync: true