ISPS Code 2OO3Edition International Ship and Port Facility Security Code and SOLAS Amendments adopted
on 12 December
2OO2
INTERNATIONAL MARITIME ORGANIZATION London. 2003
Pfili*td by thc INTEIINATIONAL MAIIITIME ORGANIZATION .1 Albert Embankmcnt, London SE1 7SR Printed in thc Unitc.d Kingdorn by Arklc Print Ltd., Northampton
2 1 6 8 1 0 9 7 5 3 1 rsBN 92-801-51.19-5
IMO PUBLICATION numbcr:I116E Sales
Copyright aqlIMO 2003
All nghts reserued. No part oJ this publicatiottmay beproduceil or transmittedin any fotm or by any means,electronic, electrostatt, magnetictdpe, mer:haniral, photocopyingor otherwise, without prior pertnissionin writing.from the lntemdtiondlMantitne Organization.
Foreword The lnternational Ship and Port Facility Securiry Code (ISPS Code) reprcsentsthe culmination ofjust over a year's intense work by IMO's Maritime Safety Committee and its Maritime Security Working Group sincc the f'vventy-secondsession of the Assembly adopted resolution A.924(22), on the revicw of measuresand procedures to prevent acts of and crews and the safery terrorism which threatenthe securityof passengers of ships, in November 2001. The ISPS Code was adopted by one of the ..rolutiorls that were adopted on 12 Decembcr 2002 by the Conference of Contracting Governmentsto the International Convention for thc Safefyof Life at Sea, 1974 (London,9 to 13 December 2002). Another resolution also includes the necessaryamendmentsto chaptersv and XI of SoLAS by which compliancewith the Code will become mandatory on 1 July 2004, if decmed acceptedon 1 January 2004. The existing chapter XI of SoLAS was amendedand re-identified as chapterXI-1 and a new chapterXI-2 was adopted on spccialmcasuresto enhancemaritime security. The ISPS Code andtheseamendmentsto SOLAS are set out in this publication, asare othef resolurions(relating to the work that will need to be completed before thc Code can be implemented in 2004 and the revision of the Code, technical co-operation, and co-opcrativc work with the International Labour Organization and the World Customs Organization) that were adoptcd by the Conference. The objectives of this Code are to cstablishan international framework involving co-operation betr,veencontracting Governments, Government agencies,local administrations and the shipping and port industries to security threats and takc prevcntive measuresagainstsecurify dctect/assess incidents aflecting ships or port facilities used in international trade; to establish the respective roles and responsibilities of all these parties concerned, at the national and international level, for cnsuring maritirnc securiry;to cnsufc the early and efiicicnt collation and exchangeof securiryso as rclated information; to provide a methodology for sccurity assessments levels; to have in place plans and proceduresto react to changing security and to ensurcconfidencc that adequateand proportionate maritinre security measuresarc in place. The objectivesarc to bc achievedby thc designation of appropriateoftrcers/personnelon each ship, in each port facility and in cach ihipping company to prepareand to pllt into cfTectthe security plans
that will be approved for each ship and port facility. Parts A and B of the Code are, respectively, the mandatory requirements regarding the provisions of chapter XI-2 of SOLAS, 1974, as amended, and guidance regardingthe provisionsof chapterXI-2 of SOLAS,1974, asamended,and part A of the Code.
Contents Page Conference resolution 2: Adoption of the InternationalCode for the Securityof Shipsand of Pon Facilities International Code for the Security of Ships and of Port Facilities Preamble. Part A: Mandatory requirementsregardingtheprovisions of chnpterXI-2 of the Annex to the Intemational Convention for the Safety of Life at Sea, 1974, as amended 1
General
o
Introduction.
o
Objectiues.
6
F unctionalrequirement s
o
z
Definitions
7
3
Application.
B
4
Responsibilities of Contracting Governmenrs
q
5
Declaration of Security
10
6
Obligations of the Company. . .
I1
7
Ship security
11
8
Ship secunry assessment
12
9
Ship securiryplan . .
t
i0
Records
15
11
Company security of1icer
16
12
Ship security officer.
t7
I3
Training, drills and exerciseson ship securiry
18
14
Port facility security.
18
15
Port faciliry securiryassessment
t9
1
Contents Page
16
Port facilirysecurityplan . .
20
17
Port facilirysecurityo{Iicer.
22
18
Training, drills and exerciseson port faciliry security
23
19
Vcrification and ccrtification for ships .
Duration and ualidity of Certijcate
24 24 25 25
lnterim certijcation.
27
Vr'rijrutions lssueor endorsement of CeniJicate
Appendix to part A Appendix 1: Form of the International Ship Security Certificate . .
-10
Appcndix 2: Forrn of thc Interim International Ship Security Certificate
35
Part B: Cuidanceregarding theprovisionsof chapterXI-2 of fueAnnex to theIntemationalConuention for the andpafi A of this Code Safetyof Life at Sea,1974asameniled lntroduction
-)/
Ceneral
J /
Responsibilities of ContractingCovernments Settittgthe securityleuel. . . T.heCompanyand theship . . The portfacility . . ,
38 39 39 40
Informatiorr and communication.
A.)
z
Definitions
Aa
3
Application.
42
4
Responsibilitiesof Contracting Governments . and plans Sectrityo;f assessments
43 43
Designated Authorities
+-)
Recogniz ed security organizatfuns
+.)
Settingthe securityleuel.
14
Contactpointsand informationon portfacility securityplans
16
Identificatittn documents.
16
Contents Page Fixed andfloating playformsand mobileofshore drilling uni* on location. Shipswhich are not requiredto complywith part A of this Code
47
Threatsto shipsand otherincidentsat sea
47 47
Ahernatiuesecuity agreements
48
Equiualentanangements;t'or port;l'acilities
49
M a n n i n g l e u e. l.
49
Control and compliance measures
49
l,Jon-Paftyshipsand shipsbelowConuentionsize . .
54
5
Declaration of Security
55
6
Obligations of the Company. . .
56
7
Ship security
56
8
Ship security assessment
57
Securityassessment
57
On-scenesecuritlsuruey .
60
Ship security plan
61
Cenerdl
61
Organizationand performance of ship securityduties .
62
Accessto the ship
63
Restrictedareason the ship
65
Handling of cargo
67
Deliueryo;fship's storcs. .
69
Handling unarcompanied bagage
69
Monitoring the securityof the ship.
70
Drfering securityleuek . .
72
Actiuitiesnot covered by the Code
72 72
Declarationsof Security Audit and reuiew .
/J
'77
10
Records.
11
Company securiry olficer
73
t2
Ship security ottrcer.
73
Contents
Page
Drilk and exercises.
73 73 75
I4
Port facility security.
76
15
Port facility security assessment
l-)
Training, drills and exerciseson ship securiry Training
16
Ccneral
76 76
Identificationand eualuationof importantassets and infrastructure it is importantto protect
77
ldentificationof thepossiblethreatsto the assets and infranructureand the likelihoodof their occuffence) in orderto establkhand prioitize securitymeasures
78
Identifcation,selection,and prioritization of countermeasures and proceduralchanges and their leuelof efectiueness in reducingvulnerability.
79
I dent if cat ion oJuulnerabil i t ip,s
70
Port facility securiry plan . .
80 80
General Organization and performance of portfacility security duties
Actiuitiesnot couered by the Code
82 83 86 BB 90 91, 92 94 94
Declarationsof Security
94
Accessn thc port;facility Restricted areaswithin theportfacility
Handlingof cargo Deliueryof ship'sstores .. Hdndling unaccompaniedbagage Monitoring the security o;f the port facility, , ,
Drfering securityleuels. .
Audit, reuiewand amendment .
.
94
Altproualo-fportfacility seotity plans. . Statementof Complianceof a Poft Facility
95 95
17
Port facility security officer.
96
18
Training, drills and exerciseson port facility securiry
96
19
Training
96
Dilk and exercises.
98
Verification and certification for ships .
98
viii
Contents Page
Appendix to part B Appendix 1: Fonn of a Declaration of Security between a ship and a port facility Appendix 2: Form of a Statementof Compliance of a Port Facility
99 102
Conference resolution 1: Adoptionof amendments to the Annex to the InternationalConuentionfor the
Safetyo;fLfe at Sea,1974
105
Amendments to chaptersV and XI of SOLAS 1974
108
Other Conference resolutions Further work by the International Maritime Organization pertaining to the enhancementof maritime securiry. . . . . .
125
Future amendmentsto chaptersXI-1 and XI-2 of the 1974 SOLAS Convention on specialmeasuresto enhancemaritime safetyand security
127
5:
Promotion of technical co-operation and assistance .
I28
6:
Early implementation of the specialmeasuresto enhance maritime security
130
3: 4:
7'. Establishmentof appropriatemeasuresto enhance the securiry of ships,port facilities,mobile ofFshore drilling units on location and fixed and floating platforms not covered by chapter XI-2 of the SOLAS Convention. 8: 9: 10:
IJZ
Enhancement of security in co-operation with the International Labour Organization
134
Enhancement of securiry in co-operation with the World Customs Organization
137
Early implementation of long-range ship's identification and tracking
139
1,1,: Fluman-element-relatedaspectsand shore leave for seafarers
140
Resolutions of the Conference of Contracting Governments to the International Convention for the Safety of Life at Sea, 1974, adopted in December 2002
Conference resolution 2 (adoptedon 12 December 2002)
Adoption of the International Code for the Security of Ships and of Port Facilities THE CONpERENCE, HRvrNc ADOPTEDamendments to the International Convention for the Safety of Life at Sea, 1974, as amended (hereinafter reGrred ro as "the Convention"), concerning specialmeasuresto enhancemaritime safetyand sccuriry, CclNsnERrNG that the new chapter XI-2 of the Convention makes a referenceto an International Ship and Port Faciliry Secunty (ISPS) Code and requiresships,companiesand port facilitiesto comply with the relevant rcquirements of part A of the Internarional Ship and Port Faciliry Securiry (ISPS) Codc, as specifiedin part A of the ISPS Code, BstNc; oF THE OIINIoN that the implemenration by Contracting Governments of the said chapter will greatly contribute to the enhancement of maritime safery and securiry and safeguarding those on board and ashore, HavrNc c:ONSIDERED a draft of the International Code for the Security of Ships and of Port Faciliticspreparedby the Maritime SafetyCommirtee of the International Maritime Organization (hereinafter referred to as the Organization), at its seventy-fifth and seventy-sixth sessions, for considcrationand adoption by thc Conference, 1. Attoprs the International Code for the Sccuritv of Shios and of Port Facilities(hercinafterreferredto as "the Code"), the rexr ofwhich is serout in the annex to the present rcsolution;
December 2002 SOI,4SConJerence, INVITESContracting Governments to the Convention to note that 2. the Code will take eflect on 1 July 2004 upon entry into force of the new c h a p t e rX I - 2 o F t h e C o n v e n t i o n : RTQUESTSthe Maritime Safcty Committee to keep the Code under 3. review and amend it. as appropriate: 4. REQUESTSthe Secretary-Generalof the Organization to transmit certified copics of the presentresolution and the text of the Code contained in the annex to all Contracting Governments to the Convention; FURTHERRTQUESTS the Secretary-Generalto transmit copiesof this 5. rcsolution and its annex to all Members of the Organization which are not Contracting Governments to the Convention.
Preamble
Annex lnternational Code for the Security of Ships and of Port Facilities Prearnble 1 The Diplomatic Conference on Maritime Securiryheld in London in December 2002 adopted new provisions in the International Convention for the Safety of Life at Sea, 1.974 and this Code* to enhance maritime security. These new requirements form the international framework through which ships and port facilities can co-operate to detect and deter acts which threaten security in the maritime transport sector. 2 Following the tragic events of 11th September 2001, the rvventysecondsessionof the Assembly of the lnternational Maritime Organization ("the Organization"), in November 2001, unanimously agreed to the development of new measuresrelating to the securiry of ships and of port facilities for adoption by a Conference of Contracting Governments to the International Convention for the Saferyof Life at Sea, 1974 (known as the Diplomatic Conference on Maritime Securiry) in December 2002. Preparation for the Diplomatic Conference was entrusted to the Organization's Maritime Safety Committee (MSC) on the basis of subrnissions made by Member States, intergovernmental organizations and non-governmental organizations in consultative status with the Organization. 3 The MSC, at its first extraordinary session,held also in November 2001, in order to acceleratethe development and the adoption of the appropriatesecurity measures,establishedan MSC IntersessionalWorking Group on Maritime Security. The first meeting of the MSC Intersessional Working Group on Maritime Security was held in February 2002 and the outcome of its discussionswas reported to, and consideredby, the seventyfifth sessionof the MSC in March 2002, when an ad hocWorking Group was established to further develop the proposals made. The sevenry-fifth sessionof the MSC considered the report of that Working Group and recommended that work should be taken forward throueh a further MSC IntersessionalWorking Group, which was held in Septimber 2002. The sevenry-sixthsessionof the MSC consideredthe outcome of the September 2002 sessionof the MSC IntersessionalWorking Group and the further work undertaken by the MSC Working Group held in conjunction with .
The complete namc of the Codc is the International Code lor the Security of Ships and of Port Facilities. The abbreviatcd name of this Code, as reGrred to in regulation XI-211 of SOLAS 74 as amended,is the InternationalShip and Port Faciliry Securiry (ISPS)Code, or rn short. the ISPS Code.
ISPSCode the Conrn'rittee's sevcnfy-sixth sessionin l)ecember 2002, immcdiatcly prior to the Diplomatic Conference, and agreed the final version of the proposed texts to be consideredby the Diplomatic Conference. 4 The Diplomatic Conference (9 to 13 December 2002) also adopted amendmentsto the existing provisions of the International Convention for the SaGtyof Life at Sca,1974 (SOLAS 74) acceleratingthe implementation of the requircmcnt to fit Automadc ldentification Systcmsand adoptednew regulations in chapter XI-1 of SOLAS 74 covering marking of the Ship Idcntification Number and the carriageof a Continuous SynopsisRecord. The Diplomatic Conference also adopted a number of Conference resolutions, including those covering implementation and revision of this Code, technicalco-operation, and co-operativework with the International Labour Organization and \Vorld Customs Organization. It was recognized that review and amendment of certain of the new provisions regarding maritime securirymay be required on completion of the work of thesc two Organizations. 5 The provisions of chapterXI-2 of SOLAS 74 and this Code apply to ships and to port facilities. The extension of SOLAS 74 to cover port facilities was agreedon the basisthat SOLAS 74 offered the speediestmeans of ensuring tlie necessarysecurirymeasurescnreredinto force and given effect quickly. However, it was further agreedthat the provisions relating to port facilitiesshould relate solely to the ship/port inteface. The wider issue of the sccuriryofport areaswill be the subjectof furtherjoint work berwecn the Intemational Maritime Organization and the International Labour Organization.It was alsoagreedthat the provisions should not extend to the actualresponseto attacksor to any necessaryclear-up activitiesafter such an attack. In drafting the provision, care has been taken to ensure compatibiliry 6 with the Drovisions of the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers,1978, as amended, the International Safety Managcment (ISM) Code and the harmonized systenrof surveyand certification. The provisions representa significant change in the approachof the 7 international maritime industries to the issue of security in the maritime transport scctor. It is recognizedthat they may place a significantadditional burden on certain Contracting Governments. The importance of technicai co-operation to assistContracting Governments implemcnt the provisions is fully recognized. Implementation of the provisionswill require continuing effectivecoI operation and understanding bctwccn all those involved with, or using, ships and port facilities, including ship's personnel, port personnel, passcn€lers, cargo intcrests,ship and port managementand those in National and Local Authorities with security responsibilitics.Existing practiccsand
Preamble procedures will have to be rcviewed and changed if they do not provide an adcquateievel of security. In the interestsof enhancedmaritimc security, additional rcsponsibilities will have to be carried by thc shipping and port industries and by National and Local Authoritics. I The guidance given in part B of this Code should be taken into account when implementing the securityprovisions set out in chapterXI-2 of SOLAS 74 and in part A of this Code. However, it is recognizedthat rhe extent to which the guidance applies may vary depending on the nature of thc port facility and of the ship, its trade and/or cargo. 10 Nothing in this Code shall be interpreted or applicd in a manner inconsistentwith the proper respectof fundamental rights and freedomsas sct out in international instrumcnts, particularlv those relating to maritirne "Organization workers and refugees.including th. lnt.rnrtional Labour Declaration of Fundamental Principlcs and Rishts -port at Work as well as intcrrrationalstandardsconcerningmaritime and workers. 11 Rccognizing that the Convention on the Facilitation of Maritime Trafhc, 1965, as amended, provides that foreign crew members shall be allowed ashore by the public authorities while the ship on which they arrive is in port, provided that the formalities on arrival of the ship have been fulfilled and the public authorities have no reason to refuse permission to come ashore for reasonsof public health, public saferyor public order, Contracting Governments, when approving ship and port Acility securiry plans, should pay due cognisanceto the fact that ship's personnel live and work on the vesseland need shore leave and accessto shore-basedseafarer welfare facilities, including medical care.
ISPSCode Part A Mandatory requirements regarding the provisions of chapter Xl-2 of the Annex to the lnternational Convention for the Safety of Life At Sea. 1974, as amended
General 1.1
Introduction
This part of the International Code for the Securiry of Ships and of Port Facilities contains mandatorv Drovisions to which reGrence is made in chapter XI-2 of the International Convcntion for the Safetyof Life at Sea, 1974, as amended. 1.2
Objectiues
The objectivesof this Code are:
1.3
.1
to establishan international framework involving co-operation berween Contracting Governments, Government agencres, local administrations and the shipping and port industries to detect security threats and take preventive measures against security incidents affecting ships or port facilities used in international trade;
.2
to establish the respective roles and responsibilities of the Contracting Governments, Government agencies,local administrations and the shipping and port industries, at the national and intemational level, for ensuring maritime security;
.3
to ensure the early and efficient collection and exchange of security-related information;
.4
to provide a methodology for securiryassessments so as to have in place plans and procedures to react to changing securiry levels;and
.5
to ensure confidence that adequateand proportionate maritime securirymeasuresare in place.
Functionalrequirements
In order to achieve its obiectives. this Code embodies a number of functional requirements.Thise include, but are not limited to: .1
gathering and asse\,ing information with respect to securify threats and exch,inging such information with appropriate Contracting Governments;
Part A
.2
requiring the maintenance of communication protocols for ships and port facilities;
.3
preventing unauthorized accessto ships,port facilitiesand their restrictedareas;
.4
preventing the introduction of unauthorized weapons,incendiary devicesor explosivesto ships or port facilities;
.5
providing means for raising the alarm in reaction to securiry threatsor security incidents;
.6
requiring ship and port Acility sccuriryassessments: and
.t
requiring training, drills and exercisesto ensure familiarity with security plans and procedures.
security plans based upon
2
Definitions
2.1
For the pulpose of this part, unlessexpresslyprovided otherwise: .1
Conuentionmeansthe InternationalConvention for the SaGWof Life at Sea,1.974,as amended.
.2
Regulationmeans a regulation of the Convention.
.3
Chaptermeans a chapter of the Convenrion.
.4
Ship security plan n:.eansa plan developed to ensure the application of measureson board the ship designed to protect personson board, cargo, cargo transport units, ship's storesor the ship from the risks of a securiryincident.
.5
Port facility securityplan rrreansa plan developed to ensure rhe application of measuresdesigned 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 securiry incident.
.6
Ship security olficer means the person on board the ship, accountable to the master, designated by the Company as responsible for the securiry of the ship, including implementation and maintenanceof the ship security plan, and for liaison with the company security ofHcer and port faciliry security of1icers.
.7
Company security fficer rteans the person designated by the Company for ensuring that a ship securiryassessment is carried out; that a ship security plan is developed, submrtted for approval, and thereafter implemented and maintained, and for liaison with port facility securiry officers and the ship security officer.
ISPSCode .8
Port .facility security o;f;ficermeans thc person designated as responsiblefor the development, implementation, revision and maintenanceof the port facility sccurityplan and for liaisonwith the ship sccuriry oflicers and company security ofiicers.
.9
Securityleuel 1 rncansthe level lbr which minimum appropriate protective security measurcsshall be maintained at all times.
.10
Securityleuel2 means the levcl for which appropriate additional protectivc securirymeasuresshall be maintained for a period of time as a result of heightened risk of a securiryincident.
.11
Security leuel 3 means the level for which further specific protective securiry measuresshall be maintained for a limited period of time when a securiry incident is probable or imminent, although it may not be possible to identi$' the specific target. "ship", 2.2 The term when used in this Code, includes mobile oflshore drilling units and high-speed craft as defined in regulation X.l-211. "Contracting 2.3 The term Government" in connection with any reference to a port facility, when used in sections 14 to 18, includes a referenceto the DesignatedAuthoriry. 2.4 Terms not otherwise defined in this part shall have the same meaning as the meaning attributed to them in chaptersI and XI-2.
3
Application
3.1
This Code appliesto: .1
.2
the following rypes of ships engagedon international voyages: .1 passengerships,including high-speedpassengercraft; .2
cargo ships, including high-speed craft, of 500 gross tonnage and upwards; and
.3
mobile offshore drilling units; and
port facilities serving such ships engaged on international voyages.
3.2 Nonvithstanding the provisions of section 3.1.2, Contracting Governments shall decide the extent of application of this Part of the Code to those port facilities within their territory which, although used primanly by ships not engaged on international voyages, are required, occasionally, to serye ships arnving or departing on an international voyage. 3.2.1 Contracting Governments shall base their decisions, under section 3.2, on a port facility securiryassessment carried out in accordancewith this Part of the Code.
Part A 3.2.2 Any decisionwhich a Contracting Government makes,under scction 3.2, shall not compromise the level of securiryintended to be achievedby chapter Xl-2 or by this Part of the Code. 3.3 This Code does not apply to warships,naval auxiliariesor other ships owned or operated by a Contracting Government and used only on Governmcnt non-commercial service. 3.4 Sections5 to 13 and 19 of this part apply to Companies and ships as spccifiedin regulation XI-211. 3.5 Sections5 and 14 to 18 of this part apply to port facilitiesas specified in regulation Xl-2110. 3.6 Nothing in this Code shallprejudice the rights or obligationsof States under international law. 4
ResponsibilitiesofContractingGovernments
4.1 Subject to the provisions of regulationXl-2f 3 andXI-217 , Contracting Governments shall set security levels and provide guidance for protection from security incidents. Higher securiry levels indicate greater likelihood of occurrence of a securiryincident. Factorsto be consideredin setting the appropriatesecurity level include: .1
the degreethat the threat information is credible;
.2
the degree that the threat inforrnation is corroborated;
.3
the degreethat the threat information is specificor imminent; and
.4
the potential consequencesof such a security incident.
4.2 Contracting Governments,when they set security level 3, shall issue, as necessary,appropriate instr-r.rctionsand shall provide security-related inforrnation to the ships and port facilitiesthat may be affected. 4.3 Contracting Governments may deiegate to a rccognized securiry organizationcertain of their security-relatedduties under chapterXI-2 and this Part of the Codc with the exception of; .1
setting of the applicablesecurity level;
.2
approving a port faciliry security asscssmentand subsequent amendmentsto an approved assessmcnt;
.3
deterrnining the port facilities which will be requircd to dcsignatea port facility securiryotlcer;
.4
approving a port facility secr-rrityplan and subsequentarnendnlcnts to an approvcd plan;
.5
excrcising control and compliancc measures pursuant to regulation XI-2/9; and
.6
establishingthc requirementsfor a Declaration of Security.
ISPSCode 4.4 Contracting Governments shall, to the extent they consider appropriate, test the efrectivenessof the ship security plans or the port facility security plans, or of amendmentsto such plans, they have approved,or, in the caseof ships,of plans which have been approved on their behalf
5
Declaration of Security
5.1 Contracting Governments shall determine when a Declaration of the risk the ship/port intedace or ship-toSecuriry is required by assessing ship activiry posesto persons,property or the environment. 5.2
A ship can requestcompletion of a Declaration of Security when: .t
the ship is operating at a higher security level than the port facility or another ship it is intefacing with;
.2
there is an agreement on a Declaration of Security between Contracting Governments covering certain international voyagesor specificships on those voyages;
.3
there has been a security threat or a securiry incident involving the ship or involving the port faciliry, as applicable;
.4
the ship is at a port which is not required to have and implement an approvedport Acility security plan; or
.5
the ship is conducting ship-to-ship activitieswith another ship not required to have and implement an approved ship securiry Pran.
5.3 Requestsfor the completion of a Declaration of Securiry,under this section, shall be acknowledged by the applicable port facility or ship. 5.4
The Declaration of Security shall be completed by: .1
the master or the ship security oficer on behalf of the ship(s); and. ilt appropriate,
.2
the port facility security oflicer or, if the Contracting Government determines otherwise, by any other body responsible for shore-sidesecurity, on behalf of the port faciliry.
5.5 The Declaration of Security shall addressthe securiry requirements that could be sharedberween a port Acility and a ship (or bewveenships) and shall statethe responsibilityfor each. 5.6 Contracting Govemments shall specifi, bearing in mind the provisionsof regulationXl-2f9.2.3, the minimum period for which Declarations of Securiry shall be kept by the port facilities located within their territory. 5J Administrations shall speciSu,bearing in mind the provisions of regulation XI-219.2.3, the minimum period for which Declarations of Security shall be kept by ships entitled to fly their flag.
10
Part A 6
Obligations of the Company
6.1 The Comoany shall ensurethat the ship securityplan contains a clear statementemplrasizingthe master'sauthority. The Company shall establish in the ship security plan that the master has the overriding authority and responsibilityto make decisionswith respectto the safetyand securityof the ship and to request the assistanceof the Company or of any Contracting Government as may be necessary. 6.2 The Company shall ensure that the company security officer, the master and the ship security officer are given the necessarysupport to fulfil their duties and responsibilitiesin accordancewith chapter XI-2 and this Part of the Code. 7
Ship security
7.1 A ship is required to act upon the security levels set by Contracting Governments as set out below. 7.2 At securiry level 1, the following activities shall be carried out, through appropriatemeasures,on all ships,taking into account the guidance given in part B of this Code, in order to identi!' and take preventive measuresagainstsecurity incidents: .1
ensuring the performanceof all ship securiry duties;
.2
controlling accessto the ship;
.3
controlling the embarkation of personsand their effects;
.4
monitoring restricted areas to ensure that only authorized personshave access;
.5
monitoring of deck areasand areassulrounding the ship;
.6
supervisingthe handling of cargo and ship's stores;and
.7
ensuring that securiry communication is readily available.
7.3 At securiry level 2, additional protective measures,specifiedin the ship securiry plan, shall be implemented for each activity detailed in section 7.2, taking into account the guidancegiven in part B of this Code. 7.4 At security level 3, further specificprotective measures,specifiedin the ship security plan, shall be implemented for each activity detailed in section 7.2, taking into account the guidancegiven in part B of this Code. 7.5 Whenever securirylevel 2 or 3 is set by the Administration, the ship shallacknowledgereceipt of the instmctions on changeof the securirylevel. 7.6 Prior to entering a port or whilst in a port within the territory of a Contracting Government that has set security level 2 or 3, the ship shall acknowledge receipt of this instruction and shall confirm to the port facility security ofEcer the initiation of the implementation of the appropriate
n
ISPSCode lxeasuresand proceduresasdetailedin the ship securiryplan, and in the case of security level 3, in instructions issuedby the Contracting Government which has set security level 3. The ship shall report any difficulties in implementation. In such cases,the port faciliry security oftrcer and ship security ofEcer shall liaise and co-ordinate the appropriateactions. 7.7 If a ship is required by the Administration to set, or is alreadyat, a higher security level than that set for the port it intends to enter or in which it is alreadylocated,then the ship shalladvise,without delay,the competent authoriry of the Contracting Government within whose territory the port facility is located and the port facility securiry officer of the situation. 7.1.1 In such cases,the ship security officer shallliaisewith the port facility security ofiicer and co-ordinate appropriateactions, if necessary. 7.8 An Administration requiring shipsentitled to fly its flag to set securiry level 2 or 3 in a port of another Contracting Government shall inform that Contracting Govcrnment without delay. 'When 7.9 Contractins Governments set securiw levels and ensure the provision of security-lev*elinformation to ships opeiatitrg in their territorial sea,or having communicated an intention to enter their territorial sea,such ships shall be advised to maintain vigilance and report immediately to their Administration and any nearby coastalStatesany information that comes to their attention that might affect maritime security in the area. 7.9.1 When advising such ships of the applicable security level, a Contracting Government shall, taking into account the guidance given in part B of this Code, alsoadvisethose shipsof any securitymeasurethat they should take and, if appropriate,of measuresthat have been taken by the Contracting Government to provide protection againstthe threat.
8
Ship security assessment
8.1 The ship security assessmentis an essentialand integral part of the processof developing and updating the ship security plan. 8.2 The company securiry oficer shall ensure that the ship secunry assessnentis carried out by personswith appropriateskills to evaluatethe security of a ship, in accordancewith this section, taking into account the guidancc givcn in part B of this Code. 8.3 Subject to the provisions of section 9.2.1,, a recognizcd securiry organizationmay carry out the ship security assessment of a specificship. 8.4 The ship securityassessment shallinclude an on-scenesecuritysurvey and, at least,the following elements: .1
identification of existine securiw mcasures. orocedures and operations;
I2
Part A .2
identification and evaluation of key shipboard operations that it is important to protect;
.3
identification ofpossible threatsto the key shipboardoperarions and thc likelihood of their occurrence,in order to establishand prioritize sccurirymeasures: and
.4
identification of weaknesses,including human factors, in the infrastructure,policies and procedures.
8.5 The ship securityassessment shallbe documented, reviewed,accepted and retained by the Company.
9
Ship security plan
S,l Each ship shall carry on board a ship securiry plan approved by the Administration. The plan shall make provisions for the three security levels as defined in this Part of the Code. 9.1.1 Subject to the provisions of section 9.2.1, a recognized security organization may prepare the ship securiry plan for a specific ship. 9.2 The Administration may entrust the review and approval of ship security plans, or of amendments to a previously approved plan, to recogmzeclsecunty orgaruzatlons. 9.2.1 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 securiry assessmentor of the ship secunty plan, or of the amendments, under review. 9.3 The submission of a ship security plan, or of amendments to a previously approved plan, for approval shall be accompanied by the securiry assessment on the basisof which the plan, or the amendments,has been developed. S.4 Such a plan shallbe developed,taking into account the guidancegrvcn in part B of this Code, and shall be written in the working language or ianguages of the ship. If the language or languages used is not English, French or Spanish, a translation into one of these languages shall be included. The plan shall address,at least, the following: .1
measuresdesigned to prevent weapons, dangerous substances and devicesintended for use againstpersons,ships or ports and the carriage of which is not authorized from being taken on b o a r dt h e s h i p ;
.2
identification of the restricted areas and measures for the prevention of unauthorized accessto them; measuresfor the prevention of unauthorized acccssgs 1[s shin'
.3
13
ISPSCode .4
procedures for responding to security threats or breachesof sccuriry,including provisions for maintaining critical operations of the ship or ship/port inteface;
.5
procedures for responding to any securiry instructions Contracting Governments may give at securiry level 3;
.6
proceduresfor evacuationin caseofsecuriry threatsor breaches of security;
.7
duties of shipboard personnel assignedsecurity responsibilities and ofother shipboardpersonnel on security aspects;
.8
proceduresfor auditing the security activities;
.9
proceduresfor training, drills and exercisesassociatedwith the plan;
.10
proceduresfor interfacingwith port Acility security activities;
.1,|
proceduresfor the periodic review of the plan and for updating;
.12
proceduresfor reporting security incidents;
.13
identification of the ship security officer;
.14
identification of the company security officer, including 24hour contact details;
,15
procedures to ensure the inspection, testing, calibration, and maintenanceof any security equipment provided on board;
.16
frequency for testing or calibration of any security equipment provided on board;
.17
identification of the locations where the ship securiry alert systemactivation points are provided;- and
.18
procedures,instructions and guidance on the use of the ship security alert system, including the testing, activation, deactivation and resettingand to limit falsealerts.*
9.4.1 Personnelconducting internal audits of the securityactivitiesspecified in the plan or evaluating its implementation shall be independent of the activitiesbeing audited unless this is impracticabledue to the size and the nature of the Company or of the ship. 9.5 The Administration shall determine which changesto an approved ship securityplan or to any securiryequipment specifiedin an approvedplan shall not be implemented unless the relevant amendments to the plan are approved by the Administration. Any such changes shall be at least as . Administrations may a1low, in order to avoid compromising in any way the objcctive of providing on board the ship securiry alcrt system, this information to be kept clscwhere on board in a documcnt known to the master, thc ship security oficer and othcr senior shipboard personnel as may bc dccided by the Company.
I4
Part A effectiveas those measuresprescribedin chapter XI-2 and this Part of the Code. 9,5.1 The nature of the changesto the ship security plan or the securiry equipment that have been specifically approved by the Administration, pursuant to section 9.5, shall be documented in a manner that clearly indicates such approval. This approval shall be available on board and shall be presentedtogether with the International Ship Securiry Certificate (or the Interim International Ship Securiry Certificate). If these changesare temporary, once the original approved measures or equipment are reinstated,this documentation no longer needsto be retained by the ship. 9.6 The plan may be kept in an electronicformat. In such a case,it shallbe protected by procedures aimcd at preventing its unauthorized deletion, destruction or amendment. 9.7
The plan shall be protected from unauthorized accessor disclosure.
9.8 Ship securiry plans are not subject to inspection by ofEcers duly authorized by a Contracting Government to carry out control and compliance measures in accordance with regulation Xl-219, save in circumstances specifiedin section9.8.1. 9.8.1 If the officers duly authorized by a Contracting Government have clear grounds to believe that the ship is not in compliance with the requirements of chapter Xl-2 or part A of this Code, and the only means to veriSr or rectify the non-compliance is to review the relevant requirements of the ship security plan, limited accessto the specific sectionsof the plan relating to the non-compliance is exceptionally allowed, but only with the consent of the Contracting Government of, or the master of, the ship concerned. Nevertheless,the provisions in the plan relating to section 9.4 subsections.2, .4. .5, .7. .1.5..I7 and .18 of this Part of the Code are consideredas confidential information, and cannot be subject to inspection unlessotherwise agreedby the Contracting Governments concerned.
10
Records
l0.l Records of the following activitiesaddressedin the ship securityplan shall bc kept on board for at least the minimum penod specifiedby the Adnrinistration, bearing in mind the provisions of regulationXl-219.2.3: .1
training, drills and exercises;
.2
security threatsand security incidents;
.3
brcachesof sccuriry:
.4
changesin security level;
.5
comrnunications relating to the direct security of the ship such as specificthreats to the ship or to port facilities thc ship is, or has been, in;
15
ISPSCode .6
internal audits and reviews of security activities;
.7
periodic review of the ship security assessment;
.8
periodic review of the ship securiry plan;
.9
implementation of any amendmentsto the plan; and
.10
maintenance,calibration and testing of any securiry equipment provided on board, including testing of the ship security alert system.
10.2 The records shall be kept in the working languageor languagesof the ship. If the languageor languagesused are not English, French or Spanish,a translationinto one of these languagesshall be included. 10.3 The recordsmay be kept in an electronic format. In such a case.they shall be protected by procedures aimed at preventing their unauthorized deletion, destruction or amendment. 10.4 The recordsshallbe orotectedfrom unauthorizedaccessor disclosure.
II
Company security officer
ll.1 The Company shall designatea company security officer. A person designatedas the company security officer may act as the company securiry officer for one or more ships, depending on the number or types of ships the Company operates, provided it is clearly identified for which ships this person is responsible.A Company may, depending on the number or types of shipsthey operate,designateseveralpersonsas company securiryofficers provided it is clearly identified for which ships each person is responsible. 11.2 In addition to those specifiedelsewherein this Part of the Code, the duties and responsibilities of the company security officer shall include, but are not limited to: .l
advisingthe level of threatslikely to be encounteredby the ship, using appropriate securiry assessmentsand other relevant infonnation;
.2
are carried out; ensuring that ship security assessments
.3
ensuring the development, the submission for approval, and thereafter the implementation and maintenance of the ship security plan;
.4
ensuring that the ship securiry plan is modified, as appropriate, to correct deficienciesand satisfythe security requirements of the individual ship;
.5
arranging for internal audits and reviews of securiry activities;
.6
arranging for the initial and subsequentverifications of the ship by the Adrninistration or thc recognized security organization;
16
Part A
.7
ensuring that deficiencies and non-conformities identified during internal audits, periodic reviews, security inspections and verificationsof compliancearepromptly addressedand dealt with;
.8
enhancing securiry awarenessand vigilance;
.9
ensuring adequate training for personnel responsible for the security of the ship;
. t 0 ensuring effectivc communication and co-operation between the ship security officer and the relevant port Acility securiry oltrcers;
, 1 1 ensuring consistencyberween securiry requirementsand safery requlrements;
.12 ensuring that, if sister-shipor fleet security plans are used, the plan for each ship reflects the ship-specific information accurately;and
. t 3 ensuring that any alternative or equivalent arrangements approved for a particular ship or group of ships are implemented and maintained. 12
Ship security officer
12.1 A ship securiry officer shall be designatedon each ship. 12.2 In addition to thosc specifiedelsewherein this Part of the Code, the duties and responsibilitiesof the ship security officcr shall includc, but are not limited to: .1
undertaking regular security inspections of the ship to ensure that appropriatesecurity measuresare maintained;
.2
maintaining and supervising the implementation of the ship securiryplan, including any amendrnentsto the plan;
.3
co-ordinating the security aspectsof the handling of cargo and ship's stores with other shipboard personnel and with the relevant port facility security oflicers;
.4
proposing modifications to the ship security plan;
.5
reporting to the company security officer any deficiencies and non-conformities identified during internal audits, periodic revlews,securityinspectionsand verificationsof cornplianceand implementing any corrective actions;
.6
enhancing security awarenessand vigilance on board;
.l
ensuring that adcquatetraining has been provided to shipboard personnei,as appropriate;
.8
rcporting all security incidents;
17
ISPSCode .9
co-ordinating implementation of the ship security plan with the company security officer and the relevant port facility security ofEcer; and
. 1 0 ensuring that securiry equipment is properly operated, tested, calibrated and maintained. if anv.
13
Training, drills and exercises on ship security
13.1 The company security officer and appropriateshore-basedpersonnel sha-llhave knowledge and have received training, taking into account the guidancegiven in part B of this Code. 13.2 The ship securiry officer shall have knowledge and have received training, taking into account the guidance given in part B of this Code. 13.3 Shipboard personnel having specific security duties and responsibilities shall understand their responsibilitiesfor ship security as describedin the ship securiry plan and shall have suffcient knowledge and abiliry to peform their assignedduties, taking into account the guidance given in part B of this Code. ,|3.4 To ensure the effective implementation of the ship securiry plan, drills shall be carried out at appropriate intervals taking into account the ship type, ship personnel changes, port facilities to be visited and other relevant circumstances, taking into account the guidance grven in part B of this Code. 13.5 The company securiry oficer shall ensure the effectiveco-ordination and implementationof ship securiryplansby participatingin exercisesat appropriate intervals, taking into account the guidance given in part B of this Code.
14
Port facility security
14.1 A port facility is required to act upon the security levels set by the Contracting Government within whose territory it is located. Securiry measures and procedures shall be applied at the port faciliry in such a manner as to causea minimum of interGrencewith, or delay to, passengers, ship, ship's personnel and visitors, goods and services. 14.2 At security level 1, the following activities shall be carried out through appropriate measuresin all port facilities, taking into account the guidance given in part B of this Code, in order to identify and take preventive measuresagainstsecurity incidents: .1
ensuring the performance of all port faciliry security duties;
.2
controlling accessto the port faciliry;
18
Part A .3
monitoring of the port facility, including anchoring and berthing area(s);
.4
monitoring restricted areas to ensure that onlv authorized personsnave access;
.5
supervisingthe handling of cargo;
.6
supervisingthe handling of ship's stores;and
.7
ensuring that securiry communication is readily available.
14.3 At security level 2, additional protective measures,specifiedin the port Acility security plan, shall be implemented for each activiry detailed in section 14.2, takinginto account the guidancegiven in part B of this Code. 14.4 At security level 3, further specific protective measures,specifiedin the port faciliry security plan, shall be implemented for each activity detailed in section 14.2, taking into account the guidance given in part ts of this Code. 14.4.1In addition, at securitylevel 3, port facilitiesare required to respondto a n d i m p l e m e n t a n y s e c u r i r y i n s r r u c t i o n sg i v e n b y t h e C o n t r a c t i n g Government within whose territory the port faciliry is located. 14.5 When a port facility security of{icer is advisedthat a ship encounters diflculties in complying with the requirements of chapter XI-2 or this part or in implementing the appropriatemeasuresand proceduresas detailedin the ship security plan, and in the case of security level 3 following any secunty instructions grven by the Contracting Government within whose territory the port facility is located, the port faciliry securiry officer and the ship secunry officer shall liaise and co-ordinate appropriareactions. 14.6 When a port facility security officer is advisedthat a ship is at a security level which is higher than that of the port facility, the port facility securiry officer shall report the matter to the competent authority and shall liaise with the ship securiry o{hcer and co-ordinate appropriate actions, if necessary.
l5
Port facility security assessment
15.1 The port facility security assessment is an essentialand integral part of the process of developing and updating the port facility security plan. 15.2 The port faciliry securiry assessmenr shall be carried our by rhe Contracting Government within whose territory the port facility is located. A Contracting Government may authorize a recognized security organization to carry out the port facility securiry assessmentof a specific port facilify located within its territory. 15.2.1Whenthe port facility security assessment has been carried out by a recognizedsecurity organization,the security assessment shall be reviewed
l9
ISPSCode and approvcd for compliancc with this section by the Contracting Government within whose tcrritory the port faciliry is iocated. shallhaveappropriateskills to 15.3 The personscarryingout the assessment cvaluate the securiry of the port facility in accordancewith this section, taking into account the guidancegiven in part B of this Code. shall periodically be reviewed 15.4 The port facility security assessments and updatcd, taking account of changing threats and/or minor changesin the port facility, and shall always be reviewed and updated when major changesto the port facility take place. 15.5 The port faciliry securiry asscssmentshall include. at least. the following elements: .1 .2
identification and evaluationof important assetsand infrastructure it is important to protect; identification of possiblethreats to the assetsand infrastructure and the likelihood oftheir occurrence,in order to establishand prioritize securirymeasures:
.3
identification, seiection and prioritization of countermeasures and procedural changes and their level of effectivenessin reducing r,rrlnerabiliry; and
.4
identification of weaknesses,including human factors, in the infrastructure,policies and procedures.
15.6 The Contracting Government may allow a port facility securiry assessmentto cover more than one port facility if the operator, location, operation, equipment, and design of these port facilities are similar. Any Contracting Government which allows such an arrangement shall communicate to the Organization particulars thereof a report shall 15.7 Upon completion of the port faciliry securityassessment, was conducted, be prepared,consistingof a summary of how the assessment a description of cach vulnerabiliry found during the assessmentand a descriotion of countermeasures that could be used to address each vulnerabiliry. The report shall be protected from unauthorized accessor disclosure. t6
Port facility security plan
16.1 A port facility securityplan shallbc developedand maintained,on the for eachport facility, adequatefor basisof a port faciliry security asscssment the ship/port inteface. The plan shallmake provisionsfor the three securiry levcls. as defined rn this Part of the Code. l6.f .t Subject to the provisions of section 16.2, a recognized securiry organization may prcpare the port facility securiry plan of a specific port facilitv.
20
Part A 16.2 Thc port facility security plan shall be approved by thc Contracting Covernment irr whose territory the port faciiity is located. 16.3 Such a plan shallbe devclopedtaking into account the guidancegven in part B of this Code and shall be in the working languageof the port faciliry. The plan shall address,at least,the following: .1
measuresdesignedto prevent weapons or any other dangerous substances and devicesintended for use againstpersons,shrpsor ports, and the carriageof which is not authorized, from being introduced into thc port facility or on board a ship;
.2
measuresdesignedto prevent unauthorized accessto the port facility, to shipsmoored at the facility, and to restrictedareasof the facility;
.3
procedures for responding to security threats or breachesof security,including provisions for maintaining critical operations of the port facility or shipiport interface;
.4
procedures for responding to any securiry instructions the Contracting Government in whose territory the port faciliry is located may give at securify level 3;
.5
proceduresfor evacuationin caseofsecurity threatsor breaches of security;
.6
duties of port faciliry personnelassignedsecuriryresponsibilities and of other facility pcrsonnel on security aspects;
.7
proceduresfor interfacing with ship securiryactivities;
.8
proceduresfor the periodic review ofthe plan and updating;
.9
proceduresfor reporting security incidents;
. 1 0 identification of the port facility security officer, including 24hour contact details;
. tI
measuresto ensurethe security of the information contained in the plan;
. 1 2 measuresdesigned to ensure effective securify of cargo and the cargo handling equipmenr at the port faciliry;
. 1 3 procedures for auditing the port faciliry security plan; . 1 4 procedures for responding in casethe ship security alert system .15
of a ship at the port facility has been activated; and procedures for facilitating shore leave for ship's personnel or personnel changes, as well as accessof visitors to the ship, including reprcsentatives of seafarers' welfare and labour organizations.
16.4 Personnel conducting internal audits of the security activities specifiedin the plan or evaluatingits implementation shall be independcnt
21
ISPSCode of the activities being audited unless this is impracticable due to the size and the nature of the port facility. 16.5 The port faciliry security plan may be combined with, or be part of, the port securiryplan or any other port emergencyplan or plans. 16.6 The Contracting Govemment in whose territory the port faciliry is located shall determine which changesto the port facility security plan shall not be implemented unless the relevant amendments to the plan are approvedby them. 16J The plan may be kept in an electronicformat. In such a case,it shallbe protected by procedures aimed at preventing its unauthorized deletion, destruction or amendment. ,|6.8 The plan shall be protected from unauthorized accessor disclosure. 16.9 Contracting Govemments 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. Any Contracting Government which allows such an alternative alTangement shall communicate to the Organization particulars thereof
17
Port facility security officer
17.1 A port facility security ofEcer shall be designatedfor each port Acility. A person may be designated as the port facility security officer for one or more port facilities. 17.2 In addition to those specifiedelsewherein this Part of the Code, the duties and responsibilities of the port facility security officer shall include, but are not lirnited to: .l
conducting an initial comprehensive security survey of the port facility, taking into account the relevant port faciliry securiry assessment;
.2
ensuring the development and maintenance of the port facility security plan;
.3
implementing and exercising the port facility securiry plan;
.4
undertaking regular security inspections of the port faciliry to ensure the continuation of appropriatesecurirymeasures;
.5
recommending and incorporating, as appropriate, modifications to the port faciliry securiry plan in order to correct deficiencies and to update the plan to take into account relevant changesto the port facility;
.6
enhancing securiry awarenessand vigilance of the port facility personner;
22
Part A
!
I
.7
ensuring adequate training has been provided to personnel responsiblefor thc security of the port facility;
.8
reporting to the relevant authoritics and maintaining records of occurrenceswhich threaten the securiry of the port facility;
.S
co-ordinating implementation of the port facility sccurity plan with thc appropriateCompany and ship security ofiicer(s);
.10
co-ordinating with security services,as appropriate;
.ll
ensuring that standardsfor personnelresponsiblefor security of the port faciliry are met;
12
ensuring that security equipment is properly operated, tested, calibratcdand maintaincd, if any; and
.13
assistingship securityoficers in confirrning the identiry of those sceking to board the ship when requested.
l
:
17.3 The port facility securiryoltrcer shallbe given the necessarysupport to Fulfil the duties and responsibilitiesimposed by chapter XI-2 and this Part of the Codc.
l8
Training, drills and exercises on port facility security
18,1 The port faciliry security ofhcer and appropriateport faciliry securiry personnel shall have knowledgc and have received training, taking into account the guidancegrven in part B of this Code. 18.2 Port facility personnelhaving specificsecurity duties shall understand their duties and responsibilitiesfor port facility security, as describedin the port Acility security plan, and shall have sufEcient knowledge and ability to pcrform their assignedduties, taking into account the guidancegiven in part ts of this Code.
L)
:\ Ll
18.3 To ensure the effective implementation of the port facility security plan, drills shall be carried out at appropriateintervals,taking into account the rypesof operation of the port faciliry, port Acility personnelchanges,the type of ship the port facility is serving and other relevant circumstances, taking into account guidancc grven in part B of this Code. 18.4 The port faciliry security ofEcer shall ensure the effective coordination and implementation of the port Aciliry securiry plan by participating in exercisesat appropriate intervals, taking into account the guidancegiven in part B of this Code.
23
ISPSCode 19
Verification and certification for ships
19.1 Verifications 19.1.1 Each ship to which this Part of the Code appliesshallbe subject to the verificationsspecifiedbelow: .1
an initial verification bcfore the ship is put in serviceor before the certificaterequired under section 1.9.2is issuedfor the first timc, which shall include a complctc verification of its security system and any associatedsecurity equipment covered by thc rclcvant provisions of chapterXI-2, of this Part of the Code and of the approvedship securityplan. This verification shall ensure that the security systemand any associatedsecurify equipment of the ship fully complies with the applicablerequirements of chapter XI-2 and this Part of the Code, is in satisfactory condition and fit for the servicefor which the ship is intended;
.2
a renewal verification at intervals soecified bv the Adrninistration, but not cxceedingfive years,.*..pt where section 19.3 is applicable.This vcrification shallensurethat the securirysystem and any associatedsecuriry equiprnent of the ship fully complies with the applicablerequirements of chapter XI-2, this Part of the Code and the approved ship security plan, is in satisfactory condition and fit for the servicefor which the ship is intended;
.3
at least one intermediate verification. If only one intermediatc verification is caried out it shall take place betr,veenthe second and third anniversary date of the iertificate as defined in regulation I/2(n). The intermediate verification shall include inspection of the securiry system and any associatedsecuriry equipment of the ship to ensure that it remains satisfactoryfor the service for which the ship is intended. Such intermediate verification shall be endorsedon the certificate;
.4
any additional verifications as determined by the Administration.
19.1.2 The verifications of ships shall be carried out by officers of the Administration. The Administration may, however, entrust the verifications to a recognizedsecurity organizationreferred to in regulattonXl-211. t9.1.3 In cvcry case,the Adrninistration concerned shall fully guarantee the completenessand eficiency of the verification and shall undertake to ensure the necessaryarrangementsto satis$rthis obligation. 19.1,4 The security systcm and any associatedsecuriry equipment of the ship after verification shall be maintained to conform with the provisions of regulations Xl-214.2 and Xl-216, of this Part of the Code and of the approved ship security plan. After any verification under section 19.1.1 has been completcd, no changesshallbe made in the security systemand in any
., /1
Part A associatedsecurity equipment or the approved ship security plan without the sanctionof the Adminisrration. 19.2 Issueoy endorsement of Cenificate 19.2.1 An International Shio Securiw Certificate shall be issuedafter the initial or renewalverificationin accordancewith thc orovisionsof section t9.1. 19.2.2 Such Certificatc shall be issued or endorsed either by the Adrninistration or by a recognized security organization acting on behalf of the Administration. t9.2.3 Another Contracting Government may, at the request of the Administration, cause the ship to be verified and, if satisfied that the provisions of section 19.1.1 are complied with, shall issueor authorize the issue of an International Ship Security Certificate to the ship and, where appropriate,endorseor authorize the endorsementof that Certificate on the ship, in accordancewith this Code. 19.2.3.1 A copy of the Certificate and a copy of the verification report shall be transmitted as soon as possibleto the requestingAdministration. 15.2.3.2 A Certificate so issuedshallcontain a statementto the efTectthat it has been issued at the request of the Administration and it shall have the sameforce and receive the samerecognition as the Certificate issuedunder scction 19.2.2. 19.2.4 The International Ship Security Certificate shall be drawn up in a form correspondingto the model grven in the appendix to this Code. If the languageused is not English, French or Spanish,the text shall include a translationinto one of theselanguagcs. 19.3 Duration and validity of Certificate 19.3.1 An International Shio Securiw Certificate shall be issued for a period specifiedby the Administration, which shall not exceedfive years. 19.3.2 When the renewal verification is comoleted within three months before the expiry datc of the existing Certificate,the new Certificate shallbe r-alid from the date of comoletion of thc rcncwal verification to a date not r'\ceeding five yearsfrom the date of expiry of thc cxisting Certificate. 19.3.2.1 Whcn the renewalverification is completed after the expiry date of the existing Certificate, the new Certificate shall be valid from thc date of cor.nplctior-r of the renewal verification to a date not exceeding five years tronr the date of expiry of the existing Certificate. 15.3.2.2 When the renewal verification is comoleted more than three nronths before the cxpiry datc of the existing Certificrte, thc ncw' Clcrtificatc shall be valid from the date of cornoletion of the renewal
25
ISPSCode verification to a date not exceeding five yearsfrom thc date of completion of the renewal verification. 19.3.3 If a Certificate is issued for a period of less than five years, the Administration may extend the validity of the Certificate beyond the expiry date to the maximum period specifiedin section 19.3.1, provided that the verifications referred to in section 19.1.1 applicablewhen a Certificate is issuedfor a period offive yearsare carried out as appropriate. 19.3.4 If a renewal verification has been completed and a new Certificate cannot be issuedor placed on board the ship before the expiry date ofthe existing Certificate, the Administration or recognizedsecuriryorganization acting on behalf of the Admrnistration may endorse the existing Certificate and such a Certificate shall be acceptedas valid for a further penod which shall not exceed five months from the expiry date. 19.3.5 lla ship. ar the rime when a Cerrificateexpires,is not in a porr in which it is to be verified, the Administration may extend the period of validiry 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 caseswhere it appearsproper and reasonable to do so. 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 ar-rivalin 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. When the renewal verification is completed, the new Certificate shall be valid to a date not excceding five years from the expiry date of the existing Certificate before the extension was granted. 19.3.6 A Certificate issuedto a ship engagedon short voyageswhich has not been extended under the foregoing provisions of this section may be extended by the Administration for a period of grace of up to one month from the date of expiry stated on it. 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 extension was granteo. 19.3.7 If an intermediate verification is completed before the period specifiedin section.l9.1.1, then: .l
the expiry date shown on the Certificate shall be amended by endorsementto a date which shall not be more than three years Iater than the date on which the intermediate verification was completed;
.2
the expiry date may remain unchanged provided one or more additional verifications are carried out so that the maximum intervalsbetween the verificationsprescribedbv section 19.1.1 are not exceeded.
26
Part A 19.3.8 A Ccrtificate issuedunder section 19.2 shallceaseto be valid in any of the following cases: .1
if the rclevantverificationsare not completed within the periods specifiedunder section 19.I.1;
.2
if the Certificate is not endorsed in accordancewith sccrion 19.1.1.3 and 19.3.7.1, if applicable;
.3
when a Company assumesthe responsibilityfor the operation of a ship not previously operated by that Company; and
.4
upon transferof the ship to the flag of another State.
19.3.9 In thc caseof; .1
a transfer of a ship to the flag of another Contracting Government, the Contracting Government whose flag the ship was fonnerly entitled to fly shall,as soon aspossible,transmir to the rcceiving Administration copies o| or all information relating to, the International Ship Security Certificate carried by the ship before the transGr and copies of availableverification reports, or
.2
a Company that assumesresponsibiliry for the operation of a ship not previously operated by that Company, the previous Company shall, as soon as possible, transmit to the receiving Company copies of any infonnation rclated to the International Ship Securiry Certificate or ro facilitate the verifications describedin section 19.4.2.
19.4 Interim certifrcation 19.4.1 The Certificatesspecifiedin section 19.2 shall be issuedonly when the Administration issuing the Certificate is fully satisfiedthat the ship conrplieswith the requiremcntsof section 19.1. However, after l July 2004, tor the purposesof .l
a ship without a Certificate, on delivery or prior to its entry or re-entry into scrvice;
.2
transfer of a ship from the flag of a Contracting Government to the flag of another Contracting Government;
.3
transGrofa ship to the flag of a Contracting Government from a Statewhich is not a Contracting Government; or
.4
a Company assuming the responsibility for the operation of a ship not previously operated by that Company
until the Certificate reGrred to in section 19.2 is issued,the Administration lnay causean Interim InternationalShip Security Certificate to be issued,in a forrn corresponding to the model given in the appendix to this Part of the Clode.
27
ISPSCode 19.4.2 An Interim International Ship Security Certificate shall only be issued when the Administration or recognized security organization, on behalf of the Administration, has verified that: .l
the ship securiry assessment required by this Part of the Code has been completed;
.2
a copy of the ship security plan meeting the requirements of chapterXI-2 and part A of this Code is provided on board, has been submitted for rcview and approval, and is being implemented on the ship;
.3
the ship is provided with a ship securiry alert system meeting the requrrementsof regulation Xl-21 6, if required;
.4
the company securiry officer: .1
has ensured: .t the revicw of the ship security plan for compliance with this Part of the Code; .2 that the plan has been submitted for approval; and .3 that the plan is being implemented on the ship; and
.2
has cstablished the necessaryarrangements, including arrangements for drills, exercises and internal audits, through which the company security officcr is satisfied that the ship will successfullycompiete the required vcrification in accordancewith section 19.1.1.1.within 6 months;
.5
arrangements have been made for carrying out the required verificationsunder section 19.1.1.l:
.6
the mastcr, the ship security officer and other ship's personnel with specific securiry duties are farniliar with their duties and responsibilitiesasspecifiedin this Part of the Code; and with the relevantprovisionsofthe ship securiryplan placedon board; and have been provided such information in the working language of the ship's personnel or languagesunderstood by them; and
.l
the ship securiry ofticer meets the requirementsof this Part of the Code.
19.4.3 An Interim lnternational Ship Security Certificate may be issuedby the Administration or by a recognized security organization authorized to act on its behalf,
19.4.4 An Interim International Ship Security Certificate shall be valid for 6 months, or until the Ccrtificate required by section 19.2 is issued, whichevercomes first, and may not be extended. 19.4.5 No Contracting Government shall causea subsequent,consecutive Interirn lnrernationalStip SccuriryCerrificarero be issu.'dto a ship if. in
28
Part A the judgcment of the Administration or the recognized security organization, one of thc purposes of the ship or a Company in rcquesting such Certificatc is to avoid full compliancewith chapterXI-2 and this Part of the Code bcyond thc period of the initial Interim Certificatc as specifiedin s e c t i o n1 9 . 4 . 4 . 19.4.6 For the purposesof regulation Xl-219, Contracting Governments may, prior to acceptingan Interim InternationalShip Security Certificate as a valid Ccrtificatc, ensure that the requirenrenrsof sections 19.4.2.4 to ] t 9 . 1 . 2 . (h, a v cb e c n l n e r .
29
ISPSCode
Appendix to part A Appendix1
Form of the International Ship Security Certificate INTERNATIONAL SHIPSECURITYCERTIFICATE
(State)
(Official seal)
CertificateNumber lssuedunder the provisionsof the INTERNATIONAL CODEFORTHE SECURIryOF SHIPSAND OF PORTFACILITIES ( I S P SC O D E )
under the authorityof the Governmentol
(name of State)
by (person(s) or organization authorized)
N a m eo f s h i p Distinctivenumber or letters Port of registry
T y p eo f s h i p . Grosstonnage. I M ON u m b e r. . Name and address of the Companv
30
Part A, appendix 1 THIS IS TO CERTIFY, 1
that the securitysystemand any associatedsecurityequipmentof the ship has been verifiedin accordancewith section 19.1 of part A of the ISPSCode;
2
that the verificationshowed that the security system and any associated securityequipmentof the ship is in all respectssatisfactory and that the ship complieswith the applicablerequirementsof chapterXl-2 of the Convention and part A of the ISPScode;
3
that the ship is providedwith an approvedship securityplan.
Date of initial/renewalverificationon which this Certificateis based
T h i sC e r t i f i c a ties v a l i du n t i l ...... s u b j e c t o v e r i f i c a t i o ni n s accordance w i t h s e c t i o n1 9 . 1 1 o f p a r tA o f t h e I S P SC o d e
lssuedat. . . (Place of ssue of certlfrcate) Date of issue (Signature of the duly authortzed offlctal rssurng the Certifrcate) (Seal or stamp of issurng authority, as approprrate)
31
ISPSCode Endorsement for intermediate verification 1 c. 1toi of n T H I S l S T O C E R T I F Y t h a t a t a n i n t e r m e d i a t e v e r i f i c a t i o n r e q u i r e d b1v9s. e part A of the ISPSCodethe ship was found to complywith the relevantprovisionsof chapterXl-2 o{ the Conventionand part A of the ISPSCode.
lntermediateverification
Signed (Signa tu re of a u th orized officta I) Place:
(Seal or stamp of the authority, as approprrate)
Endorsement for additional verifications*
A d d i t i o n avl e r i f i c a t i o n
Signed: (Signature of authorized offlclal) Place Date:
(Seal or stamp of the authority, as appropriate)
A d d i t i o n avl e r i f i c a t i o n
Signed: (Srgnature of authorized official) Place. Date.
(Seal or stamp of the authorlty. as appropriate)
A d d i t i o n avl e r i f i c a t i o n
Signed (Srgnature of authorized official) Place. Date.
(Seal or stamp of the authorlty, as approprtate) .
This part ofthe ccrtificatc shall bc adaptcdby the Adnunistration to indicate rvhcthcr it has establishcdaclditionalverificationsas orovided lor in scction 19.1.1..+.
JZ
PartA, appendix1 Additional verification in accordance with section A,/19.3.7.2 of the ISPS Code THIS lS TO CERTIFY that at an additionalverificationreouiredbv section 19.3.7.2oI part A of the ISPSCodethe ship was found to complywith the relevantprovisionsof chapterXl-2 of the Conventionand part A of the ISPSCode. Signed: (Sign a tu re of au thorize d officra/) place: Date: (Seal or stamp of the authority, as approprnte)
Endorsement to extend the certificate if valid for less than 5 years where section A/19.3.3 of the ISPS Code applies The ship complieswith the relevantprovisionsof part A of the ISPSCode.and the Certificateshall,in accordancewith section 19.3.3 of part A of the ISPSCode. be acceptedas valid until Signed
otri"iu)1 1Sgnaiure oif aturrhorized Place: Date. (Seal or stamp of the authorlty. as appropriate)
Endorsement where the renewal verification has been completed and section A/19.3.4 of the ISPS Code applies The ship complieswith the relevantprovisionsof part A of the ISPSCode.and the Certificateshall.in accordancewith section 19.3 4 of part A of the ISPSCooe. oe a c c e p t e da s v a l i du n t i l Signed: (Sg na tu re ol atutth orized ofii"r)) place. Date: (Seal or stamp of the authority. as appropriate)
33
ISPSCode Endorsement to extend the validity of the certificate until reaching the port of verification where section A/19.3.5 of the ISPS Code applies or for a period of grace where section A/19.3.6 of the ISPS Code applies 1 9 . 3 . 6 . o f p a r t A o ft h e I S P S T h i s C e r t i f i c a t e s h a l l , i n a c c o r d a n c e w i t h s1e9c3t 5 i o/ n Code.be acceptedas valid until . . Signed: (Srgnature of authorized officral) Place Date: (Seal or stamp of the authority, as appropriate)
Endorsement for advancement of expiry date where section A/19.3.7. 1 of the ISPS Code applies I n a c c o r d a n c e w i t h s e c t i1o9n. 3 7 . 1o f p a r t A o f t h e l s P S C o d e . t h e n e w e x p i r y d a t e + Signed (Sgnature o,f aruthorizedoff "ri) Place:
(Seal or stamp of the authority. as approprrate)
'
Dclcte as appropriatc. f h cascofcorrpletion ofthis part ofthe Ccrtificate, the expiry datc shou'n on the liont ofthe Ccrtificate shall also be amended accordinslv.
-t+
Part A, appendr-x2
Appendix 2
Form of the Interim International Ship Security Certificate
INTERIMINTERNATIONAL SHIPSECURIryCERTIFICATE
(Officlalseal)
(State)
C e r t i f i c a tN e u m b e r .. . . . . lssuedunder the provisionsof the INTERNATIONAL CODEFORTHE SECURITY OF SHIPSAND OF PORTFACILITIES ( I S P SC O D E )
under the authorityof the Governmentof
(name of State)
by (person(s) or organrzatronauthoized)
N a m eo f s h i p Distinctivenumber or letters Port oI registry -ype
ot ship
Grosstonnage 'MO
Number
Name and addressof Company
35
ISPSCade ls this a subsequent.consecutivelnterim Certi{icate?Yes/No" l f Y e s ,d a t e o [ i s s u eo f i n i t i a Il n t e r i mC e r t i l i c a t .e. . THIS lS TO CERTIFY THAT the requirementsof sectionA/19.4.2 of the ISPSCode have been compliedwith.
This Certificateis issuedpursuantto sectionA/19.4 of the ISPSCode.
This Certificateis valid until
l s s u e da t . (Place of rssue of the Certificate) (Dateof issue) (Slgnature of the duly authorized officlal issuing the Certifrcate) (Seal or stamp of issuing authority. as appropriate)
'
Delete as app(rpriate
36
Part B
Part B Guidance regarding the provisions of chapter xr-2 of the Annex to the International Convention for the Safety of Life at Sea. 1974 as amended and paft A of this Code
Introduction Ceneral l.l The preamble of this Code indicatesthat chapter XI-2 and part A of this Code establishthe new internationalframework ofmeasuresto enhance nraritime securityand through which shipsand port facilitiescan co-operate to detect and deter acts which threaten security in the rnaritime transport sector. 1.2 This introduction outlines, in a concise manner, the processes envisagedin establishingand implementing the mcasuresand arrangements neededto achicve and maintain compliance with the provisions of chapter XI-2 and ofpart A of this Code and identifies the main elementson which guidanceis offered.The guidanceis provided in paragraphs2 through to 19. It also sets down essentialconsiderationswhich should be taken into account when considering thc application of the guidancc 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 paragraphsrelating to facilities. The samc applies to those whose -poft primary interest is port facilities; they should also read the paragraphs relating to ships. 1.4 The guidance provided in the following paragraphsrelatesprimanly to protection of the ship when it is at a port facility. There could, however, be situationswhen a ship may pose a threat to the port facility, e.g. because, once within the port facility, it could be usedasa basefrom which to launch an attack. When considering the appropriatesecurity measuresto respond to ship-basedsccurity threats, those completing the port facility security assessmentor preparing thc port facility security plan should consider rnaking appropriate adaptations to the guidance offered in thc following paragrapns. 1.5 The readeris advisedthat 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 Codc and that the aforesaidprovisions alwaysprevail and override any unintended inconsistency which may have been inadvertently expressedin this Part of the Code. The guidance provided in this Part of the Code should alwaysbe read, interpreted and applied in a
37
ISPSCode manner which is consistent with the aims, objectives and principles establishedin chapter Xl-2 and part A of this Code.
Responsibilitiesof C ontractingGovernments 1.6 Contracting Governmentshave, under the provisions of chapterXI-2 and part A of this Code, various responsibilities,which, amongst others, include: setting the applicable security level; approving thc ship securityplan (SSP)and relevantamendments to a previously approvedplan; verifiing the compliance of shipswith the provisions of chapter XI-2 and part A of this Code and issuing to ships the International Ship Security Certificate; detennining which of the port facilities located within their territory are required to designate a port facility security officer (PFSO) who will be responsiblefor the preparationof the port facility security plan; ensuring completion and approval of the port facility securiry assessmcnt(PFSA) and of any subsequentamendments to a previously approvedassessment; approving the port faciliry securiry plan (PFSP) and any subsequentamendmentsto a previously approvedplan; exercisingcontrol and compliance measures; testing approvedplans; and communlcating information to the International Maritime C)rganizationand to the shipping and port industries. 1.7 Contracting Governments can designate, or establish, Designated Authorities within Government to undcrtake,with respectto port facilities, their security duties under chapter Xl-2 and part A of this Code and allow recognizedsecurity organizationsto carry out certain work with respectto port facilities,but the final decision on the acceptanceand approval of this work should be given by the Contracting Govemment or the Designated Authoriry. Administrations nray also delegate the undertaking of certain securiry duties, rclating to ships,to recognizedsecuriry organizations.The following duties or activities cannot be delegatedto a recognized securiry organization: setting of the applicable securiry level; determining which of the port facilities located within the territory of a Contracting Govemment are required to designate a PFSO and to preparea PFSP;
38
Part B approving a PFSA or any subsequent amendments to previously approved assessment; approving a PFSP or any subscqucnt amendments to previously approved plan; exercisingcontrol and compliance measures;and establishingthe requircments for a Declaration of Security.
Settingthe securityleuel 1.8 The setting of the securirylevel applying at any particular time is the rr,-sponsibility of Contracting Governments and can apply to shipsand port tacilitics.Part A of this Code definesthree sccurity levels for international use.Thcsc are: Security level 1, normal; the level at which ships and port facilitiesnormally operate; Securiry level 2, heightened; the level applying for as long as there is a heightened risk ofa security incident; and Securirylevel 3, cxceptional;the level applying for the penod of time when there is the probable or imminent risk of a securiry incident.
Tlrc Company and the ship l.S Any Company operating ships to which chapter XI-2 and part A of this Code apply has to designatca CSO for the Company and an SSO for each of its ships. The duties, responsibilitiesand training requirements of theseoflicers and requirementsfor drills and exercisesare defined in part A of this Code. l.l0 The company sccurity oftrcer's responsibilitics include, in brief (SSA) is proper\ anlonlfst others, ensuring that a ship security assessment carried out, that an SSP is prepared and submitted for approval by, or on behalf of, the Administration and thereafteris placed on board each ship to rvhich part A of this Code appliesand in respectof which that person has been appointed as the CSO. t.ll Thc SSP should indicate the operational and physical security rrleasurcsthe ship itself should takc to ensure it alwaysoperatesat securiry lcvel 1. The plan should also indicate the additional, or intensified,security rneasuresthe ship itself can take to move to and operateat securirylevel 2 rvhen instructed to do so. Furthermore, the plan should indicate the possiblepreparatoryactionsthe ship could take to allow prompt responseto the instructions that may be issued to the ship by thosc responding at securirylevcl 3 to a security incident or thrcat thereof
39
ISPSCode 1.12 The ships to which the requirements of chapter Xl-2 and part A of this Code apply are required to have, and be operatedin accordancewith, an SSP approved by, or on behalf o[, the Adrninistration. The CSO and SSO should monitor the continuing relevanceand effectiveness of the plan, including the undertaking of intemal audits. Amendments to any of the clements of an approved plan, for which the Administration has determined that approval is required, have to be submittcd for review and approval before their incorporation into the approvedplan and their implementatlon by the ship. 1.13 The ship has to carry an lnternational Ship Security Certificate indicating that it complieswith the requirementsof chapterXI-2 and part A of this Code. Part A of this Code includes provisions relating to the verification and ccrtification of the ship'scompliancewith the requirements on an initial. renewal and interrnediateverification basis. 1.14 When a ship is at a port or is proceeding to a port of a Contracting Govcrnrncnt, the Contracting Government has the right, under the provisions of regulation Xl-219, to exercisevarious control and compliance measureswith respectto that ship. The ship is subject to port Statecontrol inspectionsbut such inspectionswill not normally extend to examinationof the SSPitself except in specificcircumstances.The ship may alsobe subject to additional control measuresif the Contracting Govemment exercising the control and compliance measureshas reasonto believe that the securiry of the ship has, or the port facilitiesit has servedhave, been compromised. 1.15 The ship is also required to have on board information, to be made available to Contracting Governments upon request, indicating who is responsiblefor deciding the employment of the ship's personnel and for deciding various aspectsrelating to the employment of the ship.
The port facility 1.16 Each Contracting Government has to ensure completion of a PFSA 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 securiry organization may carry out this assessment.The completed PFSA has to be approved by the Contracting Government or the Designated Authoriry concemed. This approval cannot be delegated.Port facility security assessments should be periodically reviewed. 1.17 The PFSA is fundamentally a risk analysisof all aspectsof a port facility's operation in order to determine which part(s) of it are more susceptible,and/or more likely, to be the subjectof attack. Security risk is a function of thc threat of an attack coupled with the r,ulnerabiliw of the target and the consequencesofan attack^.
4i)
Part B nlust include the following components: The asscssment the determination of the perceived threat to Dort installations and infrastructure; identification of the potential urlnerabilities; and calculation of the consequencesof incidents calculated. On completion of the analysis,it will be possible to producc an overall of the level of risk. The PFSA will help determine which port assessment flcilities are required to appoint a PFSO and preparea PFSP. 1.18 The port facilities which have to comply with the requirements of chapterXI-2 and part A of this Code are required to designatea PFSO. The duties, responsibilities and training requirements of these officers and requirementsfor drills and exercisesare defined in part A of this Code. 1.19 The PFSP should indicate the operational and physical securiry rneasuresthe port facility should take to ensure that it always operatesat securirylevel 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 possiblepreparatoryactionsthe port facility could take to allow prompt responseto the instmctions that may be issuedby those responding at securirylevel 3 to a security incident or threat thereof 1.20 The port facilities which have to comply with the requirements of chapter XI-2 and part A of this Code are required to have, and operatein accordancewith, a PFSP approved by the Contracting Government or by the Designated Authority concerned. The PFSO should implement its orovisions and monitor the continuins effectivenessand relevanceof the plan, including commissioninginternaiaudits of the applicationof the plan. Amendments to any of the clements of an approved plan for which the Contracting Government or the Designated Authority concerned has dctcrmined that approval is required, have to be submitted for review and approval before their incorporation into the approved plan and their implcmentation at the port faciliry. The Contracting Government or the of the plan. The l)esignatedAuthoriry concernedmay test the effectiveness PFSA covering the port facility or on which the developmentof the plan has been based should be regularly reviewcd. All these activities may lead to amendment of the approvedplan. Any arnendmcntsto specifiedclementsof an approved plan will havc to be subnritted for approval by the Contracting Government or by the DesignatedAuthority concerned. 1.21 Ships using port facilitics rnay be subject to the port State control inspectionsand additional control measuresoutlined in regulation Xl-219. The relevant authorities may request the provision of information regarding and ship'spcrsonnelprior to thc ship'sentry into the ship,its cargo,passengers port. There may be circumstancesin which entry into port cor-rldbe denied.
41
ISPSCode Information and communication 1.22 Chapter XI-2 and part A of this Code require Contracting Governments to provide certain information to the Intemational Maritime Organization and for information to be made available to allow effective communication between Contracting Governments and between company security ofEcers/shipsecurity officers and the port facility securiry officers.
2
Definitions
2.1 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: .1
sectionmeansa section of oart A of the Code and is indicated as "section Al<;foltowed by thi numherof the section)";
.2
paragraph means a paragraph of this Part of the Code and is "paragraph
.3
Contracting Couernment,when used in paragraphs14 to 18, means the Contracting Government within whose territory the port facilify is located, and includes a reference to the l)csiguatedAuthoriry.
Application Ceneral 3.1 The guidance given in this Part of the Code should be taken into account when implementing the requirementsof 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 cargoesand/or passengers,its trading pattern and the characteristicsof the port facilities visited by the ship. 3.3 Similar\, in relation to the guidance on port facilities, the extent to which this ppidance applies will depend on the port facilities, the rypes of ships using the port faciliry, the types of cargo and/or passengers and the trading patternsof visiting ships. 3.4 The provisions of chapter Xl-2 and part A of this Code are not intended to apply to port facilities designed and used primarily for military purposes.
42
Part B 4
ResponsibilitiesofContractingGovernments
and plans Sendty oJ assessments 4.1 Contracting Governments should ensure that appropriate measures .rre in place to avoid unauthorized disclosure of, or accessto, securiryi!-nsitive material relating to ship security assessments, ship security plans, and port faciliry security plans, and to rort facility security assessments or plans. :n.lividual assessments DesignatedAuthoities 4.2 Contracting Governments may identiS, a Designated Authoriry -,rrthin Government to undertake their security duties relating to port :lcilidcs as set out in chapter XI-2 or part A of this Code. Recognizedsecurityorganizatiotts
r . .-
4,3 Contracting Governments may authorize a recognized securiry ,rrqanrzation(RSO) to undertakc certain securiry-relatedactivities,includ::lq:
:-irc
l:!)
.\
.1
approval of ship sccurity plans, or amendments thereto, on behalf of the Administration;
.2
verification and certification of compliance of ships with the requirementsof chapterXI-2 and part A of this Code on behalf of the Administration; and
.3
required by the conducting port Acility security assessments Contracting Government.
to Companies or port 4.4 An RSO may also adviseor provide assistance :icilities on sccurity matters, including ship securiry assessments,ship .i'.Llnt-v plans, port facility security assessments and port faciliry securify :.i.rns.This can includc completion of an SSO or SSPor PFSA or PFSP. If ..n IISO has done so in respict of an SSO or SSP,that RSO should not be :'.rthorizcdto approve that SSP. 4.5 When authorizing an RSO, Contracting Governments should give --!)nsiderationto the competency of such an organization.An RSO should -'.' rble to dcmonstrate:
:\)
.t .2
r)I ta
.lr)t i.t1'
.3
expertisein relevant aspectsof security; appropriate knowledgc of ship and port opcrations, including knowledge of ship designand construction if providing services in respect of ships and of port design and constmction if providing servicesin respectofport facilitics; the likely securityrisks that could occur their capabilityto assess during ship and port facility operations,including the ship/port interfacc, and how to rrrinimize such risks;
43
ISPSCode .4
their ability to maintain and improve the expertise of their personnel;
.5
their ability to monitor the continuing trustworthinessof their personnel;
.6
t h e i r a b i l i t y t o m a i n t a i n a p p r o p r i a t e m e a s u r e st o a v o i d unauthorized disclosure of, or access to, security-sensitive material;
.7
their knowledge of the requirementsof chapterXI-2 and part A of this Code and relevant national and international lesislation and security requirements;
.8
their knowledge of current security threats and patterns;
.9
their knowledge of recognition and detection of weapons, dangeroussubstancesand devices;
.10
their knowledge of recognition, on a non-discriminatory basis, of characteristicsand behavioural patterns of persons who are likely to threatensecuriry;
.11
their knowledge of techniques used to circumvent securiry measures;ancl
.12
their knowledge of securiry and surveillance equipment and systemsand their operationallimitations.
\)Vhen delegating specific dutics to an RSO, Contracting Governments, including Adnrinistrations, should ensure that the RSO has the competenciesneeded to undertakc the task. 4.6 A recognized organization, asreferred to in regulation I/6 and fulfilling the requirements of regplation Xl-111, may be appointed as an RSO provided it has the appropriate security-related expertise listed in paragraph 4.5. 4.7 A port or harbour authority or port faciliry operator may be appointed as an I{SO provided it has the appropriate securiry-related expertise listed in paragraph4.5.
Setting the securitylevel 4.8 In setting the securiry level, Contracting Governments should take account of general and specific threat information. Contracting Governments should set the securirylevel applying to shipsor port facilitiesat one ofthrcc lcvcls: Security level 1, normal; the level at which the ship or port facility normally operates; Sccurity level 2, heightened; the level applying for as long as there is a heightened risk ofa sccuriry incident; and
44
Part B Security level 3, exceptional;thc lcvcl applying for thc period of time when there is the probable or immincnt risk of a security incident. 4.9 Setting security lcvel 3 should be an exceptional measure applying trnlv'uvhcnthere is credible information that a security incident is probable ,rr irnrninent. Security level 3 should only bc set fo; thc duration of thc rdcntified sccurity threat or actual security incident. While the securiry L-r'elsmay changefrom sccurity level 1, through securirylevel 2 to securiry l*'el 3, it is also possiblethat the security lcvcls will changc directly from recurity level 1 to security level 3. 4.10 At all times the masterof a ship has thc ultimatc rcsponsibiliryfor the r:rtcryand securiry of the ship. Even at securiry level 3 a master may seek clarification or amendment of instructions issuedby those responding to a ir-curity incident, or threat thcrcof, if there are reasons to believe that conrpliance with any instruction may imperil the saGty of the ship. 4.11 The CSO or the SSO should liaiseat the earliestopportuniry with the PFSO of the port facility the ship is intended to visit to establishthe securiry lcr-cl applying for that ship at the port facility. Having establishedcontact n-ith a ship, the PFSO should advisethe ship of any subsequentchangein rhe port faciliry's security level and should provide the ship with any rt'levrnt sccuriry informrtion.
-)
4.12 While there may be circumstanceswhen an individual ship may be r)perating at a higher security levei than the port facility it is visiting, there ri'il1 be no circumstanceswhcn a ship can have a lower securiry level than rhe port facility it is visiting. If a ship hasa higher securirylevel than the port ticility it intends to use, the CSO or SSO should advisethe PFSO without .1clay.Thc PFSO should undertakean assessment of the particular situation rrr corrsrrltation with the CSO or SSO and agreeorr approprirtesecuriry rlleasureswith the ship, which rnay include complction and signing of a I)cclaration of Security. 4.13 Contracting Governments should consider how information on changesin securiry levels should be promulgated rapidly. Adnrinistrations nrav wish to use NAVTEX rnessages or Notices to Mariners as the method fbr notifiiing sr-rchchangesin securitylevelsto the ship and to the CSO and SSO. Or, they rnay wish to considerother methods of communication that l.rovidc cquivalcnt or better specdand coverage.Contracting Governments .hould cstablishmeans of notif,iing PFSOs of changesin sccuriry levels. Contracting Governments should compile and maintain the contact details tbr a list of those who need to be informed of changesin securiry lcvels. Whereas the security level need not be regarded as being particularly sorsitive, the undcrlying threat information may be highly sensitive. Contracting Governments should give careful consideration to the tune
45
ISPSCode and detail of thc information conveyed and the method by which convcycd to SSOs, CSOs and PFSOs.
it is
Contactpoints and information on port facility securityplans 4.14 Where a port faciliw hasa PFSP, that fact has to be communicated to the Organization and thai inforrnation must alsobe made availableto CSOs and SSOs. No further detailsof the PFSP have to be oublished other than that it is in place. Contracting Governments should ionsider establishing either central or regionalpoints of contact, or other meansof providing upto-date information on the locations where PFSPs are in place, together with contact detailsfor the relevant PFSO. The existenceof such contact points should be publicized. They could also provide information on the recognized security organizations appointed to act on behalf of the Contracting Government, togetherwith detailsof the spccificresponsibility and conditions of authority delegated to such recognized securiry organizations. 4.15 In the caseofa port that doesnot have a PFSP (and thereforedoesnot have a PFSO), the central or regional point of contact should be able to identi$' a suitably qualified person ashore who can arrange for appropriate securiry measuresto 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 SSO, a CSO and a PFSO can report securiry concerns. These Government oficers should assesssuch reports before taking appropriate action. Such reported concems may have a bearing on the securiry measuresfalling under the jurisdiction of another Contracting Government. In that case, the Contracting Governments should consider contacting their counterpart in the other Contracting Government to discusswhether remedial action is appropriate. For this purpose, the contact details of the Government officers should be communicated to thc International Maritime Organization. 4.17 Contracting Governments should also make the information indicated in paragraphs4.I4 to 4.76 available to other Contractins Governments on request.
I dentifrcation documents 4.18 Contracting Governments are encouraged to issue appropriate identification documents to Government officials entitled to board ships or enter port facilitieswhen performing their official duties and to establish procedureswhereby the authenticiry of such documents rnight be verified.
46
Part B Fixed andfloating plaforms anil mobileolfshoredrilling units on location 4.19 Contracting Governrnents should consider cstablishingappropriate -i'Jr.rrin' nleasuresfor fixed and floating platforms and mobile oft3hore -:riling units on location to allow interaction with shipswhich are required : . conrply with the provisions of chaptcr XI-2 and part A of this Code*. :o
Shilts which are not requireilto comply with part A of thb Code .ll l!'
.:
4.20 Contracting Govcrnments should consider establishingappropriate .J-r-lrin'mcasuresto enhance the security of ships to which chapter Xl-2 .:r.1 part A of this Code do not apply and to^ ensure that any securiry ::,rvisions applying to such shipsallow interaction with shipsto which part r . , ' r - t h r sC o d e a p p l i e s . Threatsto ships anil other inciilentsat sea 121 Contracting Governments should provide general guidance on the ..l!urL-sconsideredappropriateto reduce the securiry risk to ships flying :.:.-ir tlag when at sea.They should provide specificadvice on the action to . r :lken in accordancewith security levels 1 to 3, if .l
there is a changein the security level applying to thc ship while it is at sea,e.€1.becauseof the geographicalarea in which it is operating or relating to the ship itself; and
.2
there is a security incident or threat thereof involving the ship whilc at sea.
.:rrr;rcting Governments should establishthe best methods and proce.:-.::i tbr thesepurposes.In the caseof an imminent attack, the ship should .,.k tc'restablishdirect communication with those responsiblein the flag .:.:c ior responding to security incidents. 1.22 Contracting Governments should also establisha point of contact for -i'.:c..on security for any ship: .l
entitled to fly their flag; or
.2
operating in their territorial sea or having communicated an intcntion to enter their territorial sea.
4-23 Contracting Governments should offer advice to ships operating in : --:ir territorial sea or having communicated an intention to enter their :-::rtorial sea,which could include advice: .1 :d ! , ]
.h .i.
to alter or delay their intended passage;
r-:ir to Establisl.rment of appropriatemcasurcsto enhancethe securityof ships,port facilities, ::,i'otlshorc drilling units on location and fixcd and floating platforms not covered by ,:::'r XI-2 of thc 1974 SOLAS Convention, adopted by thc 2002 SOLAS Confcrcn('--L.' .::tttllf 7.
47
ISPSCode .2
to navigate on a particular coursc or proceed to a specific locat1011:
.3
on thc availabilityof any personnel or equipment that could be placed on the ship;
.4
to co-ordinate the passage,arrival into port or departure from port, to allow escort by patrol craft or atrcraft (fixed-mng or helicopter).
Contractin5;Covernments should remind shipsoperatingin their territorial sea,or having communicated an intention to enter their territonal sea,of any temporary restricted areasthat they have published. 4.24 Contracting Governments should recommend that shipsoperating in their territorial sea, or having communicated an intention to enter their territorial sea,implernent expeditiously,for the ship'sprotection and for the protection of other ships in the vicinity, any securiry measure the Contracting Govemment may havc advised. 4.25 The planspreparedby the Contracting Governmentsfor the purposes given in paragraph4.22 shouldinclude informationon an appropriatepoint of contact, available on a 24-hour basis, within the Contracting Government including the Administration. These plans should also include information on the circumstancesin which the Administration considers assistance should be sought from nearby coastalStates,and a procedure for liaison ber'uveenPFSOs and SSOs.
Altemative securityagreements 4.26 Contracting Governments,in consideringhow to implement chapter XI-2 and part A of this Code, may conclude one or more agreementswith onc or morc Contractinll Governrnents. The scope of an agreement rs iinrited to short internationalvoyageson 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 othcr Contracting Governmentsand Administrationswith an interestin the eflects of the appeement.Ships flying the flag of a State that is not party to the agreement should only be allowed to operate on the 6xed routes coveredby the agreementif thcir Administration agreesthat the ship should comply with thc provisionsof the agreementand requiresthe ship to do so. In no casecan such an agreementcompromise the level of securityof other shipsand port facilitiesnot coveredby it, and specifically,all ships covered by such an agreementmay not conduct ship-to-ship activitieswith shipsnot so covered. Any operational inteface undertaken by ships covered by the agrccmcnt should be covered by it. The operation of each agreementnust be continually monitored and amended when the need arisesand in any event should be reviewed every 5 years.
48
{ : :
Part B Erluiualentawangements for port facilities 4.27 For certain specificport facilitieswith limited or specialoperationsbut s'rth more than occasional traffic, it may be appropriate to ensure :ompliance by security measuresequivalent to those prescribedin chapter \l-2 and in part A of this Code. This can, in particular, be the casefor :L'nninalssuch as those attachcdto factories,or quaysideswith no frequent ,)perations.
)Ianning leuel 4.28 In establishing the mrnimum safe manning of a ship, the Adminis:runon should takc into account* that the minimum safe manning ':rovisions establishedby regulation V/14r only addressthe safenavigation .ithe ship. The Administration should also take into account any additional ..,orkload which may result from the implementation of the SSPand ensurc :ir:rt the ship is suftrciently and effectively manned. In doing so, the \.]rrinistration should verif' that ships are able to implement the hours of ::rt :rnd other measuresto addressfatiguewhich have been promulgated by :r.rtionaliaw, in the context of all shipboard duties assigncdto the vanous .ripboard personnel.
Control and compliancemeasuresl ,)ttteral 4.29 Regulation Xl-219 describcsthe Control and compliance measures rpplicable to ships under chapter XI-2. It is divided into three distinct -!'ctions; control of ships already in a port, control of ships intending to i:rtcr a port of anothcr Contracting Government, and additional provisions ,'rplic.rbleto both situations. 4.30 Regulation Xl-219.1, Control of ships in port, implements a system :,.1 11t.control of ships while in the port of a foreign countrywhere duly ,.rthorized olEcers of the Contracting Government ("duly authorized ,rircers")have the right to go on board the ship to verify that the required I{c'lir to Furthcr work by the lnternational Maritime Organization pertaining to enhance- nr oimaritimc security,adopted by the 2002 SOLAS Confcrcncc by rcsolution 3, inviting, :..nqst othcrs, thc Organization to revierv Assenrblyresolution A.890(21) on Principles of :.' nr.urning.This revieu'may also lead to arnendtrents of rcgulation V/14. \r sls in forcc on the date of adoption of this Code. I{iftr to Further work by the international Maritimc Organization pcrtaining to cnhancc::rt oinr:rritime security,adoptedby thc 2002 SOLAS Confcrcnce by rcsolr:tion 3, inviting, :,'ngst othcrs, thc ()rganization to review AssemblyrcsolutionsA.787(19) and A.882(21) on . J.!'Lhrrr-s for port Statc control.
49
ISPSCode certificates are in proper order. Then, if there are clear grounds to believe the ship doesnot comply, control measuressuch asadditional inspectionsor detention nray be taken. This reflectscurrent control systems."Regulation Xl-219.1 builds on such systems and allows for additional measures (including expulsion of a ship from a port to be taken as a control measure) whcn duly authorized oficers have clear grounds for believing that a ship is in non-compliance with the requirementsof chapterXI-2 or part A of this Code. Regulation XI-2/9.3 dcscribesthe safeguardsthat promote fair and proportionate implementation of these additional nleasures. 4.31 Regulation Xl-219.2 applies control measuresto ensure compliance to ships intending to enter a port of another Contracting Government and introduces an cntirely different concept of control within chapter XI-2, applying to securiry only. Under this regulation, measures may be implemented prior to the ship entering port, to better ensure security.Just as in regulation Xl-219.1, this additional control system is based on the concept of clcar grounds for believing the ship does not comply with chapter XI-2 or part A of this Code, and includes significant safeguardsin regulationsX'I-219.2.2 andXI-219.2.5 as well as in regulationXl-219.3. 4.32 Clear grounds that the ship is not in compliance means evidenceor reliable information that the ship does not correspond with the requirenrcnts of chapter XI-2 or part A of this Code, taking into account the guidance givcn in this Part of the Code. Such evidence or reliable infomration may arise from the duly authorized officer's professional judgement or observationsgained while veri{'ing the ship's International Ship Security Certificate or Interim International Ship Security Certificate issuedin accordancewith part A of this Code ("Certificate") or from other sources.Even if a valid Ceiti6cateis on board rhc ship. the iuly authorized o{hcers may still have clear grounds for believing that the ship is not in compliance basedon their professionaljudgement. 4.33 Exanrples of possible clear grounds under regulations Xl-219.1 and X.I-219.2may include, when relevant: .1
evidence from a review of the Certificate that it is not valid or it hasexpired;
.2
evidenceor reliableinformation that seriousdeficienciesexist in the security equipment, documentation or arrangements required by chapter XI-2 and part A of this Code;
*
Scc rcgglatron I/19 and regulation IX/6.2 of SOLAS 74 as amended,articlc 21 of Load Line 66 as modified by the 1988 Load Line Protocol, articles5 and 6 and rcgulation 8A ofAnnex I and regulation 15 of Annex II of MARl' OL 73178 as amcndcd, arncle X of STCW 78 as arrrendcdand IMC) Asscmbly rcsolutionsA.787(1,9)and A.8fl2(21).
50
Part B .3
receipt of a report or complaint which, in the profcssional judgement of the duly authorized ofhcer, contains reliable information clearly indicating that thc ship does nor comply with thc requirementsof chapter XI-2 or part A of this Code;
.4
evidence or observation gained by a duly authorized o1Ecer using professionaljudgement that the masteror ship'spersonnel is not familiar with essentialshipboard security procedures or cannot carry out drills related to the security of the ship or that such procedurcsor drills have not been carried out;
.5
evidence or observation gained by a duly authorized ottrcer using professional judgement that key members of ship's personnel are not able to establishproper communication with any other key members of ship's personnel with securiry responsibilitieson board the ship;
.6
evidencc or reliable information that the ship has embarked -faciliry persons or loaded stores or goods at a port or from another ship where either the port facility or the other ship is in violation of chapterXI-2 or part A of this Code, and the ship in question has not completed a Declaration of Securiry,nor taken appropriate,specialor additional security measuresor has not maintained appropriateship security procedures;
.l
evidence or reliable infonnation that the ship has embarked ^facility persons or loaded stores or goods at a port 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 hasnot taken appropriate,specialor additional securitymeasures or has not maintained appropriatesecurity procedures;and
.8
the ship holding a subsequent,consecutively issued Interrm International Ship SecuriryCertificate as describedin sectionA/ 19.4, and if, in the professionaljudgement of an officer duly authorized, one of the pulposes of the ship or a Company in requesting such a Certificate is to avoid full compliance with chapter XI-2 and part A of this Code beyond the period of the initial Interim Certificate as describedin section A119.4.4.
;.rI hrl )
l:i l
il'
::tls ... I
nac llltl
t-1. i.c l'-rr r :hc ,:tlr . IIl
)or 1:arhc .;-l..
,:t.lI lrli -'.ltc ::lcf
zecl tin
.rrcl
rr it
.t lll :-ll tS
- jle
::-'r I .
.ls
4.34 Thc intemational law implications of regulation Xl-2p are parricu.-rrlv relevant, and the regulation should be implemented with regulation \I-212.4 in mind, asthe potential existsfor situationswhere either measures .rrll be taken which fall outside the scopeof chapter XI-2, or where rights .i affected ships, outside chapter XI-2, should be considered. Thus, :csulation Xl-2p does not prejudice the Contracting Government from :.rking measureshaving a basisin, and consistentwith, international law to rnsurc thc safety or security of persons, ships, port facilities and other
51
ISPSCode property in caseswhere the ship, although in compliancewith chapterXI-2 and part A of this Code, is still consideredto present a security risk. 4.35 When a Contracting Government imposes control measureson a ship, the Administration should, without delay,be contactedwith sufficient information to enable the Administration to fully liaise with the Contracting Government. Control of shipsin port 4.36 Where the non-complianceis either a defectiveitem of equipment or faulty documentationleadingto the ship'sdetention and the non-compliance cannot be remedied in the port of inspection, the Contracting Govemment may allow the ship to sail to another port provided that any conditions agreed berween the port Statesand the Administration or masterare met. Ships intendingto entertheport of anotherContractingGouernment 4.37 Regulation XI-219.2.1 lists the information Contracting Govemments may require from a ship as a condition of entry into port. One item of information listed is confirmation of anv soecialor additional measurestaken by the ship during its last 10 callsat . port fr.lliry. Examplescould include: .l
records of the measures taken while visiting a port facility located in the territory of a State which is not a Contracting Government, especiallythose measuresthat would normally have been provided by port facilities located in the territories of Contracting Governments; and
.2
any Declarations of Security that were entered into with port facilitiesor other ships.
4.38 Another item of information listed, that may be required as a condition of entry into port, is confirmation that appropriateship securiry procedureswere 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 recordsof transfersof pilots or of customs,imrnigration or security officials nor bunkering, lightering, loading of supplies and unloading ofwaste by ship within port facilities as these would normally fall within the auspicesof the PFSP. Examples of information that might be givcn include: .1
records of the measurestaken while engagedin a ship-to-ship activity with a ship flying the flag of a State which is not a Contracting Government, especiallythose measuresthat would normally have been provided by ships flying the flag of Contracting Govemments;
.2
records of the measurestaken while engagedin 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
.
52
Part B of chapter XI-2 and part A of this Code, such as a copy of any securiry certificate issued to that ship undcr other provisions; and .3
in the event that personsor goods rescuedat seaare 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 establishthe securiry status of those rescued.It is not the intention of chapterXI-2 or part A of this Code to delay or prevent thc delivery of those in distressat sca to a place of safety.lt is the sole intention of chapter XI-2 and part A of this Codc to provide Stateswith enough appropriate information to maintain their securiry integriry.
4.39 Examples of other practical security-relatedinformation that may be rcquired asa condition of entry into port in order to assistwith ensuringthe safery and security of persons, port facilities, ships and other property ir.rclude: .t
information contained in thc Continuous SynopsisRecord;
.2
location of the ship at the time the report is made;
.3
expected time of arrival of the ship in port;
.4
crew list;
.5
general description of cargo aboard the ship;
.6
passengerlist; and
.7
information required to be carried under regulation XI-2/5.
4.40 Regulation Xl-219.2.5 allows the master of a ship, upon being informed that the coastal or port State will implement control measures r-rnderregulationXl-219.2, to withdraw the intention for the ship to enter port. If the master withdraws that intention, regulation Xl-219 no longer applies,and any other stepsthat are taken must be basedon, and consistent rvith, international law.
Additionalprouisions 4.41 In all caseswhere a ship is denied entry or is expellcd from a port, all known facts should be communicated to thc authorities of relevant States. This communication should consist of the following, whcn known: .1
name of ship, its flag, the Ship Identification Number, call sign, ship type and cargo;
.2
reason for denying entry or for expulsion from port or port areas;
.3
if relevant, the nature of any securiry non-compliance;
53
ISPSCode .4
if relevant, details of any attempts made to recti$r any noncompliance, including any conditions imposed on the ship for the voyage;
.5
past port(s) of call and next declaredport of call; time of departureand likely estimatedtime of arrival at those ports;
.6 .7 .8 .9 .10
any instmctions given to the ship, e'g., reporting on its route; available information on rhe sccuriry level at which the ship is currcntly operating: information regarding any corununications the port State has had with the Administration; contact point within the port State making the report for the purposc of obtaining further information;
.11
crew list; and
.12
any other relevant information.
4.42 Relevant States to contact should include those along the ship's to its next port, particular\ if the ship intends to€nter the intended passage teffitorial ,.. lf that coas;l Sta1e.Other relevant States could include previous ports of call, so that further information might be obtained and iecurity iisues relating to the previous ports resolved. 4.43 ln exercising control and compliance measures,the duly authorized officersshould.nrn.. that any measuresor stepsimposed are proportionate. Such measuresor stepsshould be reasonableand of the minimum seventy and duration necessaryto rectify or mitigte the non-compliance' "delay" in regulation xl-219.3.5.1, also refers to situations 4.M The word where, pursuant to actions tafen 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 Conuentionsize 4.45 With respect to ships flying the flag of a State which is not a contracting Government to the convention and not a Patty to the 1988 SOLAS Piotocol,. Contracting Govemments should not give more favourable rreatment to such ihips. Accordingly, the requirements of regulation xI-219 and the guidanceprovided in this Part of the code should be applied to those shiPs. 4.46 Ships below convention sizeare subject to measuresby which States maintain security. Such measuresshould be taken with due.regrd to the requirementsin chaptet XI-2 and the guidanceprovided in this Part of the Code. *
Protocol of 1988 relating to the International Convcntion for the SaferyofLifc at Sca, 1974
54
PartB Declaration of SecuritY General the 5.,| A Declaration of Securiry (DoS) should be completed when or necessary be it to Contracting Government of the port facility deems when a ship deems it necessary. 5.1.1 The necd for a DoS may be indicatedby the resultsof the port facility ,...r.ity assessmcnt(PFSA) and the reasonsand circumstancesin which a DoS is'required should be set out in the port faciliry security plan (PFSP). 5.1.2 The need for a DoS may be indicatedby an Administrationfor ships (SSA) and ."trtt.d to fly its flag or as a result of a ship segunry assessment (SSP)' should be set out in the ship security plan 5.2 It is likely that a DoS will be requested at higher security.levels.,when r tt'rip t-r"..a higher security level thanlhe port facility, or axother. ship with which it interdces, and for ship/port intedace or ship-to-ship activitiesthat pose a higher risk to persons' property or the environment tor reasons or the circunstances ipecific to"that ship, including iti cargo^or passengers, factors' these of a combination or faciliry port ai the 5.2.1 In rhe casethat a ship or an Administration, on behalf of shipsentitled to fly its flag, requestscompletion of a DoS' the PFSO or SSO should acknowledgethe iequest and discussappropriatesecurity measures' are 5.3 A PFSO may also initiate a DoS prior to shipiport interfacesthat Examples concern. partiiular of being as PFSA identified in the approved *ry i".l"d. .-b"ikitrg or disembarking passengersand the transfer,loading or irnloading of dangeiousgoods or halirdous substances.The PFSA may also identid facilitiJs ar or" near highly populated areas or economically significant operations that warrant a DoS. 5.4 The main pu{poseof a DoS is to ensureagreementisr9a9!ed betrveen as the ship a,rd th. poit faciliry or with other ships with which it interfaces with in accordance undertake will each to the respectrvesecurity J."rr.., the provisions of their respectiveapproved securiryplans' 5.4.1 The agreedDoS should be signed and dated by both.the port.faciliry as applicable,to indlcate compliancewith chapterXI-2 and and the ship"(s), oart A "f tihit Codi^and should include its duration, the relevant securlty ie,r.l ot levels and the relevant contact details' 5.4.2 Achange in the security level may require that a new or revised DoS be completed. 5.5 The DoS should be completed in English, French or Spanish.or in a languagecommon to both the port facility and the ship or the ships' as applicable.
55
ISPSCode 5.6 A model DoS is included in appendix 1 to this Part of the Code. This model is for a DoS betr,veena ship and a port faciliry. If the DoS is to cover two ships this modcl should be appropriatelyadjusted. 6
Obligations of the Company
Ceneral 6.1 Regulation Xl-215 requiresthc Company to provide the masterof the ship with information to meet the requirementsof the Company under the provisionsof this regulation.This information should include items such as: .1
parties responsiblefor appointing shipboard personnel, such as ship management companies. manning agents. contractors' (for example, retail salesoutlets, casinos,etc.): concesstonaries
.2
parties responsiblefor deciding the employment of the ship, including time or bareboatcharterer(s)or any other entiry acdng in such capacity;and
.3
in caseswhen the ship is employed under the terms of a charter party, the contact details of those parties, including time or voyage cnarterers.
6.2 In accordancewith regulation Xl-215, the Company is obliged to update and keep this information current as and when changesoccur. 6.3
This information should be in English, French or Spanishlanguage.
6.4 With respectto shipsconstructedbefore l July 2004, this information should reflect the actual condition on that date. 6.5 With respectto shipsconstructedon or after l July 2004 and for ships constructedbefore 1 July 2004 which were out of serviceon 1 July 2004, the information should be provided asfrom the date of entry of the ship into ser-viceand 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 serviceand 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. 'When the responsibility for the operation of the ship is assumedby 6.8 another Company, the information relating to the Company which operatedthe ship is not required to be left on board. In addition,otherreleuantguidanceis providedundersections8, 9 and 1j. 7
Ship security
Releuantguidanceis prouidedundersections8, 9 and 13.
56
Part B Ship security assessment -\cinlnf), assessment
8.1 Thc company securityofficer (CSO) is responsiblefor ensuring that a ..::p securiry assessment(SSA) is carried out for each of the ships in the r ..nrpany'sfleet which is required to comply with the provisionsof chapter \l-l and part A of this Code for which the CSO is responsible.While the with r :C) need not necessarilypersonallyundertakeall the duties associated :ir.- post, the ultimate responsibility for ensuring that they are properly :r-rtbnrred remains with the individual CSO. 8.2 Prior to commencing the SSA, the CSO should ensurethat advantage of threat for the ports at .. r.rkenof information availableon the assessment ..hich the ship will call or at which passengers embark or disembark and ..rr)ut the port facilities and their protective measures.The CSO should 'Where .:udr- previous reports on similar security needs. Gasible,the CSO .rould meet with appropriatepersonson the ship and in the port facilitiesto The CSO should -irrcussthe purpose and methodology of the assessment. -.ollorv any specific guidance offered by the Contracting Governments. 8.3 An SSA should addressthe followins elementson board or within the .irip: .1
physicalsecuriry:
.2
structuralintegriry:
.3
personnelprotection systems;
.4
proceduralpolicies;
.5
radio and telecommunication systems, including computer systemsand nenvorks; and
.6
other areasthat may, if damagedor used for illicit observation, pose a risk to persons,property, or operationson board the ship or within a port faciliry.
8.4 Those involved in conducting an SSA should be able to draw upon in rclation to: . rpcrt assistance .l
knowledge of current security threatsand patterns;
.2
and recognition and detcction ofweapons, dangcroussubstanccs oevlces:
.3
and recognition, on a non-discriminatory basis,of characteristics behavioural patterns of persons who are likely to threaten securlfy;
.4
techniquesused to circumvent securirymcasures;
.5
rnethods uscd to callsea security incident;
.6
efibctsof explosiveson ship's strltcturcsand equipmcnt;
57
ISPSCode .7
ship securiry;
.8
ship/port inteface businesspractices;
.9
contingency planning, emergency preparednessand response;
.10
physicalsecuriry:
.11
radio and telecommunications systems, including computer systemsand netr,vorks;
.12
marine engineering;and
.13
ship and port operations.
g.5
The cSo should obtain and record the information required to including: conduct an assessment, .1
the general layout of the shiP;
.2
the location of areaswhich should have restrictedaccess,such as navigation bridge, machinery spacesof category A and other control stations as defined in chapter ll-2, etc.;
.3
the location and function of eachactualor potential accesspoint to the shiP; changes in the tide which may have an impact on the vulnerabiliry or security of the ship;
.4 .5
the cargo spacesand stowage affangements;
.6
the locations where the slup's stores and essentialmaintenance equipment is stored;
.7
the locations where unaccompanied baggageis stored;
.8
the emergency and stand-by equipment available to maintain essentlalservrces; the number of ship'spersonnel,any efsting securiryduties and any eisting training requirement practisesof the Company;
.9 .10
existing security and safery equipment for the protection of and shiP'sPersonnel; passengers
.11
escapeand evacuation routes and assemblystation-swhich have to be maintained to ensure the orderly and safe emergency evacuationof the shiP;
.12
existing agreementswith private security companies providing ship/water-sidesecurity services;and
.13
existing security measuresand procedures in effect, including inspection and control procedures, identification systems, surveillanceand monitoring equipment, personnelidentification documents and communication, alarms,lighting, accesscontrol systems. and other aPProPriate
58
Part B 8.6 The SSA should exarnine each identified ooint of access.includins o p c n w c a t h e rd e c k s .a n d e v a l u a t ei t s p o r e n t i a lf o r u s e b y i n d i v i d u a l sw h 6 night seek to breach security. This includes points of accessavailableto individuals having legitimate accessas well as those who seek to obtain r.rnauthorizedentry. 8.7 The SSA should considcr the continuing relevance of the existing securiry measuresand guidance, procedures and operations, under both routine and emergencyconditions, and should deterrninesecurityguidance
including: .1
the restrictedareas;
.2
the responseproceduresto fire or other emergencyconditions;
.3
the level of superrrisionof the ship's personnel, passengers, visitors, vendors, repair technicians,dock workers, etc.;
.4 .5
the frequcncy and effectivenessof security patrols;
.6
the securiry communications systemsand procedures;
.l
the security doors, barriers and lightingi and
.8
the security and surveillanceequipment and systems,if any.
the accesscontrol systems,including identification systems;
8.8 The SSA should consider the persons, activities, services and operations that it is important to protect. This includes:
,1
the ship's personnel;
.2
passenger-s, visitors, vendors, repair technicians, port facility personnel,etc.;
.3
the capaciry to maintain saG navigation and emergency
.4
the cargo,particularly dangerousgoods or hazardoussubstances;
.5
the ship's stores;
.6
the.ship securirycommunication equipment and systems,if any; ano
.l
the ship's security surveillanceequipment and systems,if any.
n
.l
8.S The SSA should consider all possiblethreats,which may include the tollolving types of security incidents: l.r
.l
damageto, or dcstruction of, the ship or of a port faciliry, e.g. by explosivedevices,arson, sabotageor vandalism;
rg
.2
hijacking or seizureof the ship or of personson board;
.3
tampering with cargo, essentialship equipment or systemsor ship'sstores:
.4
unauthorized accessor use, including presenceof stowaways;
\11 trl
59
ISPSCode .5 ,6
smuggling weapons or equipment, including weapons of mass destruction; use of the ship to carry those intending to causc a securiry incident and/or their equiPment;
.8
use of the ship itself as aweapon or as a meansto causedamage or dcstrrtction; attacksfrom seawardwhilst at berth or at anchor; and
.9
attackswhilst at sea.
.7
8.10 The SSA should take into account all possibler,rrlnerabilities,which may include: .1 .2
conflicts between saferyand securirymeasures; conflicts berlveen shipboard duties and security assignments;
.3
watchkeeping duties, number of ship's personnel, particularly with implications on crew fatigue, alertnessand performance;
.4
any identified security training deficiencies; and
.5
any securiry equipment and systems,including communication systems.
g.t 1 The cSo and ship securiryoftrcer (SSO) should alwayshave regardto the cffect that security-measuresmay have on ship's personnel who will rernain on the ship for long periods. When developing securiry measures, particular considerationshould be given to_the convenience,comfort and persotral privacy of thc ship's personnel and their ability to maintain their eflectivenessover long Periods. 8.12 Upon completion of the SSA, a report shallbe prepared,c.onsistingof " ,r-.ti"ry of how the assessmentwas conducted, a descriptio-nof each r.-ulnerability found during the assessmentand a descnptiln of countermeasuresthat could be used to addresseach vr.rlnerability. The report shall be protected from unauthorized accessor disclosure. g.13 If the SSA has not been carried out by the company, the report of the SSA should be reviewed and acceptedby the CSO. On-scenesecuritysuruey 8.14 The on-scenesecurity survey is an integral part of any SSA' The onscenc security survcy should examine and evaluate existing shipboard protcctivc Ineasures,proceduresand operationsfor: .l .2 .3
ensuring the performanceof all ship securiryduties; monitoring restricted areas to ensure that only authorized pcrsonsnave access; controlling acccssto the ship,including anv identificationsystems;
60
Part B
.4
monitoring of deck areasand arcassurrounding the ship;
.5
controlling thc cmbarkation of pcrsons and their effects (accompaniedand unaccompaniedbaggageand ship'spersonnel personaleffects); supervising the handling of cargo and the dclivery of ship's storcs;ancl
.7
I
ensuring that ship security communication, equipment are readily availablc.
inforn'ration, and
Ship security plan
Ceneral 9.1 The company securiryofficer (CSO) hasthc responsibiliryof ensuring that a ship securiryplan (SSP)is preparedand subnritted for approval.The content of eachindividual SSPshould vary dependingon the particular ship it covers. The ship security assessnent(SSA) will have identified thc particular featuresof thc ship and the potential thrcats and vulncrabilities. The prcparation of the SSP will require these Gatures to be addrcsscdin dctail. Administrations may prcpare advice on the preparationand content ofa SSP. 9.2
All SSPsshould: .l
dctail the organizationalstructurc of securiry for the ship;
.2
detail the ship's relationshipswith the Company, port facilities, other ships and relevantauthoritieswith securiryresponsibility;
.3
detail the communication systemsto allow efhctive continuous comnlunlcation within the ship and berween the ship and others, including port facilitics;
.4
detail the basic sccuriry mcasures for security level 1, both operationaland physical,that will alwaysbe in place;
.5
detail thc additional securitymeasuresthat will allow thc ship to progresswrthout delay to securiry level 2 and, when necessary, to sccurity level 3;
.6
providc for regular review, or audit, of thc SSP and for its amendment in responsc to experience or changing circurns t . t r t c ea s :r r d
.7
detail rcporting procedures to the appropriate Contracting Govcrnment's contact points.
S.3 Preparationof an efTectiveSSP should rest on a thorough asscssmcnt of all issuesthat relate to thc sccurity of the ship, including, in particular, a thorough appreciation of the physical and opcrational charactcristics, including thc voyagepattern, of the individual ship.
6T
ISPSCode g.4 All SSPsshould be approvedby, or on behalf of, the Administration. If an Administration .tr.t i recognized security organization (R$O) to review or approve thc SSP, that RSO should not be associatedwith any other RSO tlhatprepared,or assistedin the preparationof, the plan' 9.5
CSOs and SSOs should develop proceduresto: the continuing effectivenessof the SSP; and assess .1 prepareamendmentsof the plan subsequentto its approval' .2
9,6 The security nleasuresincluded in the SSP should be in _placewhen the initial verificaiion for compliancewith the requirementsof chapterXI-2 and part A of this Code will be carriedout. Otherwise the processof issueto the ihip of the required lnternational Ship_security Certificate .cannotbe carried'out. If there is any subsequentfailure of securiry equipment or ,frr.-r, or suspensionof a securitymeasurefor whatever reason,equivalent remporary secunry measuresshould be adopted, notified to, and agreed by the Administration. Organization and performanceof ship securityduties 9.7 In addition to the guidance given in paragraph9'2, the SSP should establishthe following, *tti.lt relate to all security levels: the duties and responsibilitiesof all shipboardpersonnelwith a .1 security role; ns6essaryto allow such continuous the proceduresor safeguard5 .2 conmumcations to be maintained at all times; the continuing effectivenessof the proceduresneeded to assess .3 equipment security-and-surveillance any and secunry procedures .nd ,yit.-r, including proceduresfor identif ing and respondrng to equipment or systemsfailure or malfunction; the proccdures and practices to protect securiry-sensitive .4 infortnation held in paper or electronic format; the rype and maintenance require-ments of securiry and .5 surveiilanceequipment and systems,if any; .6
.7
and assessment, the proceduresto ensurethe timely submis^sion, or securiry securiry of of.epo.ts relating to possible breaches concerns:ano procedures to establish,maintain and update an inventory of any d"ngerous goods or hazardous substancescarried on board' including their location.
specificallythe securirymeasures The remainder of section9 addresses level covering: that could be taken at each security visitors, etc.; accessto the ship by ship's personnel,passengers, .1
g,g
.2
restrictedareason the shiP;
62
Part B
.3
handling of cargo;
.4
delivcry of ship's stores;
.5
handling unaccompaniedbaggage;and
,6
monitoring the security of the ship.
Accessto the ship S.S The SSP should establishthe securirymeasurescovering all meansof accessto the ship identified in the SSA. This should include any: .1
accessladdcrs;
.2
accessgangways;
.3
accessramps;
.4
acccssdoors, sidescuttles,windows and ports;
.5
mooring lines and anchor chains; and
.6
cranesand hoistinggear.
9.10 For cach of these the SSP should identifi, the appropriatelocations where accessrestrictionsor prohibitions should be applied for each of the sccurity lcvcls. For each sccurity lcvcl thc SSP should establishthe type of restriction or prohibition to be applied and thc means of enforcing them. 9,11 The SSP should establish for each security level the means of identification required to allow accessto the ship and for individuals to rcmain on thc ship without challenge. This may involve developing an appropriate identification system, allowing for pemranent and temporary identifications for ship's personnel and for visitors respectively.Any ship identification systemshould, when it is practicableto 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 pennitted access to restricted areas unless suoervised. The SSP should establish provisions to ensure that the identification systemsare regularly updated, and that abuseof proceduresshould be subject to disciplinary action. S.l2 Those unwilling or unablc to cstablishthcir idcntity and/or to confirm the purposeof their visit when requestedto do so should be denied accessto thc ship and thcir attempt to obtain access should be reportcd, as appropriate,to the SSO, the CSO, the PFSO and to the national or local authoritieswith securiryresponsibilities. 9.13 The SSP should establishthe frcquency of application of any access controls, particular\ if they are to bc applied on a random, or occasional, basis.
63
ISPSCode Securityleuel1 g.l4 At security lcvel 1, the SSP should establishthe securirymeasurcsto control accessto the ship, where the following may be applied: .1
checking the identiry ofall personsseekingto board the ship and confirming their reasonsfor doing so by checking, for example, joining instructions, passengertickets, boarding passes,work orcers,etc.; in liaison with the port facility, the ship should ensure that designatedsecureareasare cstablishedin which inspectionsand scarching of persons, baggage (including carry-on items), personalefibcts,vehiclesand their contents can take place; in liaison with thc port Acility, the ship should ensure that vehiclesdestincd to be loaded on board car carriers,ro-ro and other passengershipsare subjectedto searchprior to loading, in
rilillfil lililll ]lt lilttil ]llililtilll t[||||flililil scgrcgating checked persons and their personal effects from unchecked personsand their personaleffects;
.5
scgregatingembarking from disembarking passengers;
.6
identifying acccsspoints that should be securedor attcnded to prevent unauthorized access;
.7
sccuring,by locking or other means,accessto unattendedspaces and visitors have access;and adjoining arcasto which passengers
.8
providing security bnefings to all ship personnei on possible threats,the proceduresfor reporting suspiciouspersons,objects or activitiesand the need for vigilance.
9.15 At securitylevel 1, all those seekingto board a shrp should be iiable to shouldbe including random searches, scarch.The frcquencyofsuch searches, specifiedin the approved SSP and should be specificallyapprovcd by the may best be undertakenby the port faciliry in Administration. Such searches closcco-operationwith the ship and in closeproximity to it. lJnlesstherc are clear sccurity grounds for doing so, mcmbers of the ship's pcrsonnelshould not bc required to searchtheir colleaguesor their personaleffects.Any such searchshal1be undertakenin a manncr which fully takesinto account the human rights of the individuai and prcservestheir basichuman dignity. Secilrityleuel2 9.16 At securiw level 2, the SSP should establishthe security measuresto bc applied to protect against a heightened risk of a security incident to ensurc higher vigilance and tighter control, rvhich may include: .1
assigningadditional personnelto patrol deck areasduring silent
Part B .2
limiting the number of accesspoints to the ship, identif ing those to be closed and the means of adequatelysecuring them;
.3
deterringwatersideaccessto the ship, including, for example,in liaison with the port facility, provision of boat patrols;
.4
establishinga restricted area on the shore side of the ship, in close co-operation with the port faciliry;
.5
increasing the frequency and detail of searchesof persons, personaleffects,and vehiclesbeing embarkedor loaded onto the ship;
.6
escortingvisitors on the ship;
.t
providing additional specific security briefings to all ship personnel on any identified threats,re-emphasizingthe procedures for reporting suspiciouspersons,objects, or activitiesand stressingthe need for increasedvigilance; and
.8
carrying out a full or partial search of the ship.
Securityleuel3 9.17 At securiry level 3, the ship should comply with the instructions issuedby those responding to the security incident or threat thereof, The SSPshould detail the securitymeasureswhich could be taken by the ship. in close co-operation with those respondingand the port facility, which may include: .1
limiting accessto a single, controlled, accesspoint;
.2
granting accessonly to those respondingto the securityincident or threat thereof;
.3
directing personson board;
.4
suspensionof embarkation or disembarkation;
.5
suspensionof cargo handling operations,deliveries,etc.;
.6
evacuationof the ship;
.7
movement of the ship; and
.8
preparing for a full or partial searchof the ship.
Restrictedareason the ship 9.18 The SSP should identify the restrictedareasto bc establishedon the ship, specif' their extent, times of application, the securiry measuresto be taken to control accessto them and those to be taken to control activities within them. The purposesof restrictcd areasare to: .t
prevent unauthorized access;
65
ISPSCode .2
protect passengers,ship's personnel, and personnel frorn port facilities or other agenciesauthorized to be on bexld thg chin'
.3
protect security-sensitiveareaswithin the ship; and
.4
protect cargo and ship's storesfrom tampering.
9.19 The SSP should ensure that there are clearly establishedpolicics and practicesto control accessto all restricted areas. 9.20 The SSP should providc that all restricted areasshould be clcarly marked, indicating that accessto the areais restrictedand that unauthorized presencewithin the areaconstitutesa breach of securiry. 9.21 Restricted areasmay include: .l
navigation bridge, machinery spacesof category A and other control stationsas defined in chapter II-2;
.2
spaces containing security and surveillance equipmcnt and systemsand their controls and lighting systemcontrols;
.3
ventilation and air-conditioning systems and other similar spaces;
.4
spaceswith accessto potable water tanks, pumps, or manifolds;
.5
spacescontaining dangerousgoods or hazardoussubstances;
.6
spaccscontaining cargo pumps and their controls;
.7
cargo spacesand spacescontaining ship's stores;
.8
crew accorrunodation;and
.9
any other areasas determined by the CSO, through the SSA, to which accessmust be restricted to maintain the security of the shiP.
Securityleuel1 5.22 At security level 1, the SSP should establishthe securirymeasuresto be applied to restrictedareas,which may include: .l
locking or securingaccesspoints:
.2
using surveillanceequipment to monitor the areas;
.3
using guardsor patrols; and
.4
using automatic intrusion-detection devices to alert the ship's personnel of unauthorized access.
Serurityleuel2 5.23 At security level 2, the frequency and intensity of the monitoring of, and control ofaccessto. rcstricted areasshould be increasedto ensure that
66
Part B only authorized persons have access. The SSP should establish the additional securirymeasurcsto be applied, which may includc: .l
establishingrestrictedareasadjacentto accesspoints:
.2
continuously monitoring surveillanceequipment; and
.3
dedicatingadditionalpersonnelto guardand patrol resrricredareas.
Securityleuel3 9.24 At securitylevel 3, the ship shouid comply with the instructionsissued by thoserespondingto the securityincident or threatthereof The SSPshould detail the securitymeasureswhich could be taken by the ship, in close cooperationwith those respondingand the port Acility, which may include: .1
setting up of additional restrictedareason the ship in proximiry to the security incident, or the believedlocation ofthe securiry threat, to which accessis denied; and
.2
searchingof restrictedareasas part of a searchof the ship.
Handling of cargo 9.25 The securirymeasuresrelating to cargo handling should: .1
prevent tampering; and
.2
prevent cargo that is not meant for carriagefrom being accepted and stored on board thc ship.
9.26 The securiry measures,some of which may have to be applied in liaison with the port facility, should include inventory control proceduresat accesspoints to the ship. Once on board the ship, cargo should be capableof being identified as having been approved for loading onto the ship. In addition, security measuresshould be developedto ensure that cargo, once on board, is not tamperedwith. Securityleuel1 9.27 At security level 1, the SSP should establishthe securirymeasuresto be applied during cargo handling, which may include: .1
routine checking ofcargo, cargo transportunits and cargo spaces prior to, and during, cargo handling operarions;
.2
checks to ensure that cargo being loaded matches the cargcr documentation;
.3
ensuring, in liaison with the port facility, that vehicles to be loaded on board car carriers, ro-ro and passengerships are subjected to search prior to loading, in accordancewith the frcquency rcquired in thc SSP; and
.4
checking of sealsor other methods used to prevent tampering.
67
ISPSCode 5.28 Checking of cargo may be accomplishedby the following means: .l
visual and physical examination; and
.2
using scanning/detection equipment,mechanicaldevices,or dogs.
9.29 When there are regular or repeatedcargo movements, the CSO or SSO may, in consultation with the port faciliry, agree arrangements with shippers or others responsiblefor such cargo covering off-site checking, sealing, scheduling, supporting documentation, etc. Such arrangements should be communicated to and agreedwith the PFSO concerned. Securityleuel2 9.30 At security level 2, the SSP should establishthe additional security measuresto be applied during cargo handling, which may include: .1
detailed checking of cargo, cargo transport units and cargo spaces;
.2
intensified checks to ensure that only the intended cargo is loaded;
.3
intensified searchingof vehicles to be loaded on car carriers, ro-ro and passengerships;and
.4
increasedfrequency and detail in checking of sealsor other methods used to prevent tampering.
9.31 Detailed checking of cargo may be accomplishedby the following means: .l
increasing the frequency and detail of visual and physical examination;
.2
increasing the frequency of the use of scanning/detection cquipment, mechanicaldevices,or dogs; and
.3
co-ordinating enhanced securiry measureswith the shipper or other responsible party in accordance with an established agreement and procedures.
Securityleuel3 S.32 At security level 3, the ship should comply with the instructions issuedby those responding to the security incident or threat thereol The SSPshould detail the sccuritymeasureswhich could be taken by the ship. in close co-operation with those responding and the port facility, which rnay includc: .l
suspendingthe loading or unloading of cargo; and
.2
vcrifiiing the ir-rventory of dangerous goods and hazardous substancescarried on board, ifany, and their location.
68
Part B Deliuery of ship's stores 9.33 Thc security measuresrelating to the delivery of ship's storesshould: ,1
ensure checking of ship's storesand packageintegriry;
.2
prevent ship's storesfrom being acceptedwithout inspection;
.3
prevent tampering; and
.4
prevent ship's storesfrom being acceptedunlessordered.
S.34 For ships regularly using the port facilify, it may be appropriate to establishprocedures 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. Secwrityleuel1 9.35 At security level 1, the SSP should establishthe security measuresto be applied during delivery of ship's stores,which may include: .l
checking to ensurestoresmatch the order prior to being loaded on board; and
.2
ensuring immediate securestowageof ship's stores.
Securityleuel2 9.36 At security level 2, the SSP should establishthe additional securiry measuresto be applied during delivery of ship's stores by exercising checks prior to receiving storeson board and intensif ing inspections. Securityleuel3 9.37 At security level 3, the ship should comply with the instructions issuedby those responding to the securiry incident or threat thereof The SSPshould detail the securitymeasureswhich could be taken by the ship, in close co-operation with those responding and the port facility, which may include: .1
subjecting ship's storesto more extensivechecking;
.2
preparation for restriction or suspensionof handling of ship's stores;and
.3
refusalto accept ship's storeson board the ship.
Handling unaccompaniedbagage 9.38 The SSPshould establishthe securitymeasuresto be appliedto ensure that unaccompaniedbaggage(i.e. any baggage,including personal efFects, which is not with the passengeror member of ship'spersonnelat the point
69
ISPSCode ofinspection or search)is identified and subjectedto appropriatescreenrng, including searching,beforc it is accepted on board the ship. It is not envisagedthat such baggagewill be subjected to screening by both the ship and thi port facility, and in caseswhere both are suitably equipped, the responsibility for screening should rest with the port facility. Clo_secooperation with the port faciliry is essentialand steps should be taken to .trru.e that unaccompanicd baggageis handled securely after screening. Securityleuel1 9.39 At securirylevel 1, the SSP should establishthe securirymeasuresto be applied when handling unaccompanied baggage to ensure that .trlr.io-p"ttied baggage is screened or searched up to and including which may include use of x-ray screening. 1.00o/o, Securityleuel2 9.40 At security level 2, the SSP should establishthe additional securiry measuresto be applied when handling unaccompanied baggage,which should include 100%t x-ray screening of all unaccompanied baggage. Securityleuel3 9.41 At security level 3, the ship should comply with the instructions issuedby those responding to the securiry incident or threat thereoli The SSPshould detail the securitymeasureswhich could be taken by the ship, in closc co-operation with those responding and the port faciliry, which may include: subjecting such baggage to more extensive screening, for .t example x-raying it from at least two different angles; .2 .3
preparation for restriction or suspension of handling of unaccompanicdbaggage;and refusalto accept unaccompaniedbaggageon board the ship.
Monitoring the secuity of the ship 9.42 The ship should have the capabiliryto monitor the ship, the restricted areason board and areassurrounding the ship. Such monitoring capabilities may include use of; .1
lighting;
.2
watchkeepers, security guards and deck watches, including patrols; and
.3
automaticintrusion-detectiondevicesandsurveillanceequipment.
9.43 When uscd, automatic intrusion-detection devicesshould activatean audible and/or visual alarm at a location that is continuously attended or I1-ronltorecl.
70
Part B 9.44 The SSP should estabiishthe proceduresand equiprnent needed at each securiry levcl and the mcans of cnsuring that monitoring equipment will be able to perform continually, including consideration of the possible effectsof weather conditions or of power disruptions. Securityleuel1 S.45 At security level 1, the SSP should establishthe security measuresto be applied,which may be a combination of lighting, watchkeepers,security guardsor use of securityand surveillanceequipment to allow ship's security personncl to observethe ship in general,and barriersand restrictedareasin partlcurar. 9.46 The ship's deck and accesspoints to the ship should be illuminated during hours of darknessand periods of low visibility while conducting ship/port inteface activities or at a port Acility or anchorage when necessary.While under way, 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 establishingthe appropriatelevel and location of lighting: .1
the ship's personnel should be able to detect activities beyond the ship, on both the shore side and the water side;
.2
coverageshould include the areaon and around the ship;
.3
coverage should facilitate personnel identification at access points; and
.4
coveragemay be providcd through co-ordination with the port facility.
Securityleuel2 S.4l At security level 2, the SSP should establishthe additional securiry measures to be applied to enhance the monitoring and surveillance capabilities,which may include: .1
increasingthe frequency and detail ofsecurity patrols;
.2
increasingthe coverageand intensiry of lighting or the use of security and surveillanceequiprnent;
.3
assigningadditional pcrsonnel as security look-outs; and
.4
ensuring co-ordination with water-sideboat patrols,and foot or vehicle patrols on the shore side, when provided.
9.48 Additional lighting may be necessaryto protect against a heightened risk of a security incident. When necessary, the additional lighting requirementsmay be accomplishedby co-ordinating with the port facility to provide additional shoresidc lighting.
ISPSCode Securityleuel3 S.49 At securirylevel 3, the ship should cornply with the instructionsissued by thosc responding to the security incident or threat thereol The SSP should detail thc securirymeasureswhich could be taken by the ship, in close co-operationwith thoserespondingand the port faciliry,which may include: .1
switching on of all lighting on, or illuminating the viciniry of, the ship;
.2
switching on of all on-board surveillanceequipment capableof recording activitieson, or in the viciniry of, the ship;
.3
maximizing the length of time such surveillance equipment can c o n t i n u et o r e c o r d ;
.4
preparation for underwater inspection of the hull of the ship; and
.5
initiation of measures,including the slow revolution of the ship'spropellers,if practicable,to deter underwater accessto the hull of the ship.
Drffering secuity leuels 9.50 The SSP should establish details of the procedures and securiry measuresthe ship could adopt if the ship is at a higher security level than that applying to a port facility. Actiuities not coueredby the Code 9.51 The SSP should establish details of the procedures and securiry measuresthe ship should apply when: .1
it is at a port of a Statewhich is not a Contracting Government;
.2
it is intedacing with a ship to which this Code does not apply-;
.3
it is interfacing with fixed or floating platforms or a mobile drilling unit on location; or
.4
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.
Declarationsof Secuity 9.52 Thc SSPshould detail how requestsfor Declarationsof Security from a port Acility will be handled and the circumstances under which the ship itself should requesta DoS. . Refer to Further work by the lnternational Maritimc Organization pertaining to thc enhancemcnt of maritime security and to Estabiishment of appropriate measuresto enhance thc security ofships, port facilitics, mobilc oflshoie drilling units on location and fixed and floating platfonns not covercd by chaptcr XI-2 ofthe 197,1SOLAS Convention, adopted by the 2002 SOLAS Conference bv resolutions 3 and 7 rcspcctivelv.
72
Part B Audit and reuiew 9.53 The SSP should establishhow the CSO and the SSO intend to audit the continued efrectiveness of the SSPand the orocedure to be followed to rcview, update or amend the SSP. 10
Records
Ceneral 10.1 Records should be availableto duly authorizedofficersof Contracting Governments to verif,' that the provisions of ship security plans are being implemented. 10.2 Records may be kept in any format but should be protected from unauthorized accessor disclosure. ll
Company security officer
Relevantguidancek prouidedundersections8, 9 and 13. 12
Ship security officer
Releuantguidanceis prouidedundersections8, 9 and 13. 13
Training, drills and exercises on ship security
Training 13.1 The company securiry officer (CSO) and appropriate shore-based Company personnel, and the ship security officer (SSO), should have knowledge of, and reccive training, in some or all of the following, as appropriate: .l
securiryadministration:
,2
relevant international conventions, codes and recommcndations;
.3
relevant Government legislationand regulations;
.4
responsibilitiesand functions of other security organizations;
.5
methodology of ship securiryassessment;
.6
methods of ship security surveysand inspections;
.l
ship and port operationsand conditions;
.8
ship and port facility security measures;
.9
emergencypreparedness and responseand contingencyplanning;
.10
instruction techniques for security training and cducation, including securirynlcasuresand procedures;
73
ISPSCode .11
handling sensitive security-related information and securiryr e l a t e dc o m m un i c a t i o n s ;
.12
knowledge of current security threatsand pattems;
.13
recognition and detection ofweapons, dangeroussubstances and dcviccs;
.14
recognition, on a non-discriminatory basis,of characteristics and behavioural patterns of persons who are likely to thrcatcn security;
.15
techniquesused to circumvent securirymeasures;
.16
securiry equipment and systemsand their operational limitatl0ns;
.17
methods of conducting audits, inspection, control and monitoring;
.18
methods of physical searchesand non-intrusive inspections; security drills and exercises,including drills and exercises'uvith
.19
port facilities;and .20
assessment of security drills and exerclses.
13.2 In addition, the SSO should have adequateknou,'ledgeof. and receive training in, some or all of the following, as appropriate: .1
the layout of the ship;
.2 '
the ship securiry plan (SSP) and related procedures {including scenario-basedtraining on how to respond):
.3
crowd managementand control techniques;
.4
operationsof security equipment and systenls;and
.5
testing, calibration and at-sea maintenance of securin- equipment and systems.
13.3 Shipboard personnel having specific securiry duties should have suficient knowledge and abiliry to perform their assigneddudes. including, as appropriate: .1
knowledge of current securiry threatsand pattems:
.2
recognition and detection ofweapons, dangeroussubsuncesand devices;
.3
recognition ofcharacteristicsandbehaviouralpattenr\ofpersons who are likely to threaten securiry;
.4
techniquesused to circumvent securirymcasures:
.5
crowd managementand control techniques;
.6
security-relatedcommunications;
.
74
Part B .7
knowledgc of the emergencyproceduresand contingencyplans;
.8
opcrations of security equipment and systems,
.9
testing, calibration and at-sea malntenance of security equipment and systems;
. 1 0 inspection, control, and monitoring techniques;and .11
methods of physical searches of persons, personal eflects, baggagc,cargo, and ship's stores.
13.4 All other shipboard personnel should have suftrcient knowledge of and be familiar with relevant provisions of the SSP,including: .l
the meaning and the consequentialrequirementsof the different security levels;
.2
knowledge of the emergencyproceduresand contingencyplans;
.3
recognition and detection ofweapons, dangeroussubstances and oevlces;
.4
recognition, on a non-discrirninatorybasis,ofcharacteristicsand bchavioural patterns of persons who are likely to threaten sccuriry:and
.5
techniquesused to circumvent securiry measures.
Drilk and exercises 13.5 The objective of drills and exercisesis to ensure that shipboard personnel are proficient in all assignedsecuriry duties at all securiry levels and the identification of any securiry-relateddeficiencieswhich need to be addressed. 13.6 To ensure the effectiveimplementation of the provisions of the ship security plan, drills should be conducted at leastonce every three months. In addition, in caseswhere more than 25o/oof thc ship'spersonnelhasbeen changed, at any one time, with personnel that has not previously participated in any drill on that ship within the last 3 months, a drill should be conducted within one week of the chanse. These drills should test individual elementsof the plan such as those sicuriry threatslisted in paragraph8.9. 13.7 Various types of exerciscs, which may include participation of company securiryoficers, port faciliry security ofEcers,relevantauthorities of Contracting Governments as well as ship security officers, if availablc, should be carried out at leastonce eachcalendaryear with no more than 18 months berr,veenthe excrcises.These exercisesshould test communications, co-ordination, resourceavailability,and response.These exercisesmay be: .1
full-scaleor live;
.2
tablctop simulation or serninar,or
75
ISPSCode .3
combined with other exercisesheld, such as searchand rescue or emcrgencyresponseexercises.
13.8 Company participation in an exercise with another Contracting Government should be recognizedby the Administration. 14
Port facility security
Releuantguidanceis prouidedundersections15, 16 and 18. 15
Port facility security assessment
Ceneral 15.1 The port faciliry security assessment(PFSA) may be conducted by a recognizedsecurityorganization(RSO). However, approvalof a complctcd PFSA should only be given by the relevant Contracting Government. 15.2 If a Contracting Government uses a RSO to review or veri$t complianceof the PFSA, the RSO should nor be associatedwith any other RSO that preparedor assistedin the preparationof that assessment. 15.3 A PFSA should addressthe following elementswithin a port faciliry: .1
physical security;
.2
structuralintegriry;
.3
personnelprotecrionsystems;
.4
proceduralpolicies;
.5
radio and telecommunication systems, including computer systemsand networks;
.6
relevanttransportationinfrastructure;
.7
utilities; and
,8
other areasthat may, if damagedor used for illicit observation, pose a risk to persons,property, or operationswithin the port facility.
15.4 Those involved in a PFSA should be able to draw upon expert in relation to: assistance .l
knowlcdge of current securiry threatsand pattems;
,2
recognition and detection ofwcapons, dangeroussubstances and cevrces;
.3
recognition, on a non-discriminatory basis,ofcharacteristicsand bchavioural patterns of persons who are likely to threaten security;
.4
techniquesused to circumvent securiry nreasures;
76
Part B .5
mcthods used to causea sccurity incident;
.6
efTectsof explosiveson structuresand port facility services;
.7
port facility security;
.8
port businesspractices;
.9 contingcncy planning, emergencypreparednessand response; . 1 0 physical sccurity measures,e.g. fences; . tI radio and tclccornmunications systems, including computer systemsand ncrworks:
. 1 2 transport and civil cngineering; and . 1 3 ship and port operations. Identfficationand evaluationof important assetsand infrastructure it is important to protect 15.5 The identification and cvaluation of important assetsand infrastructure is a processthrough which the relative importance of structuresand installationsto the functioning of the port facility can be established.This identification and evaluationprocessis important becauseit provides a basis for focusing mitigation strategieson those assetsand structureswhich it is more important to protect from a security incident. This processshould take into account potential lossoflife, the econonric significanceof the port, symbolic value, and thc presenceof Government installations. 15,6 Identification and cvaluation of assetsand infrastructure should be used to prioritize their relative importance for protection. The primary conccrn should be avoidance of dcath or injury. It is also important to considcr whether the port faciliry. stmcture oi installation can cintinue to function witirout the asset,and the extcnt to which rapid re-establishment of nornral functioning is possible. 15.1 Assets and infrastructure that shouid be considered imDortant to protect may include: .1
accesses,entrances,approaches,and anchorages,nlanoeuvrtng and bcrthing areas;
.2
cargo facilitics, tcrnrinals, storage areas, and cargo handling equipmcnt:
.3
systenls such as electrical distribution systclns, radio and telecomrnunication systcms and computer systellls and networks;
.4
port vcsscltraffic nranagementsystens and aids to naviganon;
.5
power plants, cargo transfcrpiping, and water supplies;
.6
bridges, railways,roads;
77
ISPSCode .7
port senricevessels,including pilot boats, tugs, lighters, etc.;
.8
security and surveillanceequipment and systerns;and
.9
the waters adjacentto the port faciliry.
15.8 The clcar identification of assetsand infrastructureis essentialto the evaluation of the port facility's security requirements,the prioritization of protective measurcs,and decisionsconcerning the allocation of resourcesto better protect the port facility. The processmay involve consultation with the relevant authorities relating to structures adjacent to the port faciliry which could causedamagewithin the facility or be used for the purpose of causing damage to the facility or for illicit observation of the facility or for d i v e r t i n ga t t e n t i o n . Identifcation of thepossiblethreatsto the assetsand infrastructure and the likelihood of their occuryence, in order to establishand prioitize secuity mee$ures 15.S 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 vulnerabiliry of a given asset or location to a security incident, and to establishand prioritize securiry requirements to enable pianning and resource allocations.Identification and evaluation of each potential act and its mcthod should be based on various facrors, including threat asscssments by Government agencies.By identiSring and asscssingthreats, those conducting the assessment do not have to rely on worst-casesccnariosto guide planning and resourceallocations. 15.10 The PFSA should include an assessment undertakenin consulration with the relevant national securiry organizations to determine: .1
any particular aspectsof the port facility, including the vessel tralfic using the facility, which make it likely to be the target of an attacK;
.2
the likely consequencesin terms of loss of life, damage to property and economic disruption, including disruption to transport systems,of an attack on, or at, the port faciliry;
.3
the capabilityand intent of thoselikely to mount such an attack;
.4
the possibletype, or rypes,of attack,
producing an overall assessment of the level of risk againstwhich securiry rneasureshave to be developed. 15.11 Thc PFSA should consider all possiblethreats,which may include the following types of securiryincidents: .l
darnageto, or destrrrctiono1,the port facility or of the ship, e.g. by explosivc devices,arson, sabotageor vandalism;
78
PartB .2
hijacking or seizureof the ship or of personson board;
.3
tampering with cargo, essentialship equipment or systemsor ship'sstorcs:
.4
unauthorized accessor use, including presenceof stowaways;
.5
smuggling weapons or equipment, including weapons of mass destruction;
.6
use of the ship to carry those intending to cause a securiry incident and their equipment;
.7
use of the ship itself as a weapon or as a meansto causedamage or destruction;
.8
blockage ofport entrances,locks, approaches,etc.; and
.S
nuclear, biological and chemical attack.
15.12 Thc 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. and Identification,selection,and prioritization of counterlneetsures in reilucingvulnerability proceiluralchangesand their leuelof effectiueness is designedto 15.13The identification and prioritization of counterrneasures ensurethat the most eflectivesecuritymeasuresare cmployed to reduce the vulnerability of a port facility or ship/port inteface to the possible threats. 15.14Security measuresshould be selectedon the basisof factors such as whether they reduce the probability of an attack and should be evaluated using information that includes: .1
security sulveys,inspcctionsand audits;
.2
consultation with port facility owners and operators, and owners/operatorsof adjacentstructuresif appropriate;
.3
historical information on sccurity incidents; and
.4
operationswithin thc port faciliry.
I dentifrcation oJ vulnerabilities 15.15Identification of vulnerabilities in physical structures, personnel protection systems,processes,or other areasthat may lead to a securiry incident can be used to establishoptions to eliminate or mitigate those vulnerabilities.For cxample,an analysismight revealvulnerabilitiesin a port facility's securiry systems or unprotected infrastructure such as water supplics,bridges,etc. that could bc resolvedthrough physicalmeasures,e.g. perrnanentbarriers,alarms,surveillanceequipment, etc.
70
ISPSCode 15.16Identification of vulnerabilitiesshould include considerationof
16
.l
water-side and shore-sideacccssto the port facility and ships berthing at the facility;
.2
structural integrity of thc piers, facilities, and associated structures;
.3
existing security measurcsand procedures,including identification systems;
.4
existing security measures and procedures relating to port scruces and utilities;
.5
measuresto protect radio and telecommunication equipment, port serviccs and utilities, including computcr systems and nerworKs;
.6
adjacentareasthat may be exploited dunng, or for, an attack;
.7
existing agreemcntswith private sccuriry companiesproviding water-side/shore-sidesecurity services;
.8
any conflicting policies berr,veensafery and security measures and procedures;
.9
any conflicting port facility and security dury assignments;
.10
any enforcement and personnel constraints;
.11
any deficiencicsidentified during training and drills; and
.12
any deficiencies identified during daily operation, following incidents or alerts,the report ofsecurity concerns,the exercise of control measures.audits. etc.
Port facility security plan
Ceneral 16.1 Preparation of the port facility securiry plan (PFSP) is the responsibiliryof the port facility security officer (PFSO). While the PFSO necd not necessarilypersonallyundertake all the duties associatedwith the post, thc ultimate responsibiliry for ensuring that they are properly performed remainswith the individual PFSO. 16.2 Thc content of each individual PFSP should vary dcpending on the particular circumstancesof the port facility, or facilities,it covers.The port facility security assessment(PFSA) will have identified the particular featuresof the port facility, and of the potential securiryrisks, that have led to the need to appoint a PFSO and to preparea PFSP. The preparationof the PFSP will require these features,and other local or national securiry considerations,to be addressedin the PFSP and for appropriate securiry measuresto be estabiishedso as to mininize the likelihood of a breach of
ft0
Part B securiry and the consequenccs of potential risks. Contracting Governments may prepare advice on the preparation and content of a PFSP.
16.3 All PFSPsshould: .l
detail the securiryorganizationof the port faciliry;
.2
detailthe organization's linkswith otherrelevantauthoritiesand the necessary communicationsystemsto allow the effective continuous operation of thc organization and its links with others, including ships in port;
.3
detail the basic sccurity level 1 measures,both operationaland physical, that will be in place;
.4
detail the additional security measuresthat will allow the port facility to progress without delay to security level 2 and, when nccessary,to sccurity level 3;
.5
provide for regular review, or audit, of the PFSP and for its amendment in response to experience or changing circumstances;and
.6
detail reporting procedures to the appropriate Contracting Government's contact points.
16.4 Preparationof an effectivePFSPwill rest on a thorough asscssment of all issues that relate to the security of the port Aciliry, including, in particular, a thorough apprcciation of thc physical and operational characteristicsof the individual port Aciliry. 16.5 Contracting Governments should approve the PFSPs of the port facilitiesunder their jurisdiction. Contracting Governments should develop procedures to assessthe continuing effectivenessof each PFSP and may require amendment of the PFSPprior to its initial approvalor subsequenrto its approval.The PFSP should make provision for the retention of records of securiry incidents and threats, reviews, audits, training, drills and exercisesas evidenceof compliance with those requirements. 16.6 The securitymeasuresincluded in the PFSP should be in placewithin a reasonableperiod of the PFSP's approval and the PFSP should establish when eachmeasurewill be in place.If there is likely to be any delayin their provision, this should be discussedwith the Contracting Govcrnment responsiblc for approval of the PFSP and satisfactoryalternative temporary security measuresthat providc an equivalent level of security should be agreedto cover any interim period. 16.1 The use of firearms on or near ships and in port facilities may pose particularand significantsafctyrisks,in particularin connection with cerrain dangerousor hazardoussubstances, and should be considcredvery carefully. Lr thc event that a Contracting Governmcnt decidesthat it is necessaryto use arrncd personnel in thcsc areas,that Contracting Government should
81
ISPSCode 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 thcsc areas.If a Contracting Government authorizesthc use of firearms they should issuespecificsafetyguidelineson their use. The PFSP should contain specific guidance on this matter, in particular with regard to its application to ships carrying dangerousgoods or hazardoussubstances.
Organization and performanceof port Jacility securityduties 16.8 In addition to the guidance given under paragraph16.3, the PFSP should establish the following, which relate to all securiry levels: .l
the role and structure of the port facility security organization;
.2
the duties, responsibilitiesand training requirements of all port facility personnel with a security role and the performance rneasuresneeded to allow their individual effectiveness to be assessed;
.3
the port facility security organization's links with other national or local authoritieswith security responsibilities;
.4
the communication systems provided to allow effective and contlnuous communication between port facility securiry personnel, ships in port and, when appropriate,with national or local authorities with security responsibilities;
.5
necessary allow such continuous the proceduresor safeguards 19 communlcations to be maintained at all times;
.6
the procedures and practices to protect securiry-sensitive information held in paper or electronic format;
.7
the continuing effectivenessof securiry the proceduresto assess mcasures,procedures and equipment, including identification of, and responseto, equipment failure or malfunction;
.8
the procedures to allow the submission, and assessment,of reports relating to possible breaches of security or securiry concerns;
.9
proceduresrelating to cargo handling:
.10
procedurescovering the delivery of ship's stores;
.11
the procedures to maintain, and update, records of dangerous goods and hazardoussubstancesand their location within the port Aciliry:
.12
the means of alerting and obtaining the servicesof waterside patrols and specialistsearchteams,including bomb searchesand underwater searches;
82
Part B
. 1 3 the proceduresfor assistingship security oflcers in confirming the-identity of those seekingto board the ship when requested; ano
. 1 4 the proceduresfor facilitating shoreleavefor ship'spersonnelor personnel changes, as well as accessof visitors to the ship, including representatives of seafarers' welfare and labour organizations. 16.9 The remainder of section 16 addressesspecifically the securiry measuresthat could be taken at each security level covenng: .l
accessto the port faciliry;
.2
restrictedareaswithin the port facility;
.3
handling of cargo:
.4
delivery of ship's stores;
.5
handling unaccompaniedbaggage;and
.6
monitoring the security of the port facility.
Accessto theport facility 16,10 The PFSP should establishthe securirymeasurescovering all means of accessto the port facility identified in the irpSA 16.11 For eachof thesethe PFSP should identif,i the appropriatelocations where accessrestrictions or prohibitions should be applied for each of the securirylevels. For each security level the PFSP should specifi' the type of restriction or prohibition to be applied and the means of enforcing them. 16.12 The PFSP should establishfor each security level the means of identification required to allow accessto the port faciliry 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 sysrem should, when it is practicable to do so, be co-ordinated with that applying to ships that regularly use the port facility. Passengersshould be able to provi their identity by boarding passes,tickets, etc., but should not be pennitted access to restricted areasunlesssupervised.The PFSP should cstablishprovisions to ensure that the identification systemsare regularly updatcd, and that abuseof proceduresshould be subject to disciplinary action. 16.13 Those unwilling or unablc to establish their identiry and/or to confinn the purpose of their visit when requestedto do so should be denied accessto the port facility and their attempt to obtain accessshould be reported to the PFSO and to the national or local authoritieswith securiry resoonsibilities.
83
ISPSCode 16.14 The PFSP should identify the locations where persons, personal effects,and vehicle searchesare to be undertaken.Such locations should be covered to facilitatecontinuous operation, regardlessof prevailing weather conditions, in accordancewith the frequencylaid down in the PFSP. Once subjectedto search,persons,personal effectsand vehicles should proceed directly to the restricted holding, embarkation or car loading areas. 16.15 The PFSP should establish seoaratelocations for checked and unchecked persons and their effects and if possible separateareas for embarking/disembarkingpassengers,ship's personnel and their effects to ensurethat uncheckedoersonsare not ableto come in contactwith checked persons. 16.16 The PFSP should establishthe frequency of application of any access controls, particularly if they are to be applied on a random, or occasional,basis.
Securityleuel1 16.17 At securiry level 1, the PFSP should establishthe control points where the following security measuresmay be applied: .1
restricted areas,which should be bounded by fencing or other barriers to a standard which should be approved by the Contracting Government;
.2
checking identiry of all persons seeking entry to the port facility in connection with a ship, including passengers, ship'spersonnel and visitors, and confirming their reasons for doing so by checking, for example,joining instructions, passengertickets, boarding passes,work orders, etc.;
.3
checkingvehiclesusedby those seekingentry to the port facility in connection with a ship;
.4
verification of the identiry of port facility personnel and those employed within the port facility and their vehicles;
.5
restricting accessto exclude those not employed by the port faciliry or working within it, if they are unable to establishtheir identity;
.6
undertaking searchesof persons,personal effects,vehicles and their contents; and
.7
identification of any accesspoints not in regular use, which should be permanently closed and locked.
16.18 At securirylevel 1, all those seekingaccessto the port facility should be liable to search. The frequency of such searches,including random searches,should be specified in the approved PFSP and should bc specificallyapprovcd by thc Contracting Government. Unless there are
84
Part B clcar securitygrounds for doing so, members of the ship'spersonnelshould not be required to searchtheir colleaguesor their personaleffects.Any such searchshall be undertaken in a manner which fully takes into account the human rights of the individual and preservestheir basic human dignity.
Securityleuel2 16.19 At securirylevel 2, the PFSP should establishthe additional securiry measuresto be applicd, rvhich may include: .1
assigningadditional personnel to guard accesspoints and patrol penmeter Damcrs;
.2
limiting the number of accesspoints to the port facility, and identi$ring thosc to be closed and the means of adequately securing thenr;
.3
providing for means of impeding through the .movement remalnlng accesspolnts, e.g. secunry Darners;
.4
increasingthe frequency ofsearchesofpersons, personaleffects, and vehicles; denying accessto visitors who are unable to provide a verifiable justification for seekingaccessto thc port faciliry; and using patrol vesselsto enhancewater-side securiry.
Securityleuelj ,|6.20 At securitylevel 3, the port facility should comply with instructions issuedby those responding to the security incident or threat thereof The PFSP should detail the securitymeasureswhich could be taken by the port faciliry, in close co-operation with those responding and the ships at the port facility, which may include: .l
suspensionof accessto all, or part, of the port faciliry;
.2
granting accessonly to those respondingto the securifyincident or threat thereof
.3
suspensionof pedestrianor vehicular movement within all, or part, of the port faciliry;
.4
increasedsecurity patrols within the port facility, if appropriate;
.5
suspensionof port operations within all, or part, of the port facility;
.6
direction ofvessel movements relating to all, or part, of the port facility; and
.7
evacuation of all, or part, of the port facllity.
85
ISPSCode Restrictedareaswithin the port facility 16.21 The PFSP should identis' the restricted areasto be established within the port facility and speci$utheir extent, times of application, the securiry -.^"r,rr., to be taken to control accessto them and those to be taken to control activities within them. This should also include, in appropriate circumstances,measuresto ensure that temporary restricted areasare secunry swept both before and after that areais established.The purposcof restrictedareasis to: .l
ship's personnel,port facility personnel and protect passengers, visiting in connection with a ship; those includlng visitors,
.2
protect the Port facilitY;
.3
protect ships using, and serving,the port faciliry;
.4
protcct security-sensitivelocations and areaswithin the port faciliry;
.5
protect securiry and surveillanceequipment and systems;and
.6
protect cargo and ship's storesfrom tampering'
16.22 The PFSP should ensure that all restricted areas have clearly establishcdsecurirymeasurcsto control: .1
accessby individuals;
.2 .3
the entry, parking, loading and unloading of vehicles; movement and storageof cargo and ship's stores;and
.4
unaccompaniedbaggageor personaleftects'
16.23 The PFSP should provide that all restrictedareasshould be clearly to the areais restricted and that unauthorized marked, indicating that acc^ess a breach of security' constitutes the area within presence 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 areasmay include: .l .2 ' .3
shore- and water-side areasimmediately adjacentto the ship; cmbarkation and disembarkation areas' passengerand ship's personnelholding and processingareas,including searchpoints; areaswhere loading, unloading or storage of cargo and stores is undertaken;
.4 .5
locations where security-sensitive information, including cargo documentation, is held; areaswhere dangerousgoods and hazardoussubstancesare held;
86
Part B .6
vessel trafftc management system control rooms, aids to navigation and port control buildings, including security and surveillancecontrol rooms;
.7
areaswhere securiry and surveillanceequipment are stored or Iocated:
.8
essentialelectrical, radio and telecommunication, water and other utility installations;and
.9
other locations in the port facility where accessby vessels, vehiclesand individuals should be restricted.
16.26The securitynteasuresmay extend,with the agreementof the reievant authoritics, to restrictionson unauthorized accessto structuresfrom which the port faciliry can be obserued. Security leuel
'l
16.27 At securirylevel 1, the PFSP should establishthe securifymeasures to be applied to restrictedareas,which may include: .1
provision of permanent or temporary barricrs to surround the restricted area, whose standard should be accepted by the Contracting Government;
.2
provision of accesspoints where accesscan be controlled by security guards when in operation and which can be effectivcly locked or barred when not in use;
.3
providing passes which must be displayedto identify individual's entitlement to be within the restrictedarea;
.4
clearly marking vehicles allowed accessto restrictedareas:
.5
providing guards and patrols;
.6
providingautomatic intrusion-detection devices,orsurveillance cquipmcnt or systemsto detect unauthorized accessinto, or movement within, restrictedareas;and
.l
control of the movernent of vesselsin the vicinity of shipsusing the port facility.
Securitylevel2 16.28 At sccurity levcl 2, the PFSP should establishthe enhanccmentof thc frcqucncy and intensiry of the monitoring of, and control of acccssto, restrictedareas.The PFSP should establishthe additional securitymeasures, rn'hich may include: .l
enhancing the effectivenessofthe barriersor fencing surrounding restricted areas,including the use of patrols or automatic intrusion-detection dcvices;
87
ISPSCodc .2
reducing the number of accesspoints to restricted areasand enhancing the controls applied at the remaining accesses;
.3
restrictionson parking adjacentto berthed ships;
.4
further restricting accessto the restrictedareasand movements and storagewithin them;
.5
use of continuously monitored and recording surveillancc equipment;
.6
enhancing the number and frequency of patrols, including water-side oatrols. undertaken on the boundaries of the restrictedareasand within the areas;
.7
establishing and restricting access to areas adjacent to the restrictedareas;and
.8
enforcing restrictions on accessby unauthorizcd craft to thc waters adjacentto ships using the port facility.
Securitylevel3 16.29 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof The PFSP should detail the securitymeasureswhich could be taken by the port facility in close co-operation with those responding and the ships at the port facility, which may include: .l
settingup of additional restrictedareaswithin the port facility in proximiry to the security incident, or the believed location of the security threat, to which accessis denied; and
.2
preparing for the searchingofrestrictcd areasas part ofa search of all, or part, of the port facility.
Handling of cargo 16.30 The secunty measuresrelating to cargo handling should:
.
.1
prevent tampering; and
.2
prcvent cargo that is not mear.rtfor carriagefrom being accepted and stored within the port facility.
16.31 Thc securitymeasuresshould include inventory control proccdurcs at accesspoints to the port facility. Once within the port facility, cargo should be capablcofbeing identified as having been checked and accepted for loading onto a ship or for temporary storagein a restricted areawhile awaitingloading. It maybe appropriateto restrict the entry of cargo to thc port faciliry that does not have a confirlned date for loading.
88
Part B 'l Securityleuel 16.32 At securirylcvel 1, the PFSP should establishthe securitymeasures to be applied during cargo handling, which may include: .1
routine checking of cargo, cargo transport units and cargo storage areaswithin the port facility prior to, and during, cargo handiing opcrations;
.2
checksto ensurcthat cargo entering the port facility rnatchesthc delivery note or equivalent cargo documentatioll;
.3
searchesof vehicles:and
.4
checking of sealsand othcr methods used to prevent tampering upon entering the port facility and upon storagewithin the port facility.
16.33 Checking of cargo may be accomplishcd by some or all of the following means: .1
visual and physicalexamination; and
.2
equipment,mechanicaldevices,or dogs. using scanning/detection
16.34 When there are regular or repeatedcargo movements, the CSO or the SSO may, in consultationwith the port facility, agreearrangemcntswith shippers or others responsiblefor such cargo covering off-site checking, scaling, schcduling, supporting documentation, etc. Such arrangerrents should be communicated to and aqrcedwith the PFSO concerned.
Securityleuel2 16.35 At securitylevel2, the PFSP should establishthe additional securiry measuresto be applied during cargo handling to enhance control, which may include: .1 detailed checking of cargo, cargo transport units and cargo storage areaswithin the port facility; .2
intensified checks, as appropriate, to ensure that only the documented car€loenters the port facility, is temporarily stored there and is then loaded onto the ship;
.3
intensified searchesof vehicles;and
.4
incrcasedfrequency and detail in checking of scalsand other methods used to prevent tampering.
16.36 Detailcd checking of cargo rnay be accomplishedby somc or all of the following means: .l
increasingthc frequency and detail ofchecking ofcargo, cargo transporr units and cargo storage areaswithin the port facility (visualand physical examination);
89
ISPSCode .2
increasing the frequency of the use of scanning/detection equipment, mechanicaldevices,or dogs; and
.3
co-ordinating enhanced securiry measureswith the shipper or other responsibleparty in addition to an establishedagreement and procedures.
Securityleuel3 16.37 At sccurity level 3, the port facility should comply with the instructions issued by those responding to the securiry incident or threar thereofl The PFSP should detail the securitymeasureswhich could be taken by the port facility in close co-operation with those responding and the ships at the port facility, which may include: .l
restriction or suspensionof cargo movements or operations within all, or part, of the port facility or specificships;and
.2
veriflring the inventory of dangerous goods and hazardous substancesheld within the port faciliry and their location.
Deliuery of ship's stores 16.38 The security measures relating to the deliverv of shio's stores should: .1
ensure checking of ship's storesand packageintegrity;
.2
prevent ship's storesfrom being acceptedwithout inspection;
.3
prevent tampering;
.4
prevent ship's storesfrom being acceptedunlessordered;
.5
ensure searching the delivery vehicle; and
.6
ensure escorting delivery vehicles within the port facility.
16.39 For ships regularly using the port Acilify it may be appropriateto 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 snlp. Securityleuel1 16.40 At securitylevel 1, the PFSP should establishthe securirymeasures to be applied to control the delivery of ship's stores,which may include: .1
checking of ship's stores;
.2
advancenotification as to composition of load, driver detailsand vehicle registration;and
.3
scarchingthe delivery vehicle.
90
PartB 16.4t Checking of ship'sstoresmay be accomplishedby some or all of the following means: .1
visual and physical examination; and
.2
using scanning/detection equipment, mechanical devices or oogs.
Security leuel2 16.42 At securitylevel 2, the PFSP should establishthe additional securiry measuresto be applied to enhance the control of the delivery of ship's stores,which may include: .1
detailed checking of ship's stores;
.2
detailed searchesof the delivery vehicles;
.3
co-ordination with ship personnelto check the order againstthe delivery note prior to entry to the port facility; and
.4
escorting the delivery vehicle within the port faciliry.
16.43 Detailed checking of ship's storesmay be accomplishedby some or all of the following means: .l
increasing the frequency and detail of searchesof delivery vehicles;
.2
increasingthe use of scanningidetectionequipment, mechanical devices,or dogs; and
.3
restricting, or prohibiting, entry of storesthat will not leave the port facility within a specifiedperiod.
Securityleuel3 16.U At security level 3, the port facility should comply with the instructions issued by those responding to the securiry incident or threat thereof. Thc PFSP should dctail thc sccuritymcasureswhich could be taken by the port facility, in close co-operation with those responding and the ships at the port faciliry, which may include preparationfor restriction, or suspension,of the delivery of ship's storeswithin all, or part, of the port facility. Handling unaccompanied baggage 16.45 Thc PFSP should cstablishthe sccuriry measuresto be applied to ensure that unaccompaniedbaggage(i.e. any baggagc,including personal e{lects,which is not with the passengeror member of ship'spersonnelat thc point of inspection or search) is identified and subjected to appropriate screening,including searching,before is allowed in the port faciliry and, depending on the storagearrangements,before it is transferred benveen thc port faciliry and the ship. It is not envisaged that such baggagewill be
91
ISPSCode subjectedto screeningby both the port facility and the ship, and in cases where both are suitably equipped, the responsibiliryfor screeningshould rest with the port facility. Close co-operation with the ship is essentialand steps should be taken to ensure that unaccompanied baggage is handled securely after screening. Security leuel
'l
16.46 At securitylevel 1, the PFSP should establishthe security measures to be applied when handling unaccompanied baggage to ensure that unaccompaniedbaggageis screenedor searchedup to and including 100o/o, which may include use of x-ray screening. Security leuel2 16.47At security levcl 2, the PFSP should establishthe additional securiry measuresto be applied when handling unaccompanied baggagewhich should include 100%t x-ray screening of all unaccompanied baggage. Security leuel3 16.48At securiry level 3, the port facility should comply with the instn-rctionsissued by those responding to the security incident or threat thereof Thc PFSPshould detail the securitymeasureswhich could be taken by the port faciliry in close co-operation with those responding and the ships at the port facility, which may include: .1
subjecting such baggageto more exrensive screening. for example x-raying it from at least two different angles;
.2
preparations for restriction or suspension of handling of unaccompanied baggage;and
.3
refusalto accept unaccompaniedbaggageinto thc port faciliry.
Monitoring the secuity of the port facility 16.49 The port facility securiryorganizationshould have the capabiliryto monitor the port faciliry and its nearby approaches,on land and watcr, at all times, including the night hours and periods of limited visibiliry, the restrictedareaswithin the port facility, the shipsat the port facility and arcas surrounding ships.Such monitoring can include use of .1
lighting;
.2
securiryguards,including foot, vehicle and waterborne patrols; ano
.3
automatic intrusion-detection dcvices and surveiilanceeouipment.
92
Part B 16.50 When used, automatic intrusion-detcction devicesshould activate an audible and/or visual alarm at a location that is continuously attendedor monitored. 16.51 The PFSP should establishthe proceduresand equipment neededat each security level and the means of ensuring that monitoring equipment will be able to perform continually, including considerationof the possible effectsof weather or of power disruptions. Securityleuel1 16.52 At securitylevel 1, the PFSP should establishthe securiryri-reasures to be applied, which may be a combination of lighting, securiry guards or use of security and surveillanceequipment to allow port Acility securiry Dersonnetto: .l
observe the general port facility area, including shore- and water-side accesses to it;
.2
observeaccesspoints, barriersand restrictedareas;and
.3
allow port facility securiry personnel to monitor areas and movements adjacent to ships using the port faciliry, including augmentation of lighting provided by the ship itself
Securityleuel2 16.53 At securitylevel 2, the PFSP should establishthe additional securiry measures to be applied, to enhance the monitoring and surveillance capabiliry,which may include: .1
increasingthe coverageand intensity of lighting and surveillance equipment, including the provision of additional lighting and surveillancecoverage;
.2
increasingthe frequency of foot, vehicle or waterborne patrols; ano
.3
assigningadditional securirypersonnel to monitor and patrol.
Securityleuel3 16.54 At security level 3, the port facility should comply with the instructions issued by those responding to the security incidcnt or threat thereof. The PFSP should detail the securitymeasureswhich could bc takcn by the port faciliry in close co-operation with those responding and the ships at the port facility, which may include: .l
switching on all lighting within, or illumrnating the viciniry of, the port faciliry;
.2
switching on all surveillance equiprnent capable of recording activitieswithin, or adjacentto, the port faciliry; and
93
ISPSCode .3
maximizing the length of time such surveillanceequipment can continue to record.
Dtffering secuity levels 16.55 Thc PFSP should establishdetails of the procedures and securiry measuresthc port facility could adopt if the port facility is at a lower securiry level than that applying to a ship. Activities not coueredby the Code 16.56 The PFSP should establishdetails of the procedures and securiry measuresthe port faciliry should apply when: .l
it is intefacing wrth a ship which has been at a port of a State which not a Contracting Government;
.2
it is intefacing with a ship to which this Code does not apply; and
,3
it is intefacing with fixed or floating platforms or mobile offshore drilline units on location.
Declarationsof Security 16.57 The PFSP should establishthe proceduresto be followed when, on the instructions of the Contracting Govemment, the PFSO requestsa DoS or when a DoS is requestedby a ship.
Auilit, reviewanil amendment 16.58 The PFSP should establishhow the PFSO intends to audit the continued efFectiveness of the PFSP and the Drocedureto be followed to review, update or amend the PFSP. 16.59 The PFSP should be reviewed at the discretion of the PFSO. In addition it should be reviewed: .l
if the PFSA relating to the port faciliry is altered;
.2
if an independent audit of the PFSP or rhe Contracting Government's testing of the port facility securiry organization identifiesfailingsin the organizationor questionsthe continuing relevanceof significant elementsof the approved PFSP;
.3
following securiry incidents or threats thereof involving the port facility; and
.4
following changesin ownership or operational control of the port faciliry.
94
Part B 16.60 The PFSO can recommend appropriate amendments to the approved plan following any review of the plan. Amendments to the PFSP relating to: .1
proposedchangeswhich could fundamentallyalter the approach adopted to maintaining the security of the port faciliry; and
.2
the removal, alteration or replacement of permanent barriers, securiry and surveillance equipment and systems, etc., previously considered essentialin maintaining the security of the port facility
should be submitted to the Contracting Government that approved the original PFSP 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 PFSP, the Contracting Government should indicate which procedural or physical alterations have to be submitted to it for approval.
Approval of port facility securityplans 16.61PFSPshave to be approvedby the relevantContracting Government, which should establishappropriate procedures to provide for: .l
the submissionof PFSPsto them;
.2
the considerationof PFSPs;
.3
the approval of PFSPs,with or without amendments;
.4
consideration of amendments submitted after approval; and
.5
procedures for inspecting or auditing the continuing relevance ofthe approved PFSP.
At all stages,stepsshould be taken to ensurethat the contents of the PFSP remain confidential.
Statementof Complianceof a Port Facility 16.62The Contracting Government within whose territory a port facility is locatedmay issuean appropriateStatementof Compliance of a Port Faciliry (SoCPF) indicating: .1
the port facility;
.2
that the port Acility complies with the provisions of chapter XI2 and part A of the Code;
.3
the period of validity of the SoCPF, which should be specified by the Contracting Govemments but should not exceed five vears:and
95
ISPSCode .4
the subsequent verification arrangements established by the Contracting Govemment and a confirmation when these are carried out.
t6'63 The Statementof compliance of a port Facility should be in the form set out in the appendix to this Part of the code. If tire languageused is not Spanish,French or English, the contracting Government, i?it ionsiders it appropriate, may also include a translation into one of these lang'ages. 17
Port facility security officer
General 17'l In those exceptional instances where the ship securirv officer has questions about the validity of identification documents of those seekins ro board the ship for official pulposes, the port faciliry securiry officer shouta asslst. 17.2 The port facility securiryofficer should nor be responsiblefor routine confirmation of the identiry of those seekingto board ihe ship. In addition,otherreleuantguidancek prouidedundersections15, 16 and 18. l8
Training, drills and exercises on port facility security Training 18.1 rhe port facility securiry oficer should have knowledge and receive training, in some or all of the following, as appropriate: .l
securiryadministration:
,2
relevant international conventions, codes and recommendat10ns;
.3 .4
relevant Government
.5
methodology
.6
methods of ship and port facility security surveys and inspections;
.7 .8
ship and port operationsand conditions;
.s
emergency preparednessand response and contingency planrung;
legislation and regulations ; responsibilities and functions of other security organizations; of port facility securiry assessment;
ship and port facilirysecurirymeasures;
. t 0 instruction techniques for securiry training and education, including security measuresand procedures;
. tI
handling sensitive security-related information and securityrelated comrrrunications:
96
Part B .12
knowledge of current securiry threats and patterns;
.13
and recognition and detection ofweapons, dangeroussubstances devices;
.14
and recognition, on a non-discriminatory basis,of characteristics behavioural patterns of persons who are likely to threaten the secunry;
.15
techniquesused to circumvent security measures;
.16
securiry equipment and systems,and their operational lirnitations;
.17
methods of conducting audits, inspection, control and monitoring;
.18
methods of physical searchesand non-intrusive inspections;
.19
securiry drills and exercises,including drills and exerciseswith ships;and
.20
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: .1
knowledge of current security threats and patterns;
.2
and recognition and detection ofweapons, dangeroussubstances oeuces;
.3
recognition ofcharacteristicsandbehaviouralpatternsofpersons who are likely to threaten security;
.4
techniquesused to circumvent security measures;
.5
crowd management and control techniques;
,6
security-relatedcommunications;
.7
operations of security equipment and systems;
.8
testing, calibration and maintenance of securiry equipment and systems;
.9
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 faciliry personnel should have knowledge of and be familiar with relevant provisions of the PFSP in some or all of the following, as appropriate: .1
the meaning and the consequential requirements of the different security levels;
97
ISPSCode .2
recognition and detection ofweapons, dangeroussubstances and devices;
,3
recognitionofcharacteristicsandbehaviouralpatternsofpersons who are likely to threaten the securiry; and
.4
techniquesused to circumvent securiry measures.
Drills and exercises 18.4 The objective of drills and exercisesis to ensure that port facilirv personnelare proficient in all assignedsecuriryduties.at all securiryleveli, and to identif' any security-related deficiencieswhich 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 securiw threats listed in paragraph15.11. 18.6 Various rypes of exercises,which may include participation of port facility securiry officers, in conjunction with relevant authorities of Contracting Governments, company securiry officers, or ship securiry of[cers, ifavailable, should be carried out at least once each calendaryear with no more than 18 months benveen the exercises.Requests for the participation of company security officers or ship security officers in joint exercises should be made, bearing in mind the securiry and work implications for the ship. These exercisesshould test cornmunication, coordination, resource availability and response.These exercisesmay be:
l9
.1
full-scale or live;
.2
tabletop simulation or seminar, or
.3
combined with other exercises held. such as emersencv responseor other port Stateauthority exercises.
Verification
and certification for ships
lrlo additionalguidance.
98
Part B, appendix 1
Appendix to part B
Appendix 1
Forrn of a Declaration of Security between a ship and a port facility.
DECI.ARATION OF SECURITY
N a m eo f s h i p Port of registry: IMO Number: Name of port facility: untrl
This Declarationof Securityis valid from for the followingactivities:
(list the activitles with relevant details)
under the followingsecuritylevels Securitylevel(s)for the ship Securitylevel(s)for the port facility
andresponsrbrlltles security measures andshipagreeto thefollowing Theportfacility Codeforthe of partA of the International withthe requirements to ensurecompliance of Shipsand of PortFacilities. Securitv -
This form of Declaration of Security is for use benvecn a ship and a port facility. If the Declaration of Security is to cover two ships, this modcl should be appropriately modified-
99
ISPSCode The affixingof the initialsof the SSOor PFSOunder these columnsindicates that the activitywill be done, in accordancewith the relevantapproved pran.Dy The port facility:
Activity
The ship
Ensuringthe performanceof all securityduties
Monitoring restricted areasto ensure personnel thatonlyauthorized have access Controllingaccessto the port facility Controllingaccessto the ship
Monitorrng of the portfacility. including berthingareasand areassurrounding t h es h i p Monitoringof the ship. including berthingareasand areassurrounding the ship Handlingof cargo
Delivery of ship'sstores Handlingunaccompaniedbaggage Controllingthe embarkationof persons and their effects Ensuringthat securitycommunication is readilyavailablebetweenthe ship and the port facility
for The signatories to this agreementcertifythat securitymeasuresand arrangements both the port facilitypart A of the Codethat will be implementedin accordancewith the provisionsalreadystipulatedin their approvedplan or the specificarrangements agreedto and set out in the attachedannex. Dated al
... ontne
100
Part B, appendix1 Signedfor and on behalfof the port facility:
the ship:
(Signature of port facility security officer)
(Signature of master or ship security officer)
Name and title of personwho signed Name
Name:
Title:
Title:
Contactdetails (to be completed as appropriate) (indicate the telephone numbers or the radio channels or frequencies to be used) for the port facility:
for the ship:
Port facrlity
Master
Port facilitysecurityofficer
Ship securityofficer Company Companysecurityofficer
101
ISPSCode Appendix 2
Form of a Statement of Cornpliance of a Port Faciliff
STATEMENTOF COMPLIANCE OF A PORTFACILITY
(Stare)
(Official seal)
StatementNumber. . . lssuedunder the provisionsof part B of the INTERNATIONAL CODEFORTHE SECURIryOF SHIPSAND OF PORTFACILITIES (ISPSCODE)
The Governmentof
(name of the State)
Name of the port facility. Addressof the port facility. THIS lS TO CERTIFY that the complianceof this port facilitywith the provisionsof chapterXl-2 and part A of the International Codefor the Securityof Shipsand of Port Facilities(ISPS Code) has been verified and that this port facility operates in accordancewith the approvedport facilitysecurityplan.This plan has been approved for the following(deleteas appropriate): Passengership Passengerhigh-speedcraft Cargo high-speedcraft B u l kc a r r i e r Oiltanker Chemicaltanker Gas carrier Mobile offshoredrillingunits Cargoships other than those referredto above
102
Part B, appendtx 2 This Statementof Complianceis valid until (as indicatedoverleaf) to verifications
. . . , sublecl
lssuedat. . . (place of lssue of the statement) Date of issue (Signature of the duly authorized offictal issurng the document) (Seal or stamp of the lssulng authority. as appropriate)
103
ISPSCode Endors em en t fo r verific atio ns The Governmentof has establishedthat the validityof this Statementof Complianceis subjectlo . THls ls ro CERTIFYthat. during a verificationcarried out in accordancewrth paragraphB/ 16 62.4 of the ISPSCode.the porrfacilitywas found to complvwith the relevantprovisionsof chapterXl-2 of the conventionand part A of the lspS code.
1stVERIFICATION
Signed: (Signature of authorized official) Place: n^+^. Ud LU.
2nd VERIFICATION
Signed. (Signature of authorized offrcial) Place n^+^.
3rd VERIFICATION
Signed: (Signature of authorized official) Dt ^ ^^.
n^+^
4th VERIFICATION
Signed (Signature of authorized officlal) Place. Date:
104
Conferenceresolution1 (adopted on 12December 2002) Adoption of amendments to the Annex to the International Convention for the Safetv of Life at Sea. 1974 TUE CoNppRENCE, BEaRrNc IN MIND the purposesand principles of the Charter of the United Nations concerning the maintenance of international peaceand security and the promotion of friendly relations and co-operation among States, DEEPLYCoNCERNED about the world-wide escalation of acts of terrorism in all its forms, which endanger or take innocent human lives, jeopardize fundamental freedoms and seriously impair the dignity of human beings, BttNc AwAR-Eof the importance and significance of shipping to the world trade and economy and, therefore, being determined to safeguard the world-wide supply chain againstany breach resulting from terrorist attacks against ships, ports, offshore terminals or other facilities, CoNsrnEzuNc that unlawful acts against shipping jeopardize the saferyand securiry of persons and properry, seriously affect the operation of maritime servicesand undermine the confidence of the peoples of the world in the safetyof maritime navigation. CoNsrogRrNG that the occuffence of such acts is a matter of grave concern to the international community as a whole, while also recognizing the importance of the efficient and economic movement of world trade, BErNc CONVINCED of the urgent need to develop international cooperation berween States in devising and adopting effective and practical measures,additional to those already adopted by the International Maritime "the Organization (hereinafter referred to as Organization"), to prevent and suppressunlawful acts directed against shipping in its broad sense, RECALLINGthe United Nations Security Council resolution 1373(2001), adoptedon 28 September2001, requiring Statesto take measuresto prevent and suppressterrorist acts, including calling on States to implement fully anti-terrorist conventions, HAVING NoTED the Co-operative G8 Action on Transport Security (in particular, the Maritime Security section thereof), endorsed by the G8 Leadersduring their Sumrnit in Kananaskis,Alberta (Canada)inJune 2002,
105
SOLASConference, December 2002 RlcaruNc article VIII(c) of the International Convention for the SaGtyof Life at Sea,1974, as amended(hereinafterreGrred to as "the Convention"), concerning the procedurefor amending the Convention by a Conferenceof Contracting Governments, NoTING resolution A.924(22) entitled "Review of measures and procedures to prevent acts of terrorism which threaten the security of passengersand crew and the safetyof ship", adopted by the Assembly of the Organization on 20 November 2001, which, inter alia: (")
recognizes the need for the Organization ro review, with the intent to revise, existing international legal and technical measures, and to consider appropriate new measures, to prevent and suppress terrorism against ships and to improve securiry aboard and ashore in order to reduce the risk to passengers, crew and port personnelon board shipsand in port areasand to the vesselsand their cargoes;and
(b)
requests the Organization's Maritime Safety Commirtee, the Legal Committee and the Facilitation Committee under the direction of the Council to undertake, on a high-priority basis,a review to ascertain whether there is a need to uodate the instruments referred to in the preambular prrrgrrphr of the aforesaid resolution and any other relevant IMO instrument under their scopeand/or to adopt other security measuresand, in the light of such a review, to take action as appropriate; HAVING IDENTIFIEDresolution A.584(14) entitled "Measures to prevent unlaw{ul acts which threaten the safery of ships and the securiry of th.it passengersand crew", MSC/Circ.443 on "Measures to prevent unlaw{ul acts againstpassengersand crew on board ships" and MSC/Circ.754 on "Passenger ferry security" among the IMO instruments relevant to the scope of resolution A.924(22), REcaruNc resolution 5 entitled "Future amendmentsto chapterXI of the 1974 SOLAS Convention on specialmeasuresto enhancemaritime safety", adopted by the \994 Conference of Contracting Govemment to ih. International Convention for the Saferyof Life atSea, 1.974, HAVING CONSIDEREDamendments to the Annex of the Convention proposed and circulated to all Members of the Organization and to all Contracting Govemments to the Convention, 1. ADoPTS, in accordancewith article VIII(c)(ii) of the Convention, amendments to the Annex of the Convention, the text of which is given in the Annex to the present resolution; 2. DETERMINES,in accordancewith article VIII(bXvi)(2Xbb) of the Convention, that the aforementioned amendments shall be deemed to have been acceptedon 1 January2004, unless,prior to that date, more than one
106
Resolution 7 third of thc Contracting Governments to the Convention or Contracting Governments the combined merchant fleets of which constitute not less than 50o/oof the gross tonnage of the world's merchant fleet have notified their objections to the amendments; INVITESContracting Govemments to the Convention to note that, in 3. accordance with article VIII(b)(vii)(2) of the Convention, the said amendments shall enter into force on 1 July 2004 upon their acceptance in accordancewith paragraph 2 above; 4. RrquEsrs the Secretary-Generalof the Organization, in conformity with article VIII(b)(v) of the Convention, to transmit certified copiesof the Dresentresolution and the text of the amendments contained in the annex io all Contracting Governments to the Conventron; 5. FURTHIRRreUESTS the Secretary-Generalto transmit copiesof this resolution and its Annex to all Members of the Organization which are not Contracting Governments to the Convention.
107
SOLASConference, December 2002
Annex Amendments to the Annex to the International Convention for the Safety of Life at Sea, 1974 as amended
CHAPTER V Safetyof navigation
Regulation 19 Carriagerequirementsfor shipbornenavigational systemsand equipment 1 The existing subparagraphs.4, .5 and .6 of paragraph 2.4.2 are replaced by the following: ".4 in the caseof ships, other than passengerships and tankers, of 300 gross tonnage and upwards but less than 50,000 gross tonnage, not later than the first safetyequipment survey* after 1 July 2004 or by 31 December 2004, whichever occurs earlier; and" 2 The following new sentence is added at the end of the existing subparagraph.7 of paragraph2.4: "Ships fitted with AIS shall maintain AIS in operation at all times except where intemational agreements,nrles or standards provide for the protection of navigational information."
CHAPTERXI Specialmeasuresto enhancemaritimesafety 3
The existingchapterXl is renumberedas chapterXl-l.
-
Thefrst safetyequipmentsurueymeans the first armual suruey, the 6rst periodical suwey or the first renewal survey for safety equipment, whichever is due first after 1 July 2004, and, in addition, in the caseof ships undcr construction, the initial survey.
r08
Amendments to SOI.ASchapterV
Regulation3 Shipidentificationnumber 4
Thefollowing text is insertedafter the title of the regulation:
"(Paragraphs 4 and 5 applyto all shipsto which this regulationapplies.For 4 and 5 shipsconstructedbeforel July 2004,the requirementsofparagraphs shallbe compliedwith not later than the first scheduleddry-dockingof the ship after 1 July 2004)" The existingparagraph4 is deleted and the following new text ts 5 inserted:
.1
in a visible olaceeither on the stern of the shio or on either side of the hull, amidships port and starboard,ibove the deepest assignedload line or either side of the superstructure,port and starboardor on the front ofthe superstnrctureor, in the caseof passengerships, on a horizontal sudace visible from the air; and
.2
in an easilyaccessibleplace either on one ofthe end transverse bulkheads of the machinery spaces,as defined in regulation II-2/ 3.30, or on one of the hatchwaysor, in the caseof tankers,in the pump-room or, in the caseof ships with ro-ro spaces,as defined in regulation Il-213.4I, on one of the end transversebulkheads ofthe ro-ro sDaces.
5.1 The permanent marking shall be plainly visible, clear of any other markings on the hull and shall be painted in a contrasting colour. 5.2 The pennanent marking referred to in paragraph4.1 shall be not less than 200 mm in height. The permanent marking referred to in paragraph 4.2 shallnot be lessthan 100 mm in height. The width of the marks shall be proportionate to the height. 5.3 The permanent marking may be made by raisedlettering or by cutting it in or by centre-punching it or by any other equivalent method of marking the ship identification number which ensuresthat the marking is not easily expungeo. 5.4 On ships constructed of material other than steel or metal, the Administration shall approve the method of marking the ship identification number."
109
SOLASCont'erence, December 2002 The following new regulation 5 is added after the existingregulation 4:
"Regulation
5 ContinuousSynopsis Record 1 Every ship to which chapter I applies shall be issued with a Continuous SynopsisRecord. 2.1 The Continuous SynopsisRecord is intended to provide an on-board record of the history of the ship with respect to the information recorded tnerern. 2.2 For ships constructed before 1 July 2004, the Continuous Synopsis Record shall, at least, provide the history of the ship as from l July 2004. 3 The Continuous SynopsisRecord shall be issued by the Administration to each ship that is entitled to fly its flag and it shall contain, at least, the following information: .1
the name of the State whose flag the ship is entitled to fly;
.2
the date on which the ship was registered with that State;
.3
the ship's identification number in accordance with regulation a
.4
the name of the ship;
.5
the port at which the ship is registered;
.6
the name of the registered owner(s) and their registered address(es);
.7
the name of the registered bareboat charterer(s) and their registeredaddress(es), if applicable;
.8
the name of the Company, as de6.ned in regulation IX/1, its registered addressand the address(es)from where it carries out the safery-managemen t activities;
.9
the name of all classification sociery(ies)with which the ship is classed;
.10
the name of the Administration or of the Contracting Government or of the recognized organization which has issued the Document of Compliance (or the Interim Document of Compliance), specifiedin the ISM Code asdefined in regulation IX/1, to the Company operating the ship and the name of the body which has carried out the audit on the basis of which the Document was issued,if other than that issuingthe Document;
.tl
the name of the Administration or of the Contracting Government or of the recognized organization that has issueJ the Safety Management Certificate (or the Interim SaGty
110
Amendmentsto 501,45 chaaterXI Management Certificate), specificdin the ISM Code as defined in regulation IX/1, to the ship and the name of the body which has carried out the audit on the basis of which the Certificate was issued,if other than that issuing the Certificate; .12
the name of the Administration or of the Contracting Government or of the recognized security organization that has issued the International Ship Security Certificate (or the Interim International Ship Security Certificate), specified in part A of the ISPS Code as defined in regulation Xl-211,, to the ship and the name of the body which has carried out the verification on the basisof which the Certificate was issued, if other than that issuing the Certificate; and
.13
the date on which the ship ceasedto be registeredwith that State.
4.1 Any changes relating to thc entries referred to in paragraphs3.4 to 3.12 shallbe recordedin the Continuous SynopsisRecord so as to provide updated and current information together with the history of the changes. 4.2 In casc ofany changesrelating to the entries referred to in paragraph 4.1, the Admrnistration shall issue,as soon as is practicallypossiblebut not later than three months from the date of the change, to the ships entitled to fly its flag either a revisedand updated version of the Continuous Synopsis Record or appropriateamendmentsthereto. 4.3 In caseofany changesrelating to the entries referred to in paragraph 4.1, the Administration, pending the issueof a revisedand updated version of the Continuous Synopsis Record, shall authorize and require either the Company as defined in regulation IX/1 or the master of the ship to amend the Continuous SynopsisRecord to reflect the changes.In such cases,after the Continuous SynopsisRecord has been amended, the Company shall, without delay, inform the Adrninistration accordingly. 5.1 The Continuous Syropsis Record shall be in English, French or Spanishlanguage.Additionally, a translation of the Continuous Synopsis Record into the ofilcial languageor languagesof the Administration may be provided. 5.2 The Continuous SynopsisRecord shall be in the format developed by the Organization and shall be maintained in accordance with guidelines developed by the Organization. Any previous entries in the Continuous SynopsisRecord shall not be modified, deleted or, in any way, erasedor defaced. 6 Whenever a ship is transferred to the flag of another State or the ship is sold to another owner (or is taken over by another bareboatcharterer)or another Company assumesthe responsibilityfor the operation of the ship, the Continuous Synopsis Record shall be left on board.
11r
SOLASConJerence, December 2002 7 When a ship is to be transferred to the flag of another State, the Company shall notifli the Administration of the name of the State under whose flag the ship is to be transferredso as to enablethe Administration ro forward to that State a copy of the Continuous SynopsisRecord covering the pcriod during which the ship was under its jurisdiction. 8 When a ship is transferred to the flag of another State the Government ofwhich is a Contracting Government, the Contracting Government of the Statc whose flag thc ihip was flying hitherto shill rransmir ro the Administration, as soon as possibleafter the transfertakesplacc, a copy of the relevant Continuous Synopsis Record covering the period during which the ship was under their jurisdiction together with any Continuous SynopsisRecords previously issuedto the ship by other States. 9 When a ship is transferred to the flag of another State, the Administration shall append the previous Conrinuous Synopsis Records to thc Continuous SynopsisRecord the Administration will issue to the ship so to provide the continuous history record intended by this regulation. 10 The Continuous SynopsisRecord shallbe kept on board the ship and shall be availablefor inspection at all times." 7 The following new chapter XI-2 is inserted after the renumbered chaater XI-l :
..CHAPTER XI-2 Special measuresto enhance maritime security
Regulation 1 Definitions I
For the purpose of this chapter, unlessexpresslyprovided otherwise: .1 .2 .3
Bulk carriermeansa bulk carrier as defined in regulation IXl1.6. Chemicaltanker meansachemical rankerasdefined in rezulation
vru8.2.
Cas caniermeansa gascarrier as defined in regulation VIU11.2.
.4
High-speedcraft means a craft as defined in regulation X11.2.
.5
Mobile ofshore drilling unit means a mechanica\ propelled mobile oftihore drilling unit, as defined in regulation IX/1, not on location.
.6
Oil tankermeansan oil tanker as defined in regulation II-112.12.
.7
Companymeans a Company as defined in regulation IX/1.
112
Amendmentsto SOIAS chapterXI .8
mcans the interactionsthat occur when a ship Ship/portinteyface is directly and immediately affected by actions involving thc movement ofpersons,goods or the provisionsof port scrvicesto or from the ship.
.9
Port facility is a location, as determined by thc Contracting Government or by the DesignatedAuthority, where the ship/ port inteface takesplace.This includesareassuch asanchorages, waiting berths and approachesfrom seaward,as appropriate.
. 1 0 Ship-to-shipactiuity means any activity not related to a port faciliry that involves the transferofgoods or personsfrom one ship to another.
. 1 1 DesignatedAuthority means the organization(s)or the administration(s) identified, within the Contracting Government, as responsiblefor ensuring the implementation of the provisions of this chapter pertaining to port faciliry security and ship/port interface,from the point of view of the port facility.
. 1 2 InternationalShip and Port Facility Security(fSPS/ Code means the International Code for the Securiry of Ships and of Port Facilitiesconsisting of part A (the provisions of which shall be treated as mandatory) and part B (the provisions of which shall be treated as recommendatory), as adopted, on 12 December 2002, by resolution 2 of the ConGrence of Contracting Governments to the International Convention for the Safety of Life at Sea, 1974 as may be amended by the Organization, provided that: .1
amendmentsto part A of the Code are adopted, brought into force and take effectin accordancewith articleVIII of the present Convention concerning the amendment proceduresapplicableto the Annex other than chapter I;
.2
amendments to part B of the Code are adopted by the Maritirne SafetyCommittee in accordancewith its Rules of Procedurc.
. 1 3 S c c u r i t yi n c i d t n t m e r n s r n y s t l s p i c i o u sa c t o r c i r c r t m s t a n c c threatcning the security of a ship, including a mobile offshorc drilling unit and a high-spccd craft, or of a port faciliry or of any ship/port interface or any ship-to-ship activity. .14
Securityleveln:tcansthe qualification of the degreeof risk that a security incident will be attempted or will occur.
. t 5 Declaratiottof Scruritynleans an agreementreached between a ship and either a port facility or another ship with which it interfaces,specif,ing the securirymeasureseachwill implctnent.
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SOLASConference. December 2002 .16
Recognizedsecurity organization means an organization with appropnate expertise in security matters and with appropriate knowledge of ship and port operations authorized to carry out an assessment, or a verification, or an approval or a certification activity, required by this chapteror by part A of the ISPS Code. "ship", 2 The term when used in regulations3 to 13, includes mobile o{l3hore drilling units and high-speed craft. "all 3 The term ships", when used in this chapter, means any ship to which this chapter applies. "Contracting 4 The term Government", when used in regulations3, 4, 7 and 10 to 13, includes a referenceto the DesignatedAuthority.
Regulation 2 Application I
This chapterappliesto: .1
the following rypes of ships engagedon international voyages: .,l.1 passengerships,including high-speedpassengercraft; .1.2 cargo ships, including high-speed craft, of 500 gross tonnage and upwards; and .1.3 mobile offshore drilling units; and
.2
port facilities serving such ships engaged on international voyages.
2 Notwithstanding the provisions of paragraph 1.2, Contracting Governments shall decide the extent of application of this chapter and of the relevant sections of part A of the ISPS Code to those port facilities within their territory which, although used primarily by ships not engaged on international voyages, are required, occasionally, to serve ships arriving or departing on an international voyage. 2.1 Contracting Governments shall base their decisions, under paragraph2, on a port Acility securiry assessmentcarried out in accordance with the provisions of part A of the ISPS Code. 2.2 Any decision which a Contracting Government makes, under paragraph 2, shall not compromise the level of security intended to be achievedby this chapter or by part A ofthe ISPS Code. 3 This chapter does not apply to warships, naval auxiliaries or other ships owned or operated by a Contracting Govemment and used only on Government non-commercial service. 4 Nothing in this chapter shall prejudice the rights or obligations of Statesunder intemational law.
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Amendmentsto SOI,4SchapterXI
Regulation 3 with Obligationsof ContractingCouernments respect to security 1 Administrations shall set security levels and ensure the provision of security level information to ships entitled to fly their flag. When changesin security level occur, securiry-level inforrnation shall be updated as the circumstancedictates. 2 Contracting Governments shall set security levels and ensure the provision of security-level information to port facilities within their territory, and to ships prior to entering a port or whilst in a port within their territory. When changes in security level occur, security-level information shall be updated as the circumstancedictates.
Regulation 4 andships Requirements for Companies 1 Companies shall comply with the relevant requirements of this chaptcr and of part A of the ISPS Code, taking into account the guidance given in part B of the ISPS Codc. 2 Ships shall comply with the relevant requirements of this chapter and of part A of the ISPS Code, taking into account the guidancegiven in part B of the ISPS Code, and such compliance shall be verified and certified as provided for in part A of the ISPS Code. Prior to entering a port or whilst in a port within the territory of a 3 Contracting Government, a ship shall comply with the requirements for the security level set by that Contracting Government, if such securiry level is higher than the securiry level set by the Administration for that ship. 4 Ships shall respond without undue delay to any change to a higher securirylevel. 5 Where a ship is not in compliance with the requirements of this chapter or of part A of the ISPS Code, or cannot comply with the requirements of the securiry level set by the Administration or by another Contracting Government and applicable to that ship, then the ship shall noti4/ the appropriatecompetent authority prior to conducting any ship/ port interface or prior to entry into port, whichever occurs earlier.
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December 2002 SOLASConference,
Regulation 5 Specificresponsibility of C ompanies The Company shall ensure that the nuster has availableon board, at all times, information through which officersduly authorizedby a Contracting Government can establish: .1
who is responsiblefor appointing the members of the crew or other personscurrently employed or engagedon board the ship in any capacityon the businessof that ship;
.2
who is responsiblefor deciding the employment of the ship; and
.3
in caseswhere the ship is employed under the terms of charter party(ies),who are the parties to such charter parry(ies).
Regulation 6 Ship securityalertsystem* 1
All shipsshallbe provided with a ship secunryalert system,asfollows: .l .2
2
ships constructed on or after 1 July 2004; passengerships, including high-speed passengercraft, constructedbcfore 7 July 2001, not later than the first survey of the radio installation after l July 2004;
.3
oil tankers,chemicaltankers,gascarricrs,bulk carriersand cargo high-speedcraft, of 500 grosstonnageand upwards constructed before 1 July 2004, not later than the first survey of the radio 'l installation after July 2004; and
.4
other cargo ships of 500 gross tonnage and upward and mobile ofthore drilling units constructcd before 1 July 2004, not later than the first survey of the radio installation after 1 July 2006.
Thc ship security alert system,when activated,shall: .1
initiate and transrnit a ship-to-shore securiry alert to a competent authority designatedby the Administration, which in these circumstancesmay includc the Company, identiSring the ship, its location and indicating that the security of the ship is under threat or it has been cornpromised;
.2
not send thc ship security alert to any other ships;
.3
not raiseany alann on board the ship; and
.4
continue the ship securiryalert until deactivatedand/or reset.
'
I\ctcr to thc pcr{orrn:rncc standards for a ship securitv alcrt systcn.radopte.d by rcsolution MSC.136(76).
I16
Amendmentsto 501,45 chaprt, -r, 3
The ship security alert systernshall: .1
be capableof being activatedfrom the navigationbridge and in at leastone other location; and
.2
conform to perfonnancestandardsnot inferior to those adopted by thc Organization.
4 The ship securityalert systemactivation points shallbe designedso as to prevent the inadvertent initiation of the ship security alert. Thc requirement for a ship security alert system may be complied 5 with by using the radio installation fittcd for compliance with the requirements of chapter IV, provided all requirements of this regulation are complicd with. 'When an Administration receivesnotification of a ship security alert, 6 that Administration shall immediately notify the State(s)in the viciniry of which the ship is presently operating. 7 When a Contracting Government receives notification of a ship securityalert from a ship which is not entitlcd to fly its flag, that Contracting Government shall immediately notiS' the relevant Administration and, if appropriate, the State($ in the vicinity of which the ship is presently operatlng.
Regulation 7 Threatsto ships 1 Contracting Govemments shall set securiry levels and ensure the provision of security-ievel information to ships operating in their territorial seaor having communicated an intention to enter their territorial sea. 2 Contracting Governments shall provide a point of contact through and to which such ships which such ships can request advice or assistance can report any security concerns about other ships, movements or communications. 3 Where a risk of attack has been identified, thc Contracting Government concerned shall advise the ships concerned and thcir Administrations of; .l
the current securify levcl;
.2
any security measuresthat should be put in place by thc ships concerned to protect themselvesfrom attack, in accordance with the provisions of part A of the ISPS Code; and
.3
security measuresthat the coastalState has decidcd to put in place.as appropriate.
I17
December 2002 SOIASConference,
Regulation 8 Master'sdiscretion for ship safetyand security The mastershallnot be constrainedby the Company, the chartereror I any other person from taking or exccuting any decision which, in the professionaljudgement of the master,is necessaryto maintain the safetyand security of the ship. This includes denial of accessto persons(except those identified as duly authorized by a Contracting Government) or their effects and refusal to load cargo, including containers or other closed cargo transport un1ts. 2 lf, in the professionaljudgement of the master,a conflict between any saGty and security requirements applicable to the ship arises during its operations,the master shall grve effect to those requirementsnecessaryto maintain the safetyof the ship. In such cases,the master may implement temporary security measuresand shall forthwith inform the Administration and, if appropriate,the Contracting Government in whose port the ship is operatingor intends to enter. Any such temporary security measuresunder this regulation shall, to the highest possibledegree,be commensuratewith the prevailing security level. When such cases are identified, the Administration shall ensure that such conflicts are resolved and that the possibility of recurrenceis minimized.
Regulation 9 medsures Control and compliance I
Control of ships in port
1.1 For the purpose of this chapter, every ship to which this chapter applies is subject to control when in a port of another Contracting Government by oficers duly authorized by that Government, who may be the sameasthose carrying out the functions of regulation I/19. Such control shallbe linrited to verifying that there is on board a valid Intemational Ship Security Certificate or a valid Interim InternationalShip Security Certificate issued under the provisions of part A of the ISPS Code ("Certificate"), which if valid shall be accepted,unlessthere are clear grounds for believrng that the ship is not in cornpliancewith the requirementsof this chapter or part A of the ISPS Code. 'When 1.2 there are such clear grounds, or when no valid Certificate rs produced when required, the officers duly authorized by the Contracting Government shall impose any one or nlore control measuresin relation to that ship asprovided in paragraph1.3. Any such measuresimposed must be proportionate, taking into account the guidancegiven in part B of the ISPS Code.
118
Amendmentsto SOLASchapter XI 1.3 Such control measuresare as follows: inspection of the ship, delaying the ship, detention of the ship, restrictiorr of operations, including movelnent within the port, or expulsion of the ship from port. Such control measuresmay additionally or alternatively include other lesser rdministrativeor corrcctivcmeasurcs. 2
Ships intending to enter a port of another Contracting Government
2.1 For the purposc of this chapter, a Contracting Government may require that ships intending to enter its ports provide the following inforrnation to o{ficers duly authorized by that Government to ensurc compliarrce with this chapter prior to entry into port with the aim of avoiding the need to impose control lneasuresor steps: .1
that the ship possesses a valid Certificate and the name of its issuingauthoriry:
.2
the security level at which the ship is currently operating;
.3
the securitylevel at which the ship operatedin any previousport where it has conducted a ship/port interface within the timeframe specifiedin paragraph2.3;
.4
any specialor additional security measuresthat were taken by the ship in any previous port where it hasconducted a ship/port intcrface within the timcframe specifiedin paragraph2.3;
.5
that thc appropriate ship sccurity proceduresrvere naintained during any ship-to-ship activity within the timcframe specified in paragaph 2.3; or
.6
other practical security-relatcdinformation (but not details of the ship securityplan), taking into account the guidancegiven rn part B of thc ISPS Code.
If rcquestedby the Contracting Governmcnt, the ship or thc Company shall providc confirmation, acccptabieto that Contracting Government, of thc infonnation required above. 2.2 Every ship to which this chapterappliesintending to enter the port of another Contracting Governmetrt shall provide the information described in paragrapir2.1 on the requcst of the officers duly authorizcd by that Governnrent. The master may dccline to provide such information on the understandingthat failure to do so rnay result in denial of entry into port. 2.3 The ship shall keep rccords of the information referred to in paragraph 2.1 for the last 10 calls at port facilitics. 2.4 If; after receipt of the infonnation describedin paragraph2.1, officers duiy authorized by the Contracting Government of the port in which the ship intends to enter have cleargrounds for believing that the ship is in non-
119
SOLASConJerence, December 2002 cornpiiancc with the requirements of this chapter or part A of the ISPS Code, such officers shall attempt to establishcommunication with and berween the ship and the Administration in order to rectify rhe noncompliance. If such communication does not result in rectification, or if such officers have clear grounds otherwise fbr believing that the ship is in non-compliance with the requirementsof this chapteror part A of the ISPS Code, such oltrcers may take stepsin rclation to that ship as provided in paragraph2.5. Any such steps taken must be proportionate, taking into account the guidancegiven in part B of the ISPS Code. 2.5
Such stepsare as follows: .1
a requirement for the rectification of the non-compliance;
.2
a rcquirement that the ship proceed to a location specifiedin the tcrritorial sea or internal waters of that Contractins Government;
.3
inspection of the ship, if the ship is in the territorial seaof the Contracting Government the port of which the ship intends to enter; or
.4
denialof entry into port.
Prior to initiating any such steps, the ship shall be informed by the Contracting Government of its intentions. lJpon this information the master may withdraw the intention to enter that port. In such cases,this regulation shall not apply.
3 3.1
Additional provisions In the event: .1
of thc imposition of a control measure, other than a lesser administrative or corrective measure, referred to in paragraph 1 . 3 ;o r
.2
any of thc steps referred to in paragraph 2.5 are taken,
an ofhcer duly authorizedby the Contracting Government shall forthwith inform in writing the Administration specifying which control measures have been imposed or stepstaken and the rcasonsthereof, The Contracting Government imposing the control measuresor steps shall also notify the recognizedsecurityorganizationwhich issuedthe Certificate relating to the ship concerncd and the Organization when any such control measureshave been imposed or stepstaken. 3.2 When entry into port is denied or the ship is expelled from port, the authorities of the port State should communicate the appropriate facts to the authorities of the State of the next appropriate ports of call, when known, and any othcr appropriatecoastalStatcs,taking into account guidelinesto be
t20
Amendmentsto SOLASchapterXI devcloped by the Organization. Confidentiality and security of such notification shall be ensured. 3.3 Denial of cntry into port. pursuant to paragraphs2.4 and 2.5, or expulsion from port, pursuant to paragraphs1.1 to 1.3, shall only be imposed where the officers duly authorized by the Contracting Government have clear grounds to believe that the ship posesan immediate threat to the security or safetyof persons,or of ships or other properfy and there arc no other appropriatemcans for removing that threat. 3.4 The control measuresreferred to in paragraph 1.3 and the steps referred to in paragraph 2.5 shall only be imposed, pursuant to this regulation, until the non-compliance giving rise to the control measuresor stepshasbccn correctedto the satisfactionof the Contracting Government, taking into account actions proposed by the ship or the Administration, if any. 3.5 When Contracting Governrncntsexercisecontrol under paragraph1 or take stepsunder paragraph2: .1
all possibie eflorts shall bc made to avoid a ship being unduly detained or delayed. If a ship is thereby unduly detained, or dclayed, it shall be entitled to compensation for any ioss or darnagesuflered; and
.2
necessaryaccessto the ship shallnot be preventedfor emergency or humanitarian reasonsand for securirypurposes.
Regulation 10 Requirements for portfacilities I Port facilities shall comply with the relevant requirements of this chapter and part A of thc ISPS Code, taking into account the guidance given in part B of the ISPS Code. 2 Contracting Governmentswith a port Acility or port facilitieswithin their territory, to which this regulation applies,shall ensure that: .l
port facility security assessments are carried out, reviewed and approved in accordanccwith the provisions of part A of the ISPS Code; and
.2
port facility security plans arc developed, reviewed, approved and implemented in accordancewith the provisions of part A of the ISPS Codc.
3 Contracting Governments shall designate and communicate the mcaslrrcsrequired to be addressedin a port facility securiry plan for the various security levels,inch-rdingwhcn the subnrissionof a l)eclaration of Securitv will bc rcquired.
t21
December SOI,4SConference, 2002
Regulation 11 Alternatiuesecurityagreements 1 Contracting Governmentsmay, when implernenting this chapter and part A of the ISPS Code, conclude in writing bilateral or multilateral agrccmcnts with other Contracting Governments on alternative securiry arrangementscovering short international voyageson fixed routes between port facilitieslocated within their territories. 2 Any such agreement shail not compromise the level of security of other ships or of port facilitiesnot covered by the agrecment. No ship coveredby such an agreementshallconduct any ship-to-ship 3 activities with any ship not covered by the agreement. 4 Such agrecmentsshall be reviewed periodically, taking into account the experiencegainedaswell as any changesin the particular circumstances or the assessed threatsto the security of the ships, the port facilities or the routes covered by the agreemcnt.
Regulation L2 Equiualentsecurityanangements 1 An Adnrinistration may allow a particular ship or a group of ships entitled to fly its flag to implement other securiw measuresequivalent to thoseprescribedin this chapteror in part A of the ISPSCode, provided such securitymeasuresare at leastaseffectiveasthoseprescribedin this chapteror part A of the ISPS Code. The Adnrinistration which allows such securiry measuresshall communicate to the Organization particulars thereof, 2 When implementing this chapter and part A of the ISPS Code, a Contracting Government may allorv a particular port Aciliry or a group of port facilities located within its territory, other than those covered by an agreementconcluded under regulation 11, to implement security measures equivalentto those prescribedin this chapteror in part A of the ISPS Code, provided such securirymeasuresare at leastaseffectiveasthoseprescribedin this chapter or part A of the ISPS Code. The Contracting Government which allows such securitymeasuresshallcommunicate to the Organization particulars thereof.
Regulation 13 C ommunicat ion of informat ion 1 Contracting Governments shall, not latcr than 1 July 2004, communicate to the Organization and shall make available for the inforrnation of Companies and ships: .1 the names and contact details of their national authority or authoritics responsiblefor ship and port facility security;
122
Amendmentsto SOI,4SchapterXl .2
thc locations within their territory covered by approved port faciliry security plans;
.3
the narnesand contact details of those who have been designated to be availableat all times to receive and act upon the ship-toshore securiry alerts referred to in regulation 6.2.1;
.4
the narnesand contact detailsof thoser.vhohavebeen designated to be available at all times to receive and act upon any communications from Contracting Govemments exercising control and compliance measures referred to in regulation 9 . 3 . 1 ;a n d
.5
the namesand contact detailsof thosewho havebeen designated to be availableat all times to provide advice or assistanceto ships and to whom shipscan report any security concernsreferred to in regulation 7.2
and thereafter update such information asand when changesrelating thereto occur. The Organization shall circulate such particularsto other Contracting Governments for the information of their ofEcers. 2 Contracting Governments shall, not later than l July 2004, communicate to the Organization the namesand contact detailsof any recognized securityorganizationsauthorizedto act on their behalf together with details of the specificresponsibiliryand conditions of authority delegatedto such organizations.Such information shall be updated as and when changes rclating thereto occur. The Organization shall circulate such particularsto other Contracting Governments for the information of their officers. 3 Contracting Governments shall, not later than I July 2004, communicate to the Organization a iist showing the approved port facility security plans for the port facilities located within their territory together with the location or locations covered by each approved port Acility security plan and the corresponding date of approval and thereafter shall furthcr communicate when any of the following changestake place: .l
changesin the location or locationscoveredby an approvedport faciliry security plan are to be introduced or have been introduced. In such casesthe information to be communicated shallindicate the changesin the location or locationscoveredby thc plan and the date as of which such changcs are to be introduced or were implemented;
.2
an approved port facility security plan, previously included in the list submitted to the Organization,is to be withdrawn or has been withdrawn. In such cases, the information to be communicated shall indicate the date on which the withdrawal will take effect or was implemented. In these cases, the communication shall be made to the Orsanization as soon as is practicallypossible;and
123
501,45 Conference,December2002 .3
additions are to bc made to the list of approved port facility security plans. In such cases,the information to be communicated shall indicate the location or locations covered by the plan and the date ofapproval.
4 Contracting Governments shall, at five year intervals after l July 2004, communicate to thc Organization a revised and updated list showing all the approved port faciliry security plans for the port facilities located within their territory together with the location or locations covered by each approvedport faciliry securiryplan and the correspondingdate ofapproval (and the date of approval of any amendrnents thereto) which will supersede and rcplacc all information communicated to the Organization,pursuant to paragraph 3, during the preceding five years. 5 Contracting Governments shall comrlunicate to the Organization information that an agreement under regulation 11 has been concluded. The infonnation conrmunicated shall include: .1
the names of the Contractins Governments which have concludedthe agrcement:
.2
the port facilities and the fixed routes covered by the agreement;
.3
the penodicity of review of the agreement;
.4
the date of entry into force of the agreement; and
.5
information on any consultationswhich have taken place with other Contracting Govemments
and thereafter shall communicate, as soon as practically possible, to the Organization information when the agreementhas been amended or has ended. Any Contracting Government which allows, under the provisions of 6 regulation 1.2, any equivalent security arrangementswith respect to a ship entitled to fly its flag or with respect to a port facility located within its territory shall communicatc to the Organization particularsthereof. 7 Thc Organization shall make availablethe information communicated under paragraph3 to other Contracting Governments upon request.
l)1
Conference resolution 3 (adoptedon 12 December 2002)
Further work by the International Maritime Organi zation pertaining to the enhancement of maritime securitv THE CoNFERINCE, HAVING ADOPTED amendments to thc International Convention for the Safcty of Life at Sea, 1974, as amended (hereinafter referred to as the Convention), concerning special measures to enhance maritime safery and
securiry, RTCOGNIZINGthe need for further work in the area of enhancementof maritime security and in order to ensure the global and uniform application and implementation of the specialmeasuresto enhancemaritime security adopted by the ConGrence, INVITESthe International Maritime Organization (hereinafter referred 1. "the Organization"), bearingin mind the provisionsof chapterXI-2 of to as the Convention and the InternationalShip and Port Faciliry Securiry (ISPS) "the ISPS Code"), to: Code (hereinafterreferred to as (")
develop training guidance such as model courses for ship securiryofEcers,company security oficers, port faciliry security ottrcersand company, ship and port security personnel;
(b)
review the Organization's Assembly resolution A.787(19) as amendedby resolution A.882(21) on Proceduresfor port State control and, if found necessary,develop appropriate amendmentsthereto;
(.)
considerthe need and, if necessary,develop further guidanceon control and compliance measureson aspectsother than those alreadyaddressedin part B of the ISPS Code;
(d)
consider the need and, if necessary,develop guidelines on recognizedsecuriryorganizations;
(.)
review the Organization's Assembly resolution A.890(21) on Principles of safe manning and, if found necessary,develop appropriateamendmentsthereto;
'
125
SOl,45Conference, December 2002 (0
review thc aspectof security of ships to which chapter Xl-2 of the Convention applies when interfacing with floating production storage units and floating storage units and take action as appropriate:
(g)
consider, in the context of security, relevant aspects of facilitation of maritime traltrc such as, for example, port arrivals anJ departures, standardized forms of reporting and electronicdatainterchangeand take action as appropriare:
(h)
rcview the Organization's Assembly resolution A.872(20) on Guidelines for the prevention and suppressionof the smuggLing of drugs, psychotropic substancesand precursor chemicals on ships engagedin international maritime traffic and, if necessary, develop appropriateamendmentsthereto; and
(i)
consider the need and, if necessary,develop any other guidance or guidelines to ensure the global, uniform and consistent implementation of the provisions of chapter XI-2 of the Convention or part A of the ISPS Code
and to adopt them in time before the entry into force of the amendments to the Convention adopted by the Conference or as and when the Organizationconsidersappropriate: 2. INVITESALSOthe Organization to carry out, asa matter of urgency,an impact assessmentof the proposals to implement the long-range identification and tracking of ships and, if found necessary,develop and adopt appropriate performance standardsand guidelines for long-range ship identificationand trackingsystems.
126
Conferenceresolution 4 (adopted 2002) on 12 December Future amendments to chapters XI-1 ar;'d Xl-2 of the 7974 SOLAS Convention on special measures to enhance maritime safety
and securitv THs CoNppRrNCE, Havmc ADOPTED amendments to the International Convention for the Safetyof Life at Sea(SOLAS),1974, as amended (hereinafterreGrred to as "the Convention"), concerning specialmeasuresto enhancemaritime saGty ano secunry, NotrNc the soecial nature of the measuresnow included in the new chapter XI-2 of the Convention aimed at enhancing maritime securiry, R-ECOGNIZINGthe need for urgent and special measures to enhance maritime security and the desire of Contracting Governments to bring these measuresinto force as soon as possible, NoTING ALSO that it may be necessary,due to the specialnature of the issuesinvolved, to frequently amend, in the future, the provisions of chapter XI-2 of the Convention in order to respond,in a proactive manner, to new or emerging security risks and threats, "Future REcarrINc Resolution 5 entitled amendments to chapter XI of the 1974 SOLAS Convention on special measuresto enhance maritime safety", adopted by the 1994 Conference of Contracting Governments to the International Convention for the Safetyof Life atSea, 1.974, DEslRtNc that future amendments to chaoters XI-1 and XI-2 of the Convention are adopted.brought into forceind given effectin the shortest possibletime, REcotr,lnalNDSthat future amendmentsto the provisions of chaptersXI-1 and XI-2 of the Convention should be adopted by either the Maritime Safety Committee of the International Maritime Organization in accordancewith article VIII(b) of the Convention or by a ConGrence of Contracting Governments to the Convention in accordance with article Vlll(c) thereof.
127
Conference resolution 5 (adoptedon 12 December 2002)
Promotion of technical co-operation and assistance Tse CoNTTRENCE. Havnc ADOPTEDamendments to the International Convention for the Safety of Life at Sea, 1974, as amended (hereinafter referred to as "the Convention"), concerning specialmeasuresto enhancemaritime saGtyand security, Rrcal-ltNc operative paragraph5 of resolution A.924(22) on Review of measuresand procedures to prevent acts of terrorism which threaten the security of parsengersand crews and the saferyof ships, adopted on 20 November 2001 by the Assembly of the International Maritime Organization (hereinafter referred to as "the Organization"), whereby the Secretary-Generalof the Organization is requested to take appropriate measures within the Integrated Technical Co-operation Programme to assistGovernments to assess, put in place or enhance,as the casemay be, appropriate infrastructure and measures to strengthen port safery and security so as to prevent and suppressterrorist acts directed againstports and port personnel as well as ships in port areas,passengers and crew, BEINc APPRECIATVEof the stepsalreadv taken bv'ofthe Secretarv-Generalof the Organization. in ,.rporlr. ro rhe request the Assembly oF rhe Organization, to provide assistanceto Statesin strengthening their maritime and port securiryinfrastructureand measures. R-ecocNlztxc the need for the development of appropriate legislation and the putting in place of appropriate infrastructure for ship and port Acility security and relevant training facilities in order to ensure the global and uniform applic.ationand.implementarion of the specialmeasuresadopted to ennance mannme secunry, RlcocNtzING ALSOthe importance of adequateeducation and training for seafirers and.port faciliry personnel to contribute to the overall efforts to ennancemantlme secunfy, RrCocNtzlNG FURTHER that, in some cases, there may be limited infrastructure, facilities and training programmes for obtaining the experience required for the purpose of preventing acts which threaten the security of ships and of port facilities,particular\ in developing countries,
t28
Resolrrrrr':--BnrrvtNc; that the promotion of technicalco-operation at the international leve1rvill assistthose Statesnot yet having adequateexpertiseor facilitiestbr providing training and expericncc to assess,put in place or enhance appropriateinfrastructureand, in general,implement the mcasuresrequired by the adopted amendmentsnecessaryto strengthenmaritime securiry on board ships and ashore, EMPHASIZING, in this regard,the vital role that safeand secureshipping and port operationsplay in sustainablesocio-ccononric development, 1. STRONGLYURGESContracting Governmentsto the Convention and Membcr Statesof the Organization to: (.)
provide, in co-operation with the Organization, assistanceto those Stateswhich have difhculty in implementing or meeting the reguirementsof the adoptedamendmentsor the ISPSCode;
(b)
use the Integrated Technical Co-operation Programme of the Organization asone of the main instruments to obtain assistance in advancing effective implementation of, and compliance with, the adopted amendmentsand the ISPS Code;
2. RTQUESTS the Secretary-Generalof the Organization to make adequate provision, within the Integrated Technical Co-operation Programme, to strengthen further the assistancethat is already being provided and to promote, in co-operation, as appropriate,with relevant internationalorganizations,the enhancementof the Organization'scapaciry to addressthe future needsofdeveloping countries for continued education and training and the improvement of their maritime and port securiry infrastructureand measures; 3. INVITESdonors, intcrnational organizationsand the shipping and port industry to contribute financial, human and/or in-kind rcsources to the IntegratedTcchnical Co-operation Programme of the Organization for its maritinreand port securityactivitics; 4. INvlrts ALSo the SecretaryGeneral to give early consideration to cstablishinga Maritime Security Trust Fund for the pulpose of providing a dedicated source of financiai support for maritime security technical cooperation activities and, in particular, for providing support for national initiatives in dcvcloping countries to strengthen their maritirne security infrastructureand nreasures.
r29
Conference resolution 6 (adoptedon 12 December 2002)
Early implementation of the special measuresto enhance maritime securitv J
TnE CoNTeRENCE. H,q.vrNc ADOPTED amendments to the International Convention for the "the Safety of Life at Sea, 1974, as amended (hereinafter referred to as Convention"), concerning specialmeasuresto enhancemaritime safetyand security, RtcocNIztNc thc important contribution that the implementation of the specialmeasuresadoptedwill make towards the safeand secureoperation of ships, for pollution prevention and for the saGryand security of those on board and ashore, RECOGNIZINGALSo that the task of implementing the requirements of chapter XI-2 of the Convention and of the International Ship and Port "the Facility Security (ISPS) Code (hereinafterreferred to as Code") will place a significant burden on Contracting Governments, Administrations, and recognizedsecuriryorganizations. RECALLINGthat the Code, from l Ju.ly2004, requires each ship to which the provisions of chapter XI-2 of the Convention and part A of the Code apply to be provided with an appropriate ship security plan, RECALLINGALSo that each such ship is required to be provided with an International Ship Security Certificate not later than l July 2004, R-ECocNIZINGFURTHERthat the processof veri!'ing the compliance of a ship, to which the provisionsof chapterXI-2 of the Convention and part A of the Code apply, with the requirementsof chapterXI-2 and of the Code cannot be undertaken until the ship securityplan hasbeen approvedand its provisions have been implemented on board, DESIRINGto ensurethe smooth implementation of the provisions of chapter XI-2 of the Convention and of the Code, BEaruNc IN MIND the difficulties experiencedduring implementation of the International SaferyManagement (lSM) Code, 1. DRAWS the attention of Contracting Governments to the Convention and the industry to the fact that neither chapter XI-2 of the Convention nor the Code provide for any extensionof the implementation
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Resolution6 dates tbr the introduction of the specialnleasuresconcerned to enhance maritimc sccuriry; 2. Uncrs Contracting Governmentsto take, asa matter of high priority, any action needed to finalize as soon as possiblc any legislative or adnrinistrativearrangements,which are required at the national level, to grve eflect to the rcquirements of the adopted amendments to the Convcntion (and the Code) relating to the certification of ships entitled to fly thcir flag or port facilitics situatedin their tcrritory; 3. RrcotvrvrNDS that Contracting Governments and Administrations concerneddesignatedates.in advanceofthe applicationdate oflJuly 2004, by which requcstsfor: .1
revicw and approval of ship security plans;
.2
verification and certification of ships;and
.3
review and approval of port facility securiry assessments and of port faciliry security plans
should be submitted in order to allow Contracting Governments, Administrations and rccognized security organizations time to complete the revicw and approvaland thc verification and certification processand for Companies, ships and port facilities to recti4zany non-compliancc; 4. INVITES Contracting Governmcnts, on and after 1 July 2004, to recognize and accept as valid and as meeting the requirements of chaptcr XI-2 of the Convention and part A of the Code any: .1
Ship security plans approved prior to 1 July 2004, pursuant to the provisions of part A of the Code, by Administrations or on their behale and
.2
International Ship Security Ccrtificates issued, prior to 1 July 2004, in accordancewith the provisions of part A of the Code, by Administrations or on their behalf
as far as theserelate to shipswhich, on 1 July 2004, were entitled to fly the flag of the State of the Administration which, or on behalf of which, the plan in question was approvcd or the certificatein qucstion was issued; FuunEn RrcoMMENt)S that Contracting Governments and the 5. industry take early appropriatc action to ensure that all ncccssary infrastructure is in place in time for the effective irnplementation of the adopted lneasLrres to enhanccmaritime security on board ships and ashore.
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Conferenceresolution7 (adopted on 12 December 2002) Establishment of appropriate measures to enhance the security of ships, port facilities, mobile offshore drilling units on location and fixed and floating platforms not covered by chapter Xl-2 of the 7974 SOLAS Convention Tnr CoNrst{ENCE, HRvtNc; ADOpTEDamendments to the Intcrnational Convention for the SaGty of Lifc at Sea, 1974, as amended (hereinafter referred to as "the Convention"), concerning specialmeasuresto enhanccmaritime safetyand
securiry, Rl,CantNc; that chapter XI-2 of the Convention appliesonly to: (.)
(b)
the following qpes of ships engagedon international voyages: .1
passengerships,including passengerhigh-speedcraft; and
.2
cargo ships,including cargo high-speedcraft, of 500 gross tonnage and upwards; and
.3
mobile ofilihore drilling units; and
port facilities serving such ships engaged on international voyages,
REcocNtztNG the important contribution that the implementation of the specialmeasuresadoptedwill make towards the safeand secureoperation of ships, for pollution prevention and for the safetyand securiry of those on board and ashore, RrcocNrzlNc ALSOthe need to addressand establishappropriatemeasures to enhance the security of ships and of port facilities other than those covered by chapter XI-2 of the Convention, RgcocNIztNG FURTHER that thc establishmentof such measureswill further enhance and positively contribute towards the international efforts to ensuremaritirnc securifyand to prevent and suppressactsthreateningthe security in the rnaritinle transport sector, 1. INvlrEs Contracting Governments to the Convention to establish,as thcy rnay consider nccessary, and to disseminate, as they deem fit,
t -)1.
ResolutionI appropriatcnleasuresto enhance the security of ships and of port facilities othcr than those covered by chapter XI-2 of the Convention; 2. ENCOURAGES,in particular, Contracting Governments to establish, as they may consider necessary,and to disseminate,as they deem fit, infomration to facilitate the interactions of ships and of port facilities to which chapter XI-2 of the Convention applieswith ships which are not covered by chapter XI-2 of the Convcntion; 3. ALso rNcoul{AGES Contracting Governments to establish,as they may considernecessary, and to disseminate,asthey deem fit, informatron to facilitatecontact and liaison bct'wcencomDanvand shio securitvofficersand the authoritiesresponsiblcfor thc securityoiport facllitiesnot coveredby chapterXI-2 of the Convention, prior to a ship entering, or anchoring off, sucn a port; 4. FURTHERENCOURAGES Contracting Governments,when exercising their responsibiliticsfor mobile oflshore drilling units and for fixed and floating platforms operating on their Continental Shelf or within their Exclusive Economic Zone, to ensure that any securiryprovisions applylng to such units and platfonns allow interaction with those applying to ships covered by chapter XI-2 of the Convention that serve, or operate in conjunction with, such units or platforms; 5. Requests Contracting Governments to infonn the Organization of any action they have taken in this respect.
t-)-)
Conference resolution 8 (adoptedon 12 December 2002)
Enhancement of security in co-operation with the International Labour Organization (Seafarers' rdentl?::
:?T:|J:J*;;*
onthe
Tnr CoNTERENCE, HAVING ADC)PTEDamendmcnts to the Intemational Convention for the "the Safety of Life at Sea, 1.974,as amended (hereinafter referred to as Convcntion"), concerning specialmcasuresto enhancemaritime safetyand security, Rlcc-tcNtztNG the important contribution that the implementation of the specialmeasuresadoptedwill rnake towards the safeand secureoperation of ships, for pollution prevcntion and for the safetyand securiry of those on board and ashorc. Recc>c;NtztNGALSOthe need to continuc the work and to establish,as the rrecdarises.further appropriatemeasurcsto enhance the security of ships and of oort facilities. Rrcc-rcNIztNc FUI\THEII that the dcvelooment and use of a verifiable Seafarers'Identity Docurnent will further .nh.tt.. and positively contribute towards the international efforts to ensure maritime security and to prevent and supprcssJcts rhrcrteningthe securiryirr thc maritinretransportsector. CocNtza.Nt of the competenciesand work of the International Labour "the ILO") in the arca of Organization (hcrcinafter referred to as dcvelopnrentand adoption ofthe international labour standards, zucALLIN(; thc Seafarers'Identity Docunrcnts Convention, 1958 (No. 108), adopted by the Intcrnational Labour Conference on 13 May 1958, which entered into forcc on 19 February 1961, RTcALLINGALSOthat the Governing Body of the ILO at its 283rd Session, "lmprovcd securiry lor seafarers' in March 2002, placcd the question of of the 91st Sessionof the as an urgent item on the agenda identification" International Labour Conference, to be held inJune 2003, with a view to the adoption of a Protocol to the Seafarcrs Identity Docurnents Convcntion, 1958 (No. 108),
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ResolutionNo. 8 Rrc:ALLIrl..GFURTHER the long-standing co-operation between the "the Intern:rtional Maritime Organization (hereinafter referred as C)rganization")and the ILO in the areaof international maritime transport, NclrrNc;. n'ith satisfaction,the work undertaken, so far, by the Governing Bod1. of the ILO and by thc International Labour OfTice on seafarers' identin. documents and on port and dock workcrs security, 1. INVITESthe ILO to continue the dcvclopment of a Seafarers'ldentiry Document as a matter of urgencv, which should cover, lnter alia, a document for professionalpurposes,a verifiablesecuritydocument and a certificationinformationdocument; R-Equnsrs the Organization to considerthe resultsof the 91st Sesston 2. "Improved security for of thc International Labour Conference on the seafarers'identification" and to take appropriate action, as it deems appropriate; INVITESStatesthrough their tripartite delegationsto participatein the 3. 91st Sessionof thc International Labour Confcrence, inJune 2003, and to give favourablcconsiderationto the earlicstpossibleratification, acceptance, approval or accessionto thc new ILO instrument concerning seafarers' identification documents, once it is adopted; INVITESthe Organization and the ILO to establisha joint ILO/IMO 4. Working Group to undertake any further work which rnay be rcquired on thc wider issueof port sccuriry, basedon the tcrms of referencesct out in the attachedanncx; RIQUESTS the Secretary-Generalof the Organization to contribute, 5. "lmproved with appropriate expertise, to the work of the ILO on the security for seafarers'idcntification"and to thc proposedjoint work on the widcr issueof port sccuriry; 6. REQUESTSthe Secretary-Generalof the Organization to transmit a copy of this resolution to thc Director-General of thc Internationai Labour OfEce.
IMO/ILO
Annex work on port security
TERMS OF REFERENCE POSSIBLE 1 The,lornt IMO/ILO Working Group on Port Security,having regard to the anrentlnlcrltsto the lnternational Convention for the Saferyof Lifc at Sea,1974 .rn!l rhe Inrc-rnationalShip and Port Facility Security (ISPS)Code adopted bv th.- l)r-cenrber2002 Conference of Contracting Governments
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SOLASConJerence, December 2002 to the International Convention for the Safetyof Life at Sea, 1974 for the purpose of introducing mandatory requirements and guidance relating to the enhanccment of the saGty and security of ships and of port facilities, should: .1
consider and recommend, for the purpose of enhancing security, saGry and the protection of the cnvironment, the form and content of any further guidance which may be required on the wider issue of port securify, including the relationship between ship and port security, and the wider security and safety and the protection of the environment considerationsrelevant to port areas,including the question of verifiable identification of those workins within these areasor having accessto such areas;
.2
consider the need for any mandatory requirements relating to the above and, if such a nccd is identified, to recommend the form and content of such requirements;and
.3
prepare and submit a report (including interim work and progress reports) on the aforesaid,together with the relevant reasonsandjustifications thereto, aswell as an assessment of the impact, benefits and costs of the recommendations, for the consideration of the International Maritime Organization and of the International Labour Organization.
The International Maritime Organization and the lnternational 2 Labour Organization will monitor the work of the joint IMO/ILO 'Working Group on Port Security and, as the need arises, will issue appropriate instructions and guidance to the Working Group.
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Conferenceresolution 9 (adopted 2002) on 12 December Enhancement of security in co-operation with the World Customs Or ganization (Closed cargo transport units) THs CclNrERrNCE, HRvtNc; ADOPTEDamcndments to the International Convention for thc "the Safety of Life at Sea, 1974, as amended (hereinafter referred to as Convention"), concerning specialmeaslrresto enhancemaritime safetyand security, Rncctc;NtztN(i the important contribution that the implementation of thc specialmeasuresadoptedwill make towards the safeand secureoperation of ships,for pollution prevention and for the sa{btyand securiry of those on board and ashore, Rp,cc)GNtztNGALSOthe need to addressand establishappropriatemcasures to enhance the security of ships and of port facilitiesin aspectsother than those covered by chapter XI-2 of the Convention, l{rcarrrNc that the Convention on Facilitation of International Maritime Traffic, 1965 already contains requirements related to the provision to Administrations of commercial data relatedto the movement of cargoesby sea, R-Ec:clcNtztNGFURTHER thc nccd to includc. in due course. in the Convention appropriaterequirernentsto addressspecificallythe security of "closed CTUs") and closcd cargo transportunits (hcrcinafterrefcrrcd to as rcquirements further positively contribute that such will enhance and towards thc international cfforts to ensuremaritime securityand to prevent and supprcssacts threatcning sccurity in the maritime transport sector, FuRtup,Rvc-tRr RECOCNIZINCtirc intcr-modal and internationalnature of closed CTUs movements, the need to ensure security of the cornplctc supply chain and thc rcspcctivcrolcs of all thosc involvcd, R-p,cRlLtNc ALSo the role of frontier agencies,in particular Customs Administrations, in controlling the international nrovement of closed CTUs. CocNtzRNr of the cornDetenciesand work of the World Customs "the WCO") in the area of Organization (hereinafter referred to es intcrnational r-n:rritinretransoort.
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December 2002 SOLASConJerence, REcalltNc FURTHERthe long-standing co-operation of the International "the Maritime Organization (hereinafterreferredto as Organization") with the WCO in the areaof internationai maritime transport, NortNG with satisfactionthe signingon 23July 2002 of a Memorandum of Understanding to strengthen the co-operation between the two Organizations, I. INVITES the WCO to consider, urgently, measures to enhancc security throughout international movements of closed CTUs; 2. Rrqunsrs the Secretary-General of the Organization to contribute expertise relating to maritime transport and, in particular, to the carriageof closed CTUs by seato the discussionsat the WCO; AcRrEs that the Convention should be amended, if and when 3. appropriate, to give effect to relevant decisions taken by the WCO and endorscd by thc Contracting Governmcnts to thc Convention insofar as they relate to the carriageof closed CTUs by sea; l{-eqursrs the Secretary-General of the Organization to transmit a 4. copy of this resolution to the Secretary-Generalof the'!UCO.
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Conferenceresolution 10 2002) (adopted on 12 December Early implementation of long-range ship's identification and tracking TnE CoNrcR-ENCE, the HAVING ADOpTED amendments to the Intemational Convention for"the Safety of Life at Sea, 1974, as amended (hereinafter referred to as Convention"), concerning specialmeasuresto enhancesafetyand security, RgCalltNC that long-range identification and tracking of ships at seais a measure that fully contributes to the enhancement of the maritime and coastalStates'security as a whole, HAVING ACKNowLEDGED that Inmarsat C polling is currently an appropriatesystemfor long-range identification and tracking ofships, ReCocNtztNG the importance of an early implementation of long-range identification and tracking of ships, ALSOthat thc equipment installed on board and ashorets R_EC()GNIZING availablefor irnmediate use and will allow the early implementation of such measures, URces Contracting Governmentsto take, asa matter of high prioriry. I. any action needed at nitional level to give effect to- implementing and beginning the long-range identification and tracking of ships; INVITESContracting Governments to encourageships entitled to fly 2. of their State to take the necessarymeasuresso that they are flag the p..prr.d to respond automatically to Inmarsat C polling, or to other availablesystems; REeUESTSContracting Governmentsto considerall aspectsreiatedto 3. the introduction of long-range identification and tracking of ships, including its potential for rnisuseas an aid to ship targeting and the nced for confider.rtialiryin rcspect of the information so gathered.
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Conferenceresolution 11 (adopted on 12 December 2002) Human-element-related aspects and shore leave for seafarers Trn CoNpER-ENCE, HAVING ADOPTED amendments to the International Convention for the Safery of Life at Sea, 1974, as amended (hereinafter referred to as "the Convention"), concerning specialmeasuresto enhancemaritime safetyand secunry, RrcocNIzlNG that the shipping industry and the smooth transportationof goods are essentialto world trade, REcRruNc that the Assembly of the International Maritime Organization (hereinafter referred to as "the Organization") adopted resolution 4.907(22) on the long-term work programrne of the Organization (up to 2008) and that the human element is an important item thereof, RECALLINGarso the provisions of the Convention on Facilitation of lnternational Maritime TrafEc, 1965, as amended, which has, inter alia, establisheda general right for foreign crew members to be entitled to shore leave while the ship on which they arrived is in port, provided that the formalities on arrival of the ship have been fulfilled and the public authoritieshave no reasonto refuseoerrnissionto come ashorefor reasons of public health, public saferyor public order, RTCALLING FURTHER the generally accepted principles of international human rights applicableto all workers, including seafarers, CclNslnEnlNG that, glven the global nature of the shipping industry, sealarers need specialprorection. BSINC; AWAIIE that seafarers work and live on ships involved in international trade and that acccssto shore facilitics and shorc leavc arc vitai elerncnts of seafarers'general well-being and, therefore, to the realizationof safcrseasand cleaneroceans, BErNc AwAR-EALSOthat the abiliry ro go ashoreis essentialfor joining and leaving a ship after the agreedperiod of service, L URc;Es Contracting Governntcnts to take the human element, the need to atTordspccialprotection to seafarersand thc critical importance of shorc lcavc into account whcn irnplementiltg thc provisionsof chapterXI-2
14[)
Resolutionll of thc Convention and the lnternational Ship and Port Facility (ISPS)Code (hereinaftcrreferred to as "the Code"); 2. ENCOUI\AGESContracting Governments, Member States of the Organization and non-governmental organizationswith consultativestatus at the Organization to report to the Organization any instanceswhere the hurnan elernent has been adverselyimpacted by the implementation of the provisions of chapter Xl-2 of the Convention or the Codc; and 3. REQUESTSthe Secretary-Gcneralto bring to the attention of the Maritirne Safety Committee and rhe Facilitation Commirtee of the Organization, any human-element-related problcms which have been communicated to the Organization as a result of the implementation of chapter XI-2 of the Convention or the Code.
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