INTERNATIONAL SHIP AND PORT
FACILITY SECURITY
(ISPS) CODE
CONFERENCE
OF CONTRACTING GOVERNMENTS OF THE 1974 SOLAS CONVENTION ON MARITIME SECURITY
ADOPTION OF THE INTERNATIONAL SHIP AND PORT FACILITY
SECURITY (ISPS) CODE
(adopted
on 12 December 2002)
THE
CONFERENCE,
HAVING
ADOPTED amendments to the International Convention for the Safety of Life at
Sea, 1974, as amended (hereinafter referred to as "the Convention"),
concerning special measures to enhance maritime safety and security,
CONSIDERING
that the new chapter XI-2 of the Convention makes a reference to an
International Ship and Port Facility Security (ISPS) Code and requires that
ships, companies and port facilities to comply with the relevant requirements
of part A of the International Ship and Port Facility Security (ISPS) Code
(hereinafter referred to as "the Code"), as specified in the part A
of the Code,
BEING
OF THE OPINION that the implementation by Contracting Governments of the said
chapter will greatly contribute to the enhancement of maritime safety and
security and safeguarding those on board and ashore,
HAVING
CONSIDERED a draft of the Code prepared by the Maritime Safety Committee of the
International Maritime Organization (hereinafter referred to as "the
Organization"), at its seventy-fifth and seventy-sixth session, for
consideration and adoption by the Conference,
1.
ADOPTS the International Ship and Port Facility Security (ISPS) Code, the text
of which is set out in the Annex to the present resolution;
2.
INVITES Contracting Governments to the Convention to note that the Code will
take effect on July 2004 upon entry into force of the new chapter XI-2 of the
Convention;
3.
REQUESTS the Maritime Safety Committee to keep the Code under review and amend
it, as appropriate;
4.
REQUESTS the Secretary-General of the Organization to transmit certified copies
of the present resolution and the text of the Code contained in the Annex to
all Contracting Governments to the Convention;
5.
FURTHER REQUESTS the Secretary-General to transmit copies of this resolution
and its Annex to all Members of the Organization, which are not Contracting
Governments to the Convention.
INTERNATIONAL CODE FOR THE SECURITY OF
SHIPS AND OF PORT FACILITIES
1.
The Diplomatic Conference on Maritime Security held in London in December 2002
adopted new provisions in the International Convention for the Safety of Life
at Sea, 1974 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 twenty-second session
of the Assembly of the International Maritime Organization (the Organization),
in November 2001, unanimously agreed to the development of new measures
relating to the security of ships and of port facilities for adoption by a
Conference of Contracting Governments to the International Convention for the
Safety of Life at Sea, 1974 (known as the Diplomatic Conference on Maritime
Security) in December 2002. Preparation for the Diplomatic Conference was
entrusted to the Organization's Maritime Safety Committee (MSC) on the basis of
submissions 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 accelerate the development and the adoption of the appropriate
security measures established an MSC Intersessional Working 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 discussions was
reported to, and considered by, the seventy-fifth session of the MSC in May
2002, when an ad hoc Working Group was established to further develop the
proposals made. The seventy-fifth session of the MSC considered the report of
that Working Group and recommended that work should be taken forward through a
further MSC Intersessional Working Group, which was held in September 2002. The
seventy-sixth session of the MSC considered the outcome of the September 2002
session of the MSC Intersessional Working Group and the further work undertaken
by the MSC Working Group held in conjunction with the Committee's seventy-sixth
session in December 2002, immediately prior to the Diplomatic Conference and
agreed the final version of the proposed texts to be considered by the
Diplomatic Conference.
4.
The Diplomatic Conference (9 to 13 December 2002) also adopted amendments to
the existing provisions of the International Convention for the Safety of Life
at Sea, 1974 (SOLAS 74) accelerating the implementation of the requirement to
fit Automatic Identification Systems and adopted new Regulations in Chapter
XI-1 of SOLAS 74 covering marking of the Ship's Identification Number and the
carriage of a Continuous Synopsis Record. The Diplomatic Conference also
adopted a number of Conference Resolutions including those covering
implementation and revision of this Code, Technical Co-operation, and
co-operative work with the International Labour Organization and World Customs
Organization. It was recognised that review and amendment of certain of the new
provisions regarding maritime security may be required on completion of the
work of these two Organizations.
5.
The provision of Chapter XI-2 of SOLAS 74 and this Code apply to ships and to
port facilities. The extension of SOLAS 74 to cover port facilities was agreed
on the basis that SOLAS 74 offered the speediest means of ensuring the
necessary security measures entered into force and given effect quickly.
However, it was further agreed that the provisions relating to port facilities
should relate solely to the ship/port interface. The wider issue of the
security of port areas will be the subject of further joint work between the
International Maritime Organization and the International Labour Organization.
It was also agreed that the provisions should not extend to the actual response
to attacks or to any necessary clear-up activities after such an attack.
6.
In drafting the provision care has been taken to ensure compatibility with the
provisions of the International Convention on Standards of Training,
Certification and Watchkeeping and Certification for Seafarers, 1978, as
amended, the International Safety Management (ISM) Code and the harmonised
system of survey and certification.
7.
The provisions represent a significant change in the approach of the
international maritime industries to the issue of security in the maritime
transport sector. It is recognised that they may place a significant additional
burden on certain Contracting Governments. The importance of Technical Co-operation
to assist Contracting Governments implement the provisions is fully recognised.
8.
Implementation of the provisions will require continuing effective co-operation
and understanding between all those involved with, or using, ships and port
facilities including ship's personnel, port personnel, passengers, cargo
interests, ship and port management and those in National and Local Authorities
with security responsibilities. Existing practices and procedures will have to
be reviewed and changed if they do not provide an adequate level of security.
In the interests of enhanced maritime security additional responsibilities will
have to be carried by the shipping and port industries and by National and
Local Authorities.
9.
The guidance given in Part B of this Code should be taken into account when
implementing the security provisions set out in Chapter XI-2 of SOLAS 74 and in
Part A of this Code. However, it is recognised that the extent to which the
guidance applies may vary depending on the nature of the port facility and of
the ship, its trade and/or cargo.
10
Nothing in this Code shall be interpreted or applied in a manner inconsistent
with the proper respect of fundamental rights and freedoms as set out in
international instruments, particularly those relating to maritime workers and
refugees including the International Labour Organisation Declaration of
Fundamental Principles and Rights at Work as well as international standards
concerning maritime and port workers.
11
Recognizing that the Convention on the Facilitation of Maritime Traffic, 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 reasons of
public health, public safety or public order, Contracting Governments when
approving ship and port facility security plans should pay due cognisance to the
fact that ship's personnel live and work on the vessel and need shore leave and
access to shore based seafarer welfare facilities, including medical care.
PART A.
MANDATORY REQUIREMENTS REGARDING THE PROVISIONS OF CHAPTER XI-2 OF THE ANNEX TO
THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, AS AMENDED
This
part of the International Code for the Security of Ships and Port Facilities
contains mandatory provisions to which reference is made in chapter XI-2 of the
International Convention for the Safety of Life at Sea, 1974 as amended.
The
objectives of this Code are:
.1 to establish an
international framework involving cooperation between Contracting Governments,
Government agencies, 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 international 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 security assessments so as to have in place plans and procedures to react
to changing security levels; and
.5 to ensure confidence that
adequate and proportionate maritime security measures are in place.
In
order to achieve its objectives, this Code embodies a number of functional
requirements. These include, but are not limited to:
.1 gathering and assessing
information with respect to security threats and exchanging such information
with appropriate Contracting Governments;
.2 requiring the maintenance
of communication protocols for ships and port facilities;
.3 preventing unauthorized
access to ships, port facilities and their restricted areas;
.4 preventing the
introduction of unauthorized weapons, incendiary devices or explosives to ships
or port facilities;
.5 providing means for
raising the alert in reaction to security threats or security incidents;
.6 requiring ship and port
facility security plans based upon security assessments; and
.7 requiring training,
drills and exercises to ensure familiarity with security plans and procedures.
2.1
For the purpose of this part, unless expressly provided otherwise:
.1 Convention means the
International Convention for the Safety of Life at Sea, 1974 as amended.
.2 Regulation means a
regulation of the Convention.
.3 Chapter means a chapter
of the Convention.
.4 Ship security plan means
a plan developed to ensure the application of measures on board the ship
designed to protect persons on board, cargo, cargo transport units, ship's
stores or the ship from the risks of a security incident.
.5 Port facility security
plan means a plan developed to ensure the application of measures designed to
protect the port facility and ships, persons, cargo, cargo transport units and
ship's stores within the port facility from the risks of a security incident.
.6 Ship security officer
means the person on board the ship, accountable to the master, designated by
the Company as responsible for the security of the ship, including
implementation and maintenance of the ship security plan and for liaison with
the company security officer and port facility security officers.
.7 Company security officer
means the person designated by the Company for ensuring that a ship security
assessment is carried out; that a ship security plan is developed, submitted
for approval, and thereafter implemented and maintained and for liaison with
port facility security officers and the ship security officer.
.8 Port facility security
officer means the person designated as responsible for the development,
implementation, revision and maintenance of the port facility security plan and
for liaison with the ship security officers and company security officers.
.9 Security level 1 means
the level for which minimum appropriate protective security measures shall be
maintained at all times.
.10 Security level 2 means
the level for which appropriate additional protective security measures shall
be maintained for a period of time as a result of heightened risk of a security
incident.
.11 Security level 3 means
the level for which further specific protective security measures shall be
maintained for a limited period of time when a security incident is probable or
imminent, although it may not be possible to identify the specific target.
2.2
The term "ship", when used in this Code, includes mobile offshore
drilling units and high-speed craft as defined in regulation XI-2/1.
2.3
The term "Contracting Government" in connection with any reference to
a port facility, when used in sections 14 to 18, includes a reference to the
"Designated Authority".
2.4
Terms not otherwise defined in this part shall have the same meaning as the
meaning attributed to them in chapters I and XI-2.
3.1
This Code applies to:
.1 the following types of
ships engaged on international voyages:
.1 passenger ships,
including high-speed passenger craft;
.2 cargo ships, including
high-speed craft, of 500 gross tonnage and upwards; and
.3 mobile offshore drilling
units; and
.2 port facilities serving
such ships engaged on international voyages.
3.2
Notwithstanding the provisions of paragraph 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 primarily by ships not
engaged on international voyages, are required, occasionally, to serve ships
arriving or departing on an international voyage.
3.2.1 Contracting
Governments shall base their decisions, under paragraph 3.2, on a port facility
security assessment carried out in accordance with this part of the Code.
3.2.2 Any decision which a
Contracting Government makes, under paragraph 3.2, shall not compromise the
level of security intended to be achieved by chapter XI-2 or by this part of
the Code.
3.3
This Code does not apply to warships, naval auxiliaries and other ships owned
or operated by a Contracting Government and used only on Government
non-commercial service.
3.4
Sections 5 to 13 and 19 of this part apply to Companies and ships as specified
in regulation XI-2/4.
3.5
Sections 5 and 14 to 18 of this part apply to port facilities as specified in
regulation XI-2/10.
3.6
Nothing in this Code shall prejudice the rights or obligations of States under
international law.
4. RESPONSIBILITIES OF CONTRACTING
GOVERNMENTS
4.1
Subject to the provisions of regulations XI-2/3 and XI-2/7, Contracting
Governments shall set security levels and provide guidance for protection from
security incidents. Higher security levels indicate greater likelihood of
occurrence of a security incident. Factors to be considered in setting the
appropriate security level include:
.1 the degree that the
threat information is credible;
.2 the degree that the
threat information is corroborated;
.3 the degree that the
threat information is specific or imminent; and
.4 the potential
consequences of such a security incident.
4.2
Contracting Governments, when they set security level 3, shall issue, as
necessary, appropriate instructions and shall provide security related
information to the ships and port facilities that may be affected.
4.3
Contracting Governments may delegate to a recognized security organization
certain of their security related duties under chapter XI-2 and this part of
the Code with the exception of:
.1 setting of the applicable
security level;
.2 approving a Port Facility
Security Assessment and subsequent amendments to an approved assessment;
.3 determining the port
facilities which will be required to designate a Port Facility Security
Officer;
.4 approving a Port Facility
Security Plan and subsequent amendments to an approved plan;
.5 exercising control and
compliance measures pursuant to regulation XI-2/9; and
.6 establishing the
requirements for a Declaration of Security.
4.4
Contracting Governments shall, to the extent they consider appropriate, test
the effectiveness of the Ship or the Port Facility Security Plans, or of
amendments to such plans, they have approved, or, in the case of ships, of
plans which have been approved on their behalf.
5.1
Contracting Governments shall determine when a Declaration of Security is
required by assessing the risk the ship/port interface or ship-to-ship activity
poses to people, property or the environment.
5.2
A ship can request completion of a Declaration of Security when:
.1 the ship is operating at
a higher security level than the port facility or another ship it is
interfacing with;
.2 there is an agreement on
Declaration of Security between Contracting Governments covering certain
international voyages or specific ships on those voyages;
.3 there has been a security
threat or a security incident involving the ship or involving the port
facility, as applicable;
.4 the ship is at a port
which is not required to have and implement an approved port facility security
plan; or
.5 the ship is conducting
ship-to-ship activities with another ship not required to have and implement an
approved ship security plan.
5.3
Requests for the completion of a Declaration of Security, 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 officer on behalf of the ship(s); and, if appropriate,
.2 the port facility
security officer or, if the Contracting Government determines otherwise, by any
other body responsible for shore-side security, on behalf of the port facility.
5.5
The Declaration of Security shall address the security requirements that could
be shared between a port facility and a ship (or between ships) and shall state
the responsibility for each.
5.6
Contracting Governments shall specify, bearing in mind the provisions of regulation
XI-2/9.2.3, the minimum period for which Declarations of Security shall be kept
by the port facilities located within their territory.
5.7
Administrations shall specify, bearing in mind the provisions of regulation
XI-2/9.2.3, the minimum period for which Declarations of Security shall be kept
by ships entitled to fly their flag.