isps-code.pdf

Foreword

The International Ship and Port Facilities Security Code (ISPS Code)

represents the culmination of just over a year's intense work by IMO's

Maritime Committee and its Maritime Security Working Group since the

twenty-second session of the Assembly adopted resolution A.924(22), on

the review of measures and procedures to prevent acts of terrorism which

threaten the security of passengers and crews and the safety of ships, in

November 2001. The ISPS Code was adopted by one of the resolutions that

were adopted on 12 December 2002 by the Conference of Contracting

Governments to the International Convention for the Safety of Life at Sea,

1974 (London, 9 to 13 December 2002). Another resolution also includes

the necessary amendments to chapters V and XI of SOLAS by which

compliance with the Code will become mandatory on 1 July 2004, if

deemed accepted on 1 January 2004. The existing chapter XI of SOLAS was

amended and re-identified as chapter XI-1 and a new chapter XI-2 was

adopted on special measures to enhance maritime security. The ISPS Code

and these amendments to SOLAS are set out in this publication, as are

other resolutions (relating to the work that will need to be completed before

the Code can be implemented in 2004 and the revision of the Code,

technical co-operation, and co-operative work with the International Labour

Organization and the World Customs Organization) that were adopted by

the Conference.

The objectives of this Code are to establish an international framework

involving co-operation between Contracting Governments, Government

agencies, local administrations and the shipping and port industries to

detect/assess security threats and take preventive measures against

security incidents affecting 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 ensuring

maritime security; to ensure the early and efficient collation and exchange

of security-related information; to provide a methodology for security

assessments so as to have in place plans and procedures to react to

changing security levels; and to ensure confidence that adequate and

proportionate maritime security measures are in place. The objectives are

to be achieved by the designation of appropriate officers/personnel on each

ship, in each port facility and in each shipping company to prepare and to

put into effect the 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 regarding the provisions of chapter XI-2 of SOLAS,

1974, as amended, and part A of the Code.

CONTENTS

Conference Resolution 2 : Adoption of the International Code for

the Security of Ships and of Port Facilities ........... 10

International Code for the Security of Ships and of Port

Facilities ...................................................... 12

Preamble ...................................................... 12

Part A: ......................................................... Mandatory

requirements regarding the provisions of chapter XI-

2 of the International Convention for the Safety of

Life at Sea, 1974, as amended

1 General ................................................. 15

Introduction ............................................ 15

Objectives............................................... 15

Functional requirements............................ 16

2 Definitions .............................................. 16

3 Application ............................................. 18

4 Responsibilities of Contracting Governments 19

5 Declaration of Security ............................. 20

6 Obligations of the Company ...................... 21

7 Ship Security .......................................... 21

8 Ship Security Assessment ......................... 23

9 Ship Security Plan ................................... 24

10 Records ................................................. 27

11 Company Security Officer .......................... 28

12 Ship Security Officer................................. 29

13 Training, drills and exercises on ship security 30

14 Port Facility Security ................................ 31

15 Port Facility Security Assessment .............. 32

16 Port Facility Security Plan ......................... 34

17 Port Facility Security Officer ...................... 36

18 Training, drills and exercises on port facility security

19 Verification and Certification for Ships ........ 38

Verifications ............................................ 38

Issue or endorsement of Certificate ............ 39

Duration and validity of Certificate.............. 40

Interim certification .................................. 42

Appendix to Part A

Appendix 1: Form of the International Ship Security Certificate

....................................................................45

Appendix 2: Form of the Interim International Ship Security

Certificate ...................................................... 50

Part B: Guidance regarding the provisions of chapter XI-2 of

the annex to the International Convention for the

Safety of Life at Sea, 1974, as amended and Part A of

this Code

1 Instruction ............................................. 52

General ................................................. 52

Responsibilities of Contracting Governments 53

Setting the security level .......................... 54

The Company and the Ship ....................... 55

The port facility ....................................... 56

Information and communication ................ 58

2 Definitions .............................................. 58

3 Application ............................................. 59

4 Responsibilities of Contracting Governments 59

Security of assessments and plans ............. 59

Designated authorities ............................. 59

Recognized Security Organizations ............ 59

Setting the security level .......................... 61

Contact points and information on Port Facility Security Plans

............................................................. 63

Identification documents .......................... 64

Fixed and floating platforms and mobile offshore drilling units

on location ............................................. 64

Ships which are not required to comply with part A of this

Code ..................................................... 64

Threats to ships and other incidents at sea . 65

Alternative security agreements ................ 66

Equivalent arrangements for port facilities .. 69

Manning level ......................................... 69

Control and compliance measures .............. 69

Non-party ships and ships below convention size 74

5 Declaration of Security ............................. 74

6 Obligations of the Company ...................... 76

7 Ship Security .......................................... 77

8 Ship Security Assessment ......................... 77

Securiry assessment ................................. 77

On-screen security survey ......................... 82

9 Ship Security Plan ................................... 83

General ................................................. 83

Organization and performance of ship security duties

Access to the ship ................................... 85

Restricted areas on the ship ..................... 89

Handling of cargo .................................... 91

Delivery of ship’s stores ........................... 93

Handling unaccompanied baggage ............. 94

Monitoring the Security of the Ship ............ 95

Differing security levels ............................ 97

Activities not covered by the Code ............. 98

Declarations of security ............................ 98

Audit and review ...................................... 98

10 Records ................................................. 98

11 Company Security Officer .......................... 99

12 Ship Security Officer................................. 99

13 Training, drills and exercises on ship security 99

Training .................................................. 99

Drills and exercises .................................. 102

14 Port Facility Security ................................ 102

15 Port Facility Security Assessment .............. 103

General ................................................. 103

Identification and evaluation of important assets and

infrastructure it is important to protect ....... 104

Identification of the possible threats to the assets and

infrastructure and the likelihood of their occurrence, in order to

establish and prioritise security measures ... 105

Identification, selection, and prioritisation of counter-measures

and procedural changes and their level of effectiveness in

reducing vulnerability .............................. 107

Identification of vulnerabilities .................. 107

16 Port Facility Security Plan ......................... 109

General ................................................. 109

Organization and performance of port facility security duties

............................................................. 110

Access to the port facility ......................... 112

Restricted areas within the port facility ....... 115

Handling of cargo .................................... 119

Delivery of ship’s stores ........................... 121

Handling unaccompanied baggage ............. 123

Monitoring the security of the port facility ... 124

Differing security levels ............................ 126

Activities not covered by the Code ............. 126

Declarations of security ............................ 126

Audit, review and amendment .................. 126

Approval of port facility security plans ........ 127

Statement of Compliance of a Port Facility .. 128

17 Port Facility Security Officer ...................... 128

18 Training, drills and exercises on port facility security

129

Training .................................................. 129

Drills and exercises .................................. 131

19 Verification and Certification for Ships ........ 131

Appendix to Part B

Appendix 1: Form of a Declaration of Security between a ship and

a port facility .................................................. 133

Appendix 2: Form of a Statement of Compliance of a Port Facility

.............................................................135

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