ISPS Code - 2003 Edition

The Code aims, amongst other things, to establish an international framework for co-operation 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 and to establish relevant roles and responsibilities at the national and international level. These objectives are to be achieved by the designation of appropriate personnel on each ship, in each port facility and in each shipowning company to make assessments and to put into effect the security plans that will be approved for each ship and port facility. The Conference also adopted several related resolutions, as well as amendments to chapters V and XI (now divided into chapters XI-1 and XI-2) of the SOLAS Convention, as amended. Under the new chapter XI-2, which provides the umbrella regulations, the ISPS Code became mandatory on 1 July 2004.

The Code is divided into two parts. Part A presents mandatory requirements, part B recommendatory guidance regarding the provisions of chapter XI-2 of the Convention and part A of the Code.

This publication includes the ISPS Code, relevant amendments to SOLAS and other resolutions of the Conference relating to work that had to be completed before the Code could be implemented in 2004, revision of the Code, technical co-operation and co-operative work with the International Labour Organization and the World Customs Organization.

Preamble

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.

Following the tragic events of 11th September 2001, the twentysecond 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.

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 seventyfifth 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.

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 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 recognized 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.

The provisions 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.

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 for Seafarers, 1978, as amended, the International Safety Management (ISM) Code and the harmonized system of survey and certification.

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 recognized 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 recognized.

Implementation of the provisions will require continuing effective cooperation 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.

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 recognized 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.

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 Organization Declaration of Fundamental Principles and Rights at Work as well as international standards concerning maritime and port workers.

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.

Conference resolution 2: Adoption of the International Code for the Security of Ships and of Port Facilities
International Code for the Security of Ships and of Port Facilities Preamble

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
Introduction
Objectives
Functional requirements
Definitions
Application
Responsibilities of Contracting Governments
Declaration of Security
Obligations of the Company
Ship security
Ship security assessment
Ship security plan
Records
Company security officer
Ship security officer
Training, drills and exercises on ship security
Port facility security
Port facility security assessment
Port facility security plan
Port facility security officer
Training, drills and exercises on port facility security
Verification and certification for ships
Verifications
Issue or endorsement of Certificate
Duration and validity of Certificate
Interim certification.
Appendix to part A Appendix 1: Form of the International Ship Security Certificate
Appendix 2: Form of the Interim International Ship Security Certificate

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
Introduction
General
Responsibilities of Contracting Governments
Setting the security level
The Company and the ship
The port facility
Information and communication
Definitions
Application
Responsibilities of Contracting Governments
Security of assessments and plans
Designated Authorities
Recognized security organizations
Setting the security level
Contact points and information on port facility security plans
Identification documents
Fixed and floating platforms and mobile offshore drilling units on location
Ships which are not required to comply with part A of this Code
Threats to ships and other incidents at sea
Alternative security agreements
Equivalent arrangements for port facilities
Manning level
Control and compliance measures
Non-Party ships and ships below Convention size
Declaration of Security
Obligations of the Company
Ship security
Ship security assessment
Security assessment
On-scene security survey
Ship security plan
General
Organization and performance of ship security duties
Access to the ship
Restricted areas on the ship
Handling of cargo
Delivery of ship's stores
Handling unaccompanied baggage
Monitoring the security of the ship
Differing security levels
Activities not covered by the Code
Declarations of Security
Audit and review
Records
Company security officer
Ship security officer
Training, drills and exercises on ship security
Training
Drills and exercises
14 Port facility security
15 Port facility security assessment
General
Identification and evaluation of important assets and infrastructure it is important to protect
Identification of the possible threats to the assets and infrastructure and the likelihood of their occurrence, in order to establish and prioritize security measures
Identification, selection, and prioritization of counter- measures and procedural changes and their level of effectiveness in reducing vulnerability
Identification of vulnerabilities
Port facility security plan
General
Organization and performance of port facility security duties
Access to the port facility
Restricted areas within the port facility
Handling of cargo
Delivery of ship's stores
Handling unaccompanied baggage
Monitoring the security of the port facility
Differing security levels
Activities not covered by the Code
Declarations of Security
Audit, review and amendment
Approval of port facility security plans
Statement of Compliance of a Port Facility
Port facility security officer
Training, drills and exercises on port facility security
Training
Drills and exercises
Verification and certification for ships
Appendix to part B Appendix 1: Form of a Declaration of Security between a ship and a port facility
Appendix 2: Form of a Statement of Compliance of a Port Facility
Conference resolution 1: Adoption of amendments to the Annex to the International Convention for the Safety of Life at Sea, 1974
Amendments to chapters V and XI of SOLAS 1974
Other Conference resolutions 3: Further work by the International Maritime Organization pertaining to the enhancement of maritime security.
Future amendments to chapters XI-1 and XI-2 of the 1974 SOLAS Convention on special measures to enhance maritime safety and security .
Promotion of technical co-operation and assistance
Early implementation of the special measures to enhance maritime security
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 XI-2 of the SOLAS Convention
Enhancement of security in co-operation with the International Labour Organization
Enhancement of security in co-operation with the World Customs Organization
Early implementation of long-range ship's identification and tracking
Human-element-related aspects and shore leave for seafarers

A??s a specialized agency of the United Nations, IMO is the global standard-setting authority for the safety, security and environmental performance of international shipping. Its main role is to create a regulatory framework for the shipping industry that is fair and effective, universally adopted and universally implemented.

In other words, its role is to create a level playing field so that ship operators cannot address their financial issues by simply cutting corners and compromising on safety, security and environmental performance. This approach also encourages innovation and efficiency.

Shipping is a truly international industry, and it can only operate effectively if the regulations and standards are themselves agreed, adopted and implemented on an international basis. IMO is the forum at which this process takes place.