1、GUIDE TO MARITIME SECURITY AND THE ISPS CODEIMOIA116EIA116Ewww.imo.orgThis Guide has been developed to consolidate existing IMO maritime security-related material into an easily read companion guide to SOLAS chapter XI-2 and the ISPS Code in order to assist States in promoting maritime security thro
2、ugh development of the requisite legal framework, associated administrative practices, procedures and technical and human resources.It is intended both to assist SOLAS Contracting Governments in the implementation, verification, compliance with, and enforcement of, the provisions of SOLAS chapter XI
3、-2 and the ISPS Code. It should also serve as an aid and reference for those engaged in delivering capacity-building activities in the field of maritime security.GUIDE TOISPS CODEAND THEMARITIME SECURITY2012 EDITION 2012 EDITIONGUIDE TOMARITIME SECURITYAND THEISPS CODE2012 EDITIONLondon, 2012Publish
4、ed in 2012 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Embankment, London SE1 7SR www.imo.orgPrinted by CPI Group (UK) Ltd, Croydon, CR0 4YYISBN: 978-92-801-1544-4IMO PUBLICATIONSales number: IA116ECopyright International Maritime Organization 2012All rights reserved. No part of this publica
5、tion may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, without prior permission in writing from the International Maritime Organization.Reproduction and/or translation rights may be available for this title. For further details please contact IMO Publishing
6、 at copyrightimo.org.This publication has been prepared from official documents of IMO, and every effort has been made to eliminate errors and reproduce the original text(s) faithfully. Readers should be aware that, in case of inconsistency, the official IMO text will prevail.iiiGuide to maritime se
7、curity and the ISPS Code Guidance for port facilities, ports and shipsDisclaimerThis Guide has been developed to consolidate existing IMO maritime security-related material into an easily read companion guide to SOLAS chapter XI-2 and the International Ship and Port Facility Security (ISPS) Code in
8、order to assist States in promoting maritime security through development of the requisite legal framework, the associated administrative practices and procedures, and the necessary material, technical and human resources. It is intended both to assist SOLAS Contracting Governments in the implementa
9、tion of, verification of, compliance with and enforcement of the provisions of SOLAS chapter XI-2 and the ISPS Code, and to serve as an aid and reference for those engaged in delivering capacity-building activities in the field of maritime security.While the guidance in this Guide was developed with
10、 contributions from international maritime security practitioners and is based on generally recognized maritime security practices and procedures, the suggested practices and procedures are not the only means of implementing the Maritime Security Measures of SOLAS chapter XI-2 and the ISPS Code. Oth
11、er methods of meeting the requirements may be equally appropriate and effective. It should be noted that, because of the diversity of legal and administrative structures within individual States, the practices and procedures proposed in the text may need to be modified to fit within such structures.
12、Guidance contained in this Guide is not intended to replace, supersede, contradict, nullify or override any international or domestic law of any State or any further instrument developed by the Organization and should not be interpreted or applied in a manner which may undermine compliance with the
13、maritime security requirements of individual States, which should, in any case, take precedence over any non-mandatory guidance included herein which may not have been adopted by the State concerned.Users of this Guide should be aware that references to IMO instruments may become out of date by the
14、adoption of more recent instruments. Users are therefore invited to consult their national Administration or the IMO website for information on the status of referenced instruments.vContentsGuide to maritime security and the ISPS CodeForeword . xvSection 1 Introduction1.1 Purpose of the Guide 11.2 S
15、tructure 11.3 Sources 21.4 Overview of the Maritime Security Measures 2Origins . 2The SOLAS Convention 3The SOLAS amendments 2002 . 3Conference resolutions . 3The Maritime Security Measures in brief 4Milestones 51.5 Benefits of, and challenges in, implementing the Maritime Security Measures 51.6 Mai
16、ntaining security awareness . 6Introduction . 6Security awareness programmes 71.7 Abbreviations 81.8 Definitions 9Appendix 1.1 Cross-reference of Government and industry responsibilities 14Appendix 1.2 IMO Guidance material on Maritime Security Measures, 19862011 . 15Appendix 1.3 Websites showing se
17、curity awareness programmes . 19Section 2 Security responsibilities of Governments and their national authorities2.1 Introduction . 212.2 National legislation 23Introduction . 23Experience to date 23Legislating for the Maritime Security Measures . 24Extending the application of the Maritime Security
18、 Measures 282.3 Organizations within Government 29Organizational structures . 29Delegation of responsibility 29PageGuide to maritime security and the ISPS Codevi2.4 Government co-ordination mechanisms 29Introduction . 29National maritime security framework/strategy . 30National maritime security com
19、mittees . 30Participation in international and regional organizations 322.5 Recognized security organizations 32Introduction . 32Permitted delegations 33Authorization 33Oversight . 34Experience to date 342.6 Security levels 34Introduction . 34Setting the security level 35Communicating the security l
20、evel . 362.7 Declarations of Security 37Introduction . 37Establishing the requirement for a DoS . 37Government-to-Government agreement 39Continuous Declarations of Security . 39Exclusive Economic Zone and Continental Shelf 39Retention . 39Request by a port facility . 39Request by a ship . 392.8 Port
21、 facility security responsibilities 40Designating port facilities . 40Port facility boundaries . 40Notification . 41Non-SOLAS port facilities . 41Port security committees 41Port facility security officers . 42Port facility security assessments 42Port facility security plans . 43Security records 43Re
22、view of an approved PFSP . 44Amendments to an approved PFSP 44Internal audits 44Security measures and procedures 45Statement of Compliance . 452.9 Ship security responsibilities . 46Appointment and qualifications of security personnel 46Ship security assessments . 47Ship security plans 47PageContent
23、sviiReporting security system or equipment failures 49Interdiction at sea . 49Preserving evidence following a security incident . 50Reporting security incidents . 50Security records 50Internal audits 50Security measures and procedures 51Continuous Synopsis Records 51Manning levels . 512.10 Internati
24、onal Ship Security Certificates . 51Introduction . 51Issuance 51Verifications . 52Duration of validity 53Loss of validity . 53Remedial actions . 53Ship out of service 54Interim International Ship Security Certificates 54Ship inspections 552.11 Control and compliance measures 55Introduction . 55Duly
25、authorized officers 56Pre-arrival information procedures 56Clear grounds 56Ship inspection in port . 57Notifications . 59Immediate security threat . 59Experience to date 592.12 Ship security communications 59Requirement for alert and identification systems 59Ship security alert systems 60Automatic i
26、dentification systems 61Pre-arrival notification . 61Long-range identification and tracking of ships . 622.13 Alternative security agreements . 63Introduction . 63Application 63Procedure . 64Review . 64Experience to date 65PageGuide to maritime security and the ISPS Codeviii2.14 Equivalent security
27、arrangements . 652.15 Enforcement actions . 65Introduction . 65Stepped approach . 66Counselling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67Formal notification 67Serious security deficiencies . 67Restriction or suspensi
28、on of activities 67Suspension or withdrawal of an approved PFSP or SSP . 68Imposition of penalties . 682.16 Training of Government officials with security responsibilities 68Introduction . 68Duties of officials . 68Training requirements 70Code of conduct 71Identification documents . 712.17 National
29、oversight . 72Introduction . 72Seafarer access considerations . 73Port facility inspections . 742.18 Additional security-related instruments and guidance issued by IMO . 75Introduction . 75Non-SOLAS vessels . 75Port security . 77SUA Convention 77Offshore activities . 78Specific security issues . 782
30、.19 Information to IMO 78Introduction . 78Global Integrated Shipping Information System . 79National contact points . 79Port facilities . 79National legislation 80Additional information . 80Appendix 2.1 Implementation questionnaire for Designated Authorities 81Appendix 2.2 Implementation questionnai
31、re for Administrations 83Appendix 2.3 Criteria for selecting recognized security organizations 85Appendix 2.4 Sample of a port facility security plan approval form 86Appendix 2.5 Form of a Statement of Compliance of a port facility 95Appendix 2.6 Form of the International Ship Security Certificate .
32、 97Appendix 2.7 Form of the Interim International Ship Security Certificate 102Appendix 2.8 Sample of a ship security inspection checklist . 104Appendix 2.9 Sample of a notice of non-compliance 109PageContentsixAppendix 2.10 Sample of a core training curriculum for officials in national authorities
33、. 110Appendix 2.11 Sample of a port facility security inspection report form . 111Appendix 2.12 Details of national authority contact points . 118Appendix 2.13 Details of port facilities 119Appendix 2.14 Report of the imposition of a control and compliance measure 120Section 3 Security responsibilit
34、ies of port facility and port operators3.1 Introduction . 1233.2 Security framework 124Defining the port facility 124Recognized security organizations 124Alternative security agreements . 125Equivalent security arrangements . 1253.3 Changing security levels 1253.4 Declarations of Security 1263.5 Sec
35、urity personnel 127Port facility security officers . 127Other port facility personnel with security-related duties 128All other port facility personnel . 128Security clearances 1293.6 Port facility security assessments 129Introduction . 129Conducting PFSAs 129Preparing PFSA reports . 129PFSA coverag
36、e of multiple facilities 130Updating PFSAs 1303.7 Port facility security plans . 130Introduction . 130Preparing and maintaining PFSPs 1303.8 PFSP implementation 132Introduction . 132Planning and conducting drills and exercises . 132Reporting security incidents . 132Information security . 133Shore ac
37、cess for seafarers and on-board visits to ships 134Conducting self-assessments . 134Preventing unauthorized access 135Effective security of cargo and ships stores 135PageGuide to maritime security and the ISPS Codex3.9 Port security . 135Introduction . 135Port security committees 136Port security of
38、ficers . 137Port security assessments . 138Port security plans 1383.10 Guidelines for non-SOLAS marinas, ports and harbours 138Appendix 3.1 Declaration of Security form. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140Appendix 3.2 Competency matrix for port facility security
39、 officers 142Appendix 3.3 Competency matrix for port facility personnel with security duties . 144Appendix 3.4 Competency matrix for port facility personnel without security duties . 145Appendix 3.5 Example of a port facility security assessment and plan approval process . 146Appendix 3.6 Examples o
40、f internet sources of guidance material on preparing, updating and implementing port facility security plans . 147Appendix 3.7 APEC Manual of maritime security drills and exercises for port facilities . 148Appendix 3.8 Implementation checklist for port facility operators . 150Section 4 Security resp
41、onsibilities of ship operators4.1 Introduction . 1674.2 Security framework 168Extent of application of the Maritime Security Measures 168Overview of shipping company responsibilities . 169Participation on port security committees . 169Recognized security organizations 169Alternative security agreeme
42、nts . 170Equivalent security arrangements . 1704.3 Changing security levels 1704.4 Declarations of Security 1714.5 Ship security personnel . 172Introduction . 172Company security officers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172Ship sec
43、urity officers . 174Shipboard personnel with designated security duties . 175All shipboard personnel 176Security clearances 1764.6 Ship security communications 177Ship security alert systems 177Automatic identification systems 178Pre-arrival notification . 178Long-range identification and tracking s
44、ystems . 179PageContentsxi4.7 Ship security assessments . 179Introduction . 179Conducting and documenting SSAs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179Preparing SSA reports 179Updating SSAs . 1804.8 Ship security plans 180Introduction . 180Preparing
45、and maintaining SSPs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181Planning and conducting ship security drills and exercises . 182Access to ships by Government officials, emergency response services and pilots . 183Shore leave and access to shore-ba
46、sed facilities by seafarers . 184Reporting security incidents . 184Maintaining on-board records 186Conducting self-assessments . 186Reviewing and amending an approved SSP 1874.9 The International Ship Security Certificate . 1874.10 Control and compliance measures 1884.11 Guidelines for non-SOLAS ves
47、sels . 189Introduction . 189General guidance . 189Appendix 4.1 Sample of a Declaration of Security form for a ship-to-ship interface 192Appendix 4.2 Competency matrix for company security officers . 194Appendix 4.3 Competency matrix for ship security officers . 196Appendix 4.4 Competency matrix for
48、shipboard personnel with designated security duties 198Appendix 4.5 Competency matrix: Security awareness for all shipboard personnel 200Appendix 4.6 Standard data set of security-related pre-arrival information 201Appendix 4.7 Example of a ship security assessment and plan approval process 204Appen
49、dix 4.8 Examples of internet sources of guidance material on preparing and validating ship security plans 205Appendix 4.9 Implementation checklist for ship security personnel . 206Appendix 4.10 Implementation checklist for shipping companies and their CSOs 224Appendix 4.11 General information on security practices for all non-SOLAS vessel operators . 240Section 5 Framework for conducting secu
