Conference of Contracting Governments to the International Convention for the
Safety of Life at Sea, 1974: 9 - 13 December 2002
A new, comprehensive security regime for international shipping is set to enter into
force in July 2004 following the adoption by a week-long Diplomatic Conference
of a series of measures to strengthen maritime security and prevent and suppress
acts of terrorism against shipping. The Conference, held at the London
headquarters of the International Maritime Organization (IMO) from 9 to 13
December, was of crucial significance not only to the international maritime
community but the world community as a whole, given the pivotal role shipping
plays in the conduct of world trade. The measures represent the culmination of
just over a year's intense work by IMO's Maritime Safety Committee and its
Intersessional Working Group since the terrorist atrocities in the United States
in September 2001.
The
Conference was attended by 108 Contracting Governments to the 1974 SOLAS
Convention, observers from two IMO Member States and observers from the two IMO
Associate Members. United Nations specialized agencies, intergovernmental
organizations and non-governmental international organizations also sent
observers to the Conference.
The
Conference adopted a number of amendments to the 1974 Safety of Life at Sea
Convention (SOLAS), the most far-reaching of which enshrines the new
International Ship and Port Facility Security Code (ISPS Code). The Code
contains detailed security-related requirements for Governments, port
authorities and shipping companies in a mandatory section (Part A), together
with a series of guidelines about how to meet these requirements in a second,
non-mandatory section (Part B). The Conference also adopted a series of
resolutions designed to add weight to the amendments, encourage the application
of the measures to ships and port facilities not covered by the Code and pave
the way for future work on the subject.
Speaking at
the end of the conference, IMO Secretary-General William O'Neil told delegates,
"You have also succeeded, through the interest the Conference has generated
worldwide, in highlighting and promoting the need for the development of a
security consciousness in all that we do to complement IMO's existing objectives
of developing a safety culture and an environmental conscience." He strongly
urged all parties concerned to start putting in place all the necessary
legislative, administrative and operational provisions needed to give effect to
the decisions of the Conference as soon as possible.
In a call for
continued vigilance, he added, "In the meantime, all involved in the operation
of ships and ports should continue to be aware of the potential dangers to
shipping through acts of terrorism and the need to be extremely vigilant and
alert to any security threat they might encounter in port, at offshore terminals
or when underway at sea."
The
Conference has been referred to in the United Nations General Assembly. At its
current session, the General Assembly adopted a resolution on "Oceans and the
law of the sea", which specifically welcomed initiatives at the International
Maritime Organization to counter the threat to maritime security from terrorism
and encouraged States fully to support this endeavour.
The International Ship and Port Facility Security Code
The Company and the Ship
The Port Facility
Responsibilities of Contracting Governments
Amendments to SOLAS
New Chapter XI-2 (Special measures to enhance maritime security)
Resolutions adopted by the conference
Officers of the Conference
The International Ship and Port Facility Security Code
(ISPS Code)
In essence,
the Code takes the approach that ensuring the security of ships and port
facilities is basically a risk management activity and that to determine what
security measures are appropriate, an assessment of the risks must be made in
each particular case.
The purpose
of the Code is to provide a standardized, consistent framework for evaluating
risk, enabling governments to offset changes in threat with changes in
vulnerability for ships and port facilities.
To begin the
process, each Contracting Government will conduct port facility security
assessments. Security assessments will have three essential components. First,
they must identify and evaluate important assets and infrastructures that are
critical to the port facility as well as those areas or structures that, if
damaged, could cause significant loss of life or damage to the port facility's
economy or environment. Then, the assessment must identify the actual threats to
those critical assets and infrastructure in order to prioritise security
measures. Finally, the assessment must address vulnerability of the port
facility by identifying its weaknesses in physical security, structural
integrity, protection systems, procedural policies, communications systems,
transportation infrastructure, utilities, and other areas within a port facility
that may be a likely target. Once this assessment has been completed,
Contracting Government can accurately evaluate risk.
This risk
management concept will be embodied in the Code through a number of minimum
functional security requirements for ships and port facilities. For ships, these
requirements will include:
· ship security plans
· ship security officers
· company security officers
· certain onboard equipment
For port facilities, the requirements will include:
· port facility security plans
· port facility security officers
· certain security equipment
In addition the requirements for ships and for port facilities include:
· monitoring and controlling access
· monitoring the activities of people and cargo
· ensuring security communications are readily available
Because each
ship (or class of ship) and each port facility present different risks, the
method in which they will meet the specific requirements of this Code will be
determined and eventually be approved by the Administration or Contracting
Government, as the case may be.
In order to
communicate the threat at a port facility or for a ship, the Contracting
Government will set the appropriate security level. Security levels 1, 2, and 3
correspond to normal, medium, and high threat situations, respectively. The
security level creates a link between the ship and the port facility, since it
triggers the implementation of appropriate security measures for the ship and
for the port facility.
The preamble
to the Code states that, as threat increases, the only logical counteraction is
to reduce vulnerability. The Code provides several ways to reduce
vulnerabilities. Ships will be subject to a system of survey, verification,
certification, and control to ensure that their security measures are
implemented. This system will be based on a considerably expanded control system
as stipulated in the 1974 Convention for Safety of Life at Sea (SOLAS). Port
facilities will also be required to report certain security related information
to the Contracting Government concerned, which in turn will submit a list of
approved port facility security plans, including location and contact details to
IMO.
The Company and the Ship
Under the
terms of the Code, shipping companies will be required to designate a Company
Security Officer for the Company and a Ship Security Officer for each of its
ships. The Company Security Officer's responsibilities include ensuring that a
Ship Security Assessment is properly carried out, that Ship Security Plans are
prepared and submitted for approval by (or on behalf of) the Administration and
thereafter is placed on board each ship.
The Ship
Security Plan should indicate the operational and physical security measures the
ship itself should take to ensure it always operates at security level 1. The
plan should also indicate the additional, or intensified, security measures the
ship itself can take to move to and operate at security level 2 when instructed
to do so. Furthermore, the plan should indicate the possible preparatory actions
the ship could take to allow prompt response to instructions that may be issued
to the ship at security level 3.
Ships will
have to carry an International Ship Security Certificate indicating that they
comply with the requirements of SOLAS chapter XI-2 and part A of the ISPS Code.
When a ship is at a port or is proceeding to a port of Contracting Government,
the Contracting Government has the right, under the provisions of regulation
XI-2/9, to exercise various control and compliance measures with respect to that
ship. The ship is subject to port State control inspections but such inspections
will not normally extend to examination of the Ship Security Plan itself except
in specific circumstances.
The ship may,
also, be subject to additional control measures if the Contracting Government
exercising the control and compliance measures has reason to believe that the
security of the ship has, or the port facilities it has served have, been
compromised.
The Port Facility
Each
Contracting Government has to ensure completion of a Port Facility Security
Assessment for each port facility within its territory that serves ships engaged
on international voyages. The Port Facility Security Assessment is fundamentally
a risk analysis of all aspects of a port facility's operation in order to
determine which parts of it are more susceptible, and/or more likely, to be the
subject of attack. Security risk is seen a function of the threat of an attack
coupled with the vulnerability of the target and the consequences of an attack.
On completion
of the analysis, it will be possible to produce an overall assessment of the
level of risk. The Port Facility Security Assessment will help determine which
port facilities are required to appoint a Port Facility Security Officer and
prepare a Port Facility Security Plan. This plan should indicate the operational
and physical security measures the port facility should take to ensure that it
always operates at security level 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. It should also
indicate the possible preparatory actions the port facility could take to allow
prompt response to the instructions that may be issued at security level 3.
Ships using
port facilities may be subject to port State control inspections and additional
control measures. The relevant authorities may request the provision of
information regarding the ship, its cargo, passengers and ship's personnel prior
to the ship's entry into port. There may be circumstances in which entry into
port could be denied.
Responsibilities of Contracting Governments
Contracting
Governments have various responsibilities, including setting the applicable
security level, approving the Ship Security Plan and relevant amendments to a
previously approved plan, verifying the compliance of ships with the provisions
of SOLAS chapter XI-2 and part A of the ISPS Code and issuing the International
Ship Security Certificate, determining which port facilities located within
their territory are required to designate a Port Facility Security Officer,
ensuring completion and approval of the Port Facility Security Assessment and
the Port Facility Security Plan and any subsequent amendments; and exercising
control and compliance measures. It is also responsible for communicating
information to the International Maritime Organization and to the shipping and
port industries.
Contracting
Governments can designate, or establish, Designated Authorities within
Government to undertake their security duties and allow Recognised Security
Organisations to carry out certain work with respect to port facilities, but the
final decision on the acceptance and approval of this work should be given by
the Contracting Government or the Designated Authority.
Amendments to SOLAS
The
Conference adopted a series of Amendments to the 1974 SOLAS Convention, aimed at
enhancing maritime security on board ships and at ship/port interface areas.
Among other things, these amendments create a new SOLAS chapter dealing
specifically with maritime security, which in turn contains the mandatory
requirement for ships to comply with the ISPS Code.
Modifications
to Chapter V (Safety of Navigation) contain a new timetable for the fitting of
Automatic Information Systems (AIS). Ships, other than passenger ships and
tankers, of 300 gross tonnage and upwards but less than 50,000 gross tonnage,
will be required to fit AIS not later than the first safety equipment survey
after 1 July 2004 or by 31 December 2004, whichever occurs earlier. Ships fitted
with AIS shall maintain AIS in operation at all times except where international
agreements, rules or standards provide for the protection of navigational
information."
The existing
SOLAS Chapter XI (Special measures to enhance maritime safety) has been
re-numbered as Chapter XI-1. Regulation XI-1/3 is modified to require ships'
identification numbers to be permanently marked in a visible place either on the
ship's hull or superstructure. Passenger ships should carry the marking on a
horizontal surface visible from the air. Ships should also be marked with their
ID numbers internally.
And a new
regulation XI-1/5 requires ships to be issued with a Continuous Synopsis Record
(CSR) which is intended to provide an on-board record of the history of the
ship. The CSR shall be issued by the Administration and shall contain
information such as the name of the ship and of the State whose flag the ship is
entitled to fly, the date on which the ship was registered with that State, the
ship's identification number, the port at which the ship is registered and the
name of the registered owner(s) and their registered address. Any changes shall
be recorded in the CSR so as to provide updated and current information together
with the history of the changes.
New Chapter XI-2 (Special measures to enhance maritime security)
A brand-new
Chapter XI-2 (Special measures to enhance maritime security) is added after the
renumbered Chapter XI-1.
This chapter
applies to passenger ships and cargo ships of 500 gross tonnage and upwards,
including high speed craft, mobile offshore drilling units and port facilities
serving such ships engaged on international voyages.
Regulation
XI-2/3 of the new chapter enshrines the International Ship and Port Facilities
Security Code (ISPS Code). Part A of this Code will become mandatory and part B
contains guidance as to how best to comply with the mandatory requirements.
The
regulation requires Administrations to set security levels and ensure the
provision of security level information to ships entitled to fly their flag.
Prior to entering a port, or whilst in a port, within the territory of a
Contracting Government, a ship shall comply with the requirements for the
security level set by that Contracting Government, if that security level is
higher than the security level set by the Administration for that ship.
Regulation
XI-2/4 confirms the role of the Master in exercising his professional judgement
over decisions necessary to maintain the security of the ship. It says he shall
not be constrained by the Company, the charterer or any other person in this
respect.
Regulation
XI-2/5 requires all ships to be provided with a ship security alert system,
according to a strict timetable that will see most vessels fitted by 2004 and
the remainder by 2006. When activated the ship security alert system shall
initiate and transmit a ship-to-shore security alert to a competent authority
designated by the Administration, identifying the ship, its location and
indicating that the security of the ship is under threat or it has been
compromised. The system will not raise any alarm on-board the ship. The ship
security alert system shall be capable of being activated from the navigation
bridge and in at least one other location.
Regulation
XI-2/6 covers requirements for port facilities, providing among other things for
Contracting Governments to ensure that port facility security assessments are
carried out and that port facility security plans are developed, implemented and
reviewed in accordance with the ISPS Code.
Other
regulations in this chapter cover the provision of information to IMO, the
control of ships in port, (including measures such as the delay, detention,
restriction of operations including movement within the port, or expulsion of a
ship from port), and the specific responsibility of Companies.
Resolutions adopted by the conference
The
conference adopted 11 resolutions, the main points of which are outlined below.
The full text of each is available on request.
Conference resolution 1 (Adoption of amendments to the annex to the international
convention for the safety of life at sea, 1974, as amended),
determines that the amendments shall be deemed to have been accepted on 1
January 2004 (unless, prior to that date, more than one third of the Contracting
Governments to the Convention or Contracting Governments the combined merchant
fleets of which constitute not less than 50% of the gross tonnage of the world's
merchant fleet, have notified their objections to the amendments) and that the
amendments would then enter into force on 1 July 2004.
Conference resolution 2 (Adoption of the International Ship and Port Facility Security
(ISPS) Code)
adopts the International Ship and Port Facility Security (ISPS) Code, and
invites Contracting Governments to the Convention to note that the ISPS Code
will take effect on 1 July 2004 upon entry into force of the new chapter XI-2 of
the Convention;
Conference resolution 3 (Further work by the international maritime organization pertaining
to the enhancement of maritime security)
invites the International Maritime Organization to develop, as a matter of
urgency, training guidance such as model courses for ship security officers,
company security officers and port facility security officers; performance
standards for ship security alarms; performance standards and guidelines for
long-range ship identification and tracking systems; guidelines on control of
ships; and guidelines on "Recognized security organizations", and to adopt them
in time before the entry into force of the amendments to the Convention adopted
by the Conference.
Conference resolution 4 (Future amendments to Chapters XI-1 and XI-2 of the 1974 SOLAS
Convention on special measures to enhance maritime safety and security)
recommends that future amendments to the provisions of chapters XI-1 and XI-2 of
the Convention should be adopted by either the Maritime Safety Committee of the
International Maritime Organization or by a Conference of Contracting
Governments to the Convention.
Conference resolution 5 (Promotion of technical co-operation and assistance)
strongly urges Contracting Governments to the Convention and Member States of the
Organization to provide, in co-operation with the Organization, assistance to
those States which have difficulty in meeting the requirements of the adopted
amendments; and to use the Integrated Technical Co-operation Programme of the
Organization as one of the main instruments to obtain assistance in advancing
effective implementation of, and compliance with, the adopted amendments.
It also
requests the Secretary-General of the Organization to make adequate provision,
within the Integrated Technical Co-operation Programme, to strengthen further
the assistance that is already being provided and to ensure that the
Organization is able to address the future needs of developing countries for
continued education and training and the improvement of their maritime and port
security infrastructure and measures; and invites donors, international
organizations and the shipping and port industry to contribute financial, human
and/or in-kind resources to the Integrated Technical Co-operation Programme of
the Organization for its maritime and port security activities.
It also
invites the Secretary General to give early consideration to establishing a
Maritime Security Trust Fund for the purpose of providing a dedicated source of
financial support for maritime security technical-co-operation activities and,
in particular, for providing support for national initiatives in developing
countries to strengthen their maritime security infrastructure and measures.
Conference resolution 6 (Early implementation of the special measures to enhance maritime
security) refers to the difficulties experienced during implementation of the
International Safety Management (ISM) Code and draws the attention of
Contracting Governments and the industry to the fact that chapter XI-2 of the
Convention does not provide for any extension of the implementation dates for
the introduction of the special measures concerned to enhance maritime security.
It urges Contracting Governments to take, as a matter of high priority, any
action needed to finalize as soon as possible any legislative or administrative
arrangements, which are required at the national level, to give effect to the
requirements of the adopted amendments to the Convention relating to the
certification of ships entitled to fly their flag or port facilities situated in
their territory. It also recommends that Contracting Governments and
Administrations concerned designate dates, in advance of the application date of 1 July
2004 by which requests for certification should be submitted in order to allow for
completion of the certification process and for companies and port facilities to
rectify any non-compliance. It also recommends that Contracting Governments and
the industry should take early appropriate action to ensure that all necessary
infrastructure is in place in time for the effective implementation of the
adopted measures to enhance maritime security on board ships and ashore.
Conference resolution 7 (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 1974 SOLAS Convention)
invites Contracting
Governments to establish, as they might consider necessary, appropriate measures to enhance
the security of ships and of port facilities other than those covered by chapter
XI-2 of the Convention; it also encourages Contracting Governments to establish
and disseminate, in an appropriate manner, information to facilitate contact and
liaison between company and ship security officers and the authorities
responsible for the security of port facilities not covered by Chapter XI-2,
prior to a ship entering, or anchoring off, such a port;
Conference resolution 8 (Enhancement of security in co-operation with the International
Labour Organization) invites the ILO to continue the development of a Seafarers' Identity Document as
a matter of urgency, which should cover, among other things, a document for
professional purposes; a verifiable security document; and a certification
information document, and invites IMO and the ILO to establish a joint ILO/IMO
Working Group to undertake more detailed work on comprehensive port security
requirements.
Conference resolution 9 (Enhancement of security in co-operation with the World Customs
Organization) invites the WCO to consider urgently measures to enhance security throughout
international closed CTU movements and requests the Secretary-General of IMO to
contribute expertise relating to maritime traffic to the discussions at the WCO.
Conference resolution 10 (Early implementation of long-range ships' identification and
tracking) recalls that long-range identification and tracking of ships at sea is a measure
that fully contributes to the enhancement of the maritime and coastal States
security and notes that Inmarsat C polling is currently an appropriate system
for long-range identification and tracking of ships. It urges Governments to
take, as a matter of high priority, any action needed at national level to give
effect to implementing and beginning the long-range identification and tracking
of ships and invites Contracting Governments to encourage ships entitled to fly
the flag of their State to take the necessary measures so that they are prepared
to respond automatically to Inmarsat C polling, or to other available systems.
It also requests Governments to consider all aspects related to the introduction
of long-range identification and tracking of ships, including its potential for
misuse as an aid to ship targeting and the need for confidentiality in respect
of the information so gathered.
Conference resolution 11 (Human element-related aspects and shore leave for seafarers)
urges Governments to take the human element, the need to afford special
protection to seafarers and the critical importance of shore leave into account
when implementing the provisions of chapter XI-2 of the Convention and the
International Ship and Port Facility (ISPS) Code. It also encourages
Governments, Member States of IMO and non-governmental organizations with
consultative status at the Organization to report to the Organization any
instances where the human element has been adversely impacted by the
implementation of the provisions of chapter XI-2 of the Convention or the Code.
It also requests the IMO Secretary-General to bring to the attention of the
Maritime Safety Committee and the Facilitation Committee of the Organization,
any human element related problems, which have been communicated to the
Organization as a result of the implementation of chapter XI-2 of the Convention
or the Code.
Officers of the Conference
The Conference elected Mr. J. Franson, Head of the delegation of Sweden,
President of the Conference.
The following were elected Vice-Presidents of the Conference:
Mr. William J. S. Elliott (Canada)
Mr. Mitsuo Nakamoto (Japan)
H.E. Alma-Rosa Moreno Razo (Mexico)
Professor Marek Szymonski (Poland)
H.E. El Hadj Amadou Niang (Senegal)
The following were also elected:
Committee of the Whole:
Chairman: Mr. J.F. Wall (United Kingdom)
Vice-Chairman: Mr. D. Baird (Australia)
Vice-Chairman: Dr. S. Ilgin (Turkey)
Drafting Committee
Chairman: Mr. N. Charalambous (Cyprus)
Vice-Chairman: Admiral E. Schroth (Peru)
ice-Chairman: Mr. I. Ponomarev (Russian Federation)
Credentials Committee
Chairman: Mr. Z. Alam (Singapore)
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