历史

　　国际船舶与港口设施章程 (英语：International Ship and Port Facility Security (ISPS) Code)是1978年海上人命安全国际公约针对船舶、港口及港口国政府对于保全(Security)的一项修正案，并于2004年开始生效。其规定港口国政府、船东、船上人员以及港口/设施人员察觉保全威胁及采取相对的预防措施，以防止保全事件影响从事国际贸易的船舶或港口设施。

　　为了因应2001年9月11日美国911恐怖攻击事件后，国际海事组织根据联合国安全理事会于2001年9月28日通过第1373(2001)号决议所产生的。IMO大会针对船港接口活动、港口设施、船对船活动以及缔约国政府确保实施前项活动之保全，新增及修订公约内容。其中修订了第V章及第XI-1章和新增第XI-2章及国际船舶与港口设施保全章程(ISPS Code)。

　　925-1 IMO ISPS Code Regulation 在 11/September/2001 之 911 悲剧发生后，国际海事组织在第 22 次大会，全体一致的同意发展有关船舶及港口设施新的保全措施。此一强制性规则已於 12/Dec/2002 完成立法，定於 01/Jul/2004 生效。新的反恐章程将并入 SOLAS 第 XI 章（加强海上安全之特别措施 Special measures to enhance maritime safety）内，并将 SOLAS 第 XI 章扩编为第 XI-1 章及第 XI-2 章， 反恐章程（ISPS Code）及其指导方针（Guidance）即包括於第 XI-2 章之 Part A 及 Part B。除 此之外 SOLAS 第 5 章第 19 条 有关船舶自动识别系统 ， ， （Automatic Identification System, AIS） 之安装期限将予以提前，以配合 ISPS Code 的实施。 Following the tragic events of 11th September 2001, the International Maritime Organization’s twenty-second Assembly unanimously agreed to the development of new measures relating to ship and port security, the code had been adopted by MSC 77 and will enter into force by 01/July/2004. The new ISPS Code will be added to SOLAS Chapter XI （Special measures to enhance maritime safety）, and the SOLAS Chapter XI will be extended to Chapter XI-1 and Chapter XI-2, the ISPS Code and his guidance will belong to part A and part B of Chapter XI-2. Additional, the installation date of AIS（Automatic Identification System） described in the regulation 19 of SOLAS Chapter 5 will be modified to meet the implementation of ISPS Code. * 长荣船员训练中心 讲师/船长 2003.04.04 总号：173
　　925-2 SOLAS XI-1 XI-2 The arrangement of SOLAS Chapter XI-1 & XI-2 SOLAS Chapter XI-1 Special Measures to Enhance Maritime Safety（加强海事安全特别措施） 1. 认可机构之授权 Authorization of recognized organization 2. 加强检验 Enhanced surveys 3. 船舶识别编码 Ship Identification Number 4. 港口国管制之操作要求 Port State Control on operational requirements 5. 连续概要记录 Continuous Synopsis Record SOLAS Chapter XI-2 Special Measures to Enhance Maritime Security（加强海事保全特别措 施） 1. 定义 Definitions 2. 适用范围 Application 3. 对船舶及公司之要求 Requirements for Ships and Companies 4. 船长对船舶保全之裁量 Master’s discretion for ship security 5. 船舶保全示警系统 Ship Security Alert System 6. 对港口设施之要求 Requirements for port facilities 7. 替代措施及相等配备 Alternative measures and equivalent arrangements 8. 资讯交流条款 Provision（Communication）of information 9. 在港船舶管制 Control of Ships in Port 10.公司之特殊责任 Specific responsibility of Companies Part A 国际船舶及港口设施保全章程 总号：174
　　925-3 International Code for the Security of Ships and of Port Facilities （ISPS Code） Part B 国际船舶及港口设施保全章程指导书 Guidance of International Code for the Security of Ships and of Port Facilities Requirements of Contracting Government 1. 设定适当的保全等级（Security Levels） ，依威胁严重性分为 1（正常） 、2（中度） 、3（高度） 等三级。 Set appropriate marine security levels as level 1 （normal） level 2 , （medium） and level 3 （high） , depending on the degree of threat. 2. 认可船舶保全计划（Ship Security Plan） ，该计划主要说明： （1） 操作与实施保全措施。 （2） 保全等级变更之措施。 Approving Ship Security Plan, it including: （1） operate and execute security measures （2） the measures when security level changing 3. 验证并签发国际船舶保全证书（International Ship Security Certificate） ，以确保船上实施保全 措施。 Verifying and issuing ISSC to ensure the implementation of security measures on ship. 4. 订定／认可港口设施保全评量（Port Facility Security Assessment） ，主要为： （1） 确认风险目标，外来威胁，内在弱点。 （2） 评估风险。 Developing/approving Port Facility Security Assessment, it includes mainly: （1） ensure risk objectives, threat, vulnerability. （2） risk assessment 5. 决定应指派港口设施保全官（Port Facility Security Officer）的港区，并指派之。 Deciding and appointing the Port Facility Security Officer 6. 认可港口设施保全计划（Port Facility Security Plan） ，该计划主要说明： （1） 操作与实施保全措施 （2） 保全等级变更之措施 Approving Port Facility Security Plan, it explains mainly: （1） operate and execute security measures （2） the measures of security level changing 7. 实施管制及符合措施，以管制即将进港或在港内的他国船舶。 Implement the measures to control the entering vessel or the vessel berthing 8. 将相关资讯传送 IMO 及航运界与港口业界。 Transmitting related information to IMO, shipping organization and port facility 总号：175
　　925-4 Requirements of shipping company and vessel 1 2 3 指派公司保全官（Company Security Officer） ，以进行船舶保全评量及计划之工作。 Appointing Company Security Officer to implement Ship Security Assessment 实施船舶保全评量（Ship Security Assessment） 。 Implement Ship Security Assessment 依不同船型之不同船舶结构准备船舶保全计划（Ship Security Plan） ，并送认可。 Developing Ship Security Plan depending on different layout of different ship and summit to 4 5 6 authority for approving 指派船舶保全官（Ship Security Officer） 。 Appointing Ship Security Officer 训练，演练并实施船舶保全。 Training, drilling and executing ship security system 接受验证并领有国际船舶保全证书 ISSC（International Ship Security Certificate） 。 Accepting survey and be issued ISSC Details of requirements 签约国政府之责任 Responsibilities of Contracting Governments 签约国政府须制定保全等级并提供指导方针以从保全事件中得到防护，更高之保全等级表 示发生保全事件之可能性更大，在设定适宜之保全等级时需考虑之因素包括： 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. 威胁消息之可信程度； the degree that the threat information is credible; 2. 威胁消息得到应证之程度； the degree that the threat information is corroborated; 3. 威胁消息之明确程度或即将逼近之程度； the degree that the threat information is specific or imminent; and 4. 该保全事件之可能影响； the potential consequences of such a security incident. 当签约国政府设定保全等级三时，必须发布适宜之保全指示及提供保全有关资讯给可能受 影响之船舶和港口设施。 Contracting Governments, when they set security level 3, shall issue, as necessary, appropriate 总号：176
　　925-5 security instructions and shall provide security related information to the ships and port facilities may be affected. 保全宣告 Declaration of Security （DoS） 当需要保全宣告来评估危险时，签约国政府应决定一个与人民、财产或环境有关之船舶／ 港口之共同界面。 Contracting Governments shall determine when a declaration of security is required by assessing the risk a ship/port interface poses to people, property or the environment. 保全宣告将由以下完成： 1.代表该船舶之船长或船舶保全官。 2.港口设施保全官或，如果签约国政府另有决定，由任何代表港口设施之负责岸上保全之 其它人 The declaration of security shall be completed by: 1.the master or the ship security officer on behalf of the ship. 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. 保全宣告须陈述能由港口设施与船舶之间共同分担之安全需求及述明各自之责任 The declaration of security shall address the security requirements that could be shared between a port facility and a ship and shall state the responsibility for each. 港口设施与船舶皆需持有保全宣告副本 A copy of the declaration of security shall be kept by both the ship and the port facility. 保全宣告须制作备便以备指定之权力机关之随时要求。 The declaration of security shall be made available to the designated authority upon request. 签约国政府须指明港口设施需持有保全宣告於其区域内之最小期间。 Contracting Government shall specify the minimum period for which Declaration of Security shall be kept by the port facilities located within their territory. 船籍国政府须指明有权挂他们旗帜之船舶需持有保全宣告之最小期间 Administration shall specify the minimum period for which Declaration of Security shall be kept by ships entitled to fly their flag. 公司之义务 Obligations of the Company 公司应确定船舶保全计划包含清楚之叙述来强调船长之权力，公司应於船舶保全计划内建 立船长之至高无上之权力与责任，以对有关船舶安全及要求公司或必要时之签约国政府之 协助。 The Company shall ensure that the ship security plan contains a clear statement emphasizing the master’s authority. The Company shall establish in the ship security plan that the master has the overriding authority and responsibility to make decisions with respect to the security of the ship and to request the assistance of the Company or of any Contracting Government as may be 总号：177
　　925-6 necessary. 公司应确定公司保全官、船长及船舶保全官已给与必要的支持以履行他们与此章程一致之 任务与责任。 The Company shall ensure that the company security officer, the master and the ship security officer are given the necessary support to fulfill their duties and responsibilities in accordance with this Code. 船舶保全 Ship Security 船舶需依签约国政府设定之保全等级来行动。 A ship is required to act upon the security levels set by Contracting Governments. 在保全等级一时，为了指明及采取对抗保全事件之预防措施，所有船舶需虑及此章程 Part B 提及之指导方针，下列之行动需经由适宜措施来实施： At security level 1, the following activities shall be carried out, through appropriate measures, on all ships, taking into account the guidance given in Part B of this Code, in order to identify and take preventive measures against security incidents: 1. 确认所有船舶保全任务已履行； ensuring the performance of all ship security duties; 2. 监督限制区域以确认仅有经授权之人能出入； monitoring restricted areas to ensure that only authorized persons have access; 3. 控制船舶之出入口； controlling access to the ship; 4. 监督甲板区域及围绕船舶之区域； monitoring of deck areas and areas surrounding the ship; 5. 控制上船人员及其影响； controlling the embarkation of persons and their effects; 6. 监督货物及船用品之装卸； supervising the handling of cargo and ship’s stores; and 7. 确认港口特殊保全联络之随时备便； ensuring that port-specific security communication is readily available. 在保全等级二时，载明於船舶保全计划内之上述每一项行动之额外保护措施均须实施，并 须虑及本章程 Part B 所提及之指导方针。 At security level 2, the additional protective measures, specified in the ship security plan, shall be implemented for each activity detailed in above items, taking into account the guidance given in Part B of this Code. 在保全等级三时，载明於船舶保全计划内之上述每一项行动之更多的特殊保护措施均须实 施，并须虑及本章程 Part B 所提及之指导方针。 At security level 3, further specific protective measures, specified in the ship security plan, shall be implemented for each activity detailed in above items, taking into account the guidance given in Part B of this Code. 总号：178
　　925-7 此外，在保全等级三时，船舶须回应及实施任何设定保全等级三之签约国政府所指定之保 全指示。 In addition, at security level 3, ships are required to respond to and implement any security instructions specified by the Contracting Government which has set security level 3. 在保全等级二及三时，船舶须承认收到指定权责机关之保全等级改变的指示，船舶须与港 口设施保全官确认载明於船舶保全计划之适宜的措施与程序，及设定保全等级三之签约国 政府所发出之指示已开始实施，并报告任何施行之困难，在此情况下，港口设施保全官与 船舶保全官须连络与协调适当的行动。 At security level 2 and 3, the ship shall acknowledge receipt of the designated authority’s instructions on the change in the security level. The ship shall confirm to the port facility security officer the initiation of the implementation of the appropriate measures and procedures as detailed in the ship security plan, and in the case of security level 3 in instructions issued by the Contracting Government which has set security level 3. The shall report any difficulties in implementation. In such cases, the port facility officer and ship security officer shall liaise and co-ordinate the appropriate actions. 如果船舶应政府要求去设定或已经设定，比欲进入之港口或正停泊之地点较高之保全等 级，那麼，船舶须通知指定之权责机关及港口设施保全官此种情况，不可延误。在此情况 下，如果须要的话，船舶保全官须与港口设施保全官连络与协调适当的行动。 If a ship is required by the Administration to set, or is already at, a higher security level than that set for the port it intends to enter or in which it is already located, then the ship shall advise, without delay, the designated authority and the port facility security officer of the situation. In such cases, the ship security officer shall liaise with the port facility officer and co-ordinate appropriate actions, if necessary. 当船籍国在另一签约国政府之港口内设定保全等级二或三时，须通知该签约国政府，不可 延误。 An Administration requiring ships entitled to fly its flag to set security level 2 or 3 in a port of another Contracting Government shall inform that Contracting Government without delay. 船舶保全评量 Ship Security Assessment （SSA） 船舶保全评量是制作及更新船舶保全计划的重要且必要的过程。 The ship security assessment is an essential and integral part of the process of developing and updating the ship security plan. 公司保全官须确认船舶保全评量由具有对船舶保全评估有技能之胜任人员执行，遵行此项 时，须虑及本章程 Part B 所提及之指导方针。 The company security officer shall ensure that the ship security assessment is carried out by competent persons with skills to evaluate the security of a ship, in accordance with this section, taking into account the guidance given in Part B of this Code. 船舶保全评量须包括现场保全视查及至少以下之要素： The ship security assessment shall include an on-scene security survey and, at least, the 总号：179
　　925-8 following elements: 1. 鉴定现存之保全措施，程序及操作； identification of existing security measures, procedures and operations; 2. 鉴定及评估需防护之主要船上操作； identification and evaluation of key ship board operations that it is important to protect; 3. 鉴定对主要之船上操作可能之威胁及发生之可能性，以建立保全措施及排定优先次序； identification of possible threats to the key ship board operations and the likelihood of their occurrence, in order to establish and prioritise security measures; and 4. 鉴定出弱点，包括在基本设施，政策及程序上之人为因素； identification of weaknesses, including human factors in the infrastructure, policies and procedures. 公司须将船舶保全评量视为正式资料，检视及保留。 The ship security assessment shall be documented, verified and retained by the Company. 船舶保全计划 Ship Security Plan（SSP） 每一船舶需於船上备置由政府认可之船舶保全计划，此计划需安排本章程所定义之三个保 全等级的规定。 Each ship shall carry on board a ship security plan approved by the Administration. The plan shall make provisions for the three security levels as defined in this part. 政府可将船舶保全计划之检视及核可，或先前核可计划之修正本，交托给认可之保全组织。 The Administration may entrust the review and approval of ship security plans, or of amendments to a previously approved plan, to recognized security organizations. 在此情况下，当认可之保全组织从事某船之船舶保全计划或修订本之检视及核可时，不可 参与其船舶保全评量和计划之准备或修改。 In such cases the recognized security organization, undertaking the review and approval of a ship security plan, or its amendments, of a specific ship shall not have been involved in either the preparation of the ship security assessment or of the ship security plan, or of the amendments. under examination. 呈送船舶保全计划或修定本核可时，必须一并呈送该船舶保全计划或修定本之研发基础的 船舶保全评量。 Submission of ship security plans, or amendments, for approval shall be accompanied by the security assessment on the basis of which the plan, or the amendments, have been developed. 船舶保全计划之研发必须虑及本章程 Part B 所提及之指导方针，且必须以工作语言或船上 之语言撰写，如果该语言不是英语，法语或西班牙语，则必须有该语言之翻译本，该计划 至少须由以下组成： Such a plan shall be developed, taking into account the guidance given in Part B of this Code and shall be written in the working language or languages of the ships. If the language or languages used is not English, French or Spanish, a translation into one of these languages shall be included. The plan shall consist, at least, of: 总号：180
　　925-9 1.设计措施以防止未授权载运，企图用来针对人、船或码头之武器，危险物质及装置被运 上船。 measures designed to prevent weapons, dangerous substances and devices intended for use against people, ships or ports and the carriage of which is not authorized-from being taken means on board the ship; 2.鉴别管制地区及防止未授权登轮及进入船上管制地区之措施； identification of the restricted areas and measures for the prevention of unauthorized access to the ship and to restricted areas on board; 3.用来回应保全威胁或保全破坏之程序，包括维持船上或船岸界面危急操作之规定； procedures for responding to security threats or breaches of security, including provisions for maintaining critical operations of the ship or ship/port interface; 4.用来回应由签约国政府於保全等级三所给的任何保全指示之程序； procedures for responding to any security instructions Contracting Governments may give at security level 3; 5.当有保全威胁或保全破坏时之撤退程序； procedures for evacuation in case of security threats or breaches of security; 6.指派予船员之保全责任之任务，和其它因保全情势而在船之人员之任务； duties of shipboard personnel assigned security responsibilities and of other shipboard personnel on security aspects; 7.稽核保全行动之程序； procedures for auditing the security activities; 8.与船舶保全计划有关联之训练，演习及操演之程序； procedures for training and exercises and drills associated with the plan; 9.与港口设施形成界面之保全行动之程序； procedures for interfacing with port facility security activities; 10.船舶保全计划之定期审视与更新之程序； procedures for the periodic review of the plan and for updating; 11.报告保全事件之程序； procedures for reporting security incidents; 12.船舶保全官之辨识； identification of the ship security officer; 13.公司保全官之辨识，包括 24 小时之连络细节； identification of the company security officer including with 24-hour contact details; 14.任何提供在船的保全设备之检查，测试，校准及保养之确认程序； procedures to ensure the inspection, testing, calibration, and maintenance of any security equipment provided on board, if any; 15.装置船舶保全示警系统作动点位置之辨认； 及 identification of the locations where the ship security alert system activation points are fitted; and 16.使用船舶保全示警系统，包括测试，启动，撤消及重新设定之程序，指示及指导方针。 总号：181
　　925-10 procedures, instructions and guidance on the use of the ship security alert system, including the testing, activation, deactivation and resetting. 执行载明於船舶保全计划之保全行动之内稽，或评估实施状况之人员，必须独立於该被稽 核保全行动之外，除非由於公司或船舶之大小及性质而为不切实际的。 Personnel conducting internal audits of the security activities specified in the plan or evaluating its implementation shall be independent of the activities being audited unless this is impracticable due to the size and the nature of the Company or of the ship. 船舶保全计划也可合并於 SOLAS 第九章之船舶安全管理系统。 The ship security plan may be combined with the safety management system referred to in chapter IX. 船舶保全计划之改变，若有关载明於（…）至（…）之项目，除非经政府核可，否则不能 实施。 Changes to the ship security plan, with respect to items specified in sections （…） to （…）, shall not be implemented unless approved by the Administration. 船舶保全计划可用电子格式保存，在此种情况时，必须加以防护，以免被删除，毁坏或覆 盖。 The plan may be kept in an electronic format. In such a case, it shall be protected by means to prevent it from being deleted, destroyed or overwritten. 船舶保全计划须防止被未授权之接触或泄露。 The plan shall be protected from unauthorized access or disclosure. 船舶保全计划之检查，并不是通常都遵从经签约国政府适当授权之官员，根据 SOLAS XI-2/9 之规定实施管制。无论如何，如果有清楚的证据，相信该船违反 SOLAS XI-2 章或 本章程，及其它未载明於 SOLAS XI-2/9 之情况下，为了查证该船是否符合保全需求及， 如果必要的话，要求适当之矫正行动，在此目的下，接触船舶保全计划是被授权的。 Ship security plans are not generally subject to inspection by duly authorized by a Contracting Government to carry out control in accordance with regulation XI-2/9. However, if there are clear grounds for believing that the ship is in violation of the requirements of chapter XI-2 or of this part of this Code, and in the circumstances otherwise specified in regulation XI-2/9, access to the ship security plan is authorized for the purpose of verifying that the ship security requirements have been met and, if necessary, to require appropriate corrective actions. 总号：182