Circular Letter
MSC/Circ.1074
INTERIM GUIDELINES FOR THE AUTHORIZATION OF RECOGNIZED SECURITY ORGANIZATIONS
ACTING ON BEHALF OF THE ADMINISTRATION AND/OR DESIGNATED AUTHORITY OF A
CONTRACTING GOVERNMENT
(adopted
on 6 June 2003)
1.
The Maritime Safety Committee at its seventy-seventh session (28 May to 6 June
2003), bearing in mind the provisions of section 4.3 of Part A and sections 4.3
to 4.7 of part B of the International Ship and Port Facility Security Code
(ISPS) on Recognized Security Organization (RSO), developed the attached
Interim guidelines for the authorization of recognized security organizations
acting on behalf of the Administration and/or designated authority of a
Contracting Government.
2.
The interim guidelines may be revised, based on the experience gained on the
implementation of the new SOLAS chapter XI-2 and the ISPS Code and, in
particular, with the designation of RSO's after 1 July 2004.
3.
Member Governments and international organizations concerned are recommended to
bring this circular to the attention of all parties concerned.
ANNEX.
INTERIM GUIDELINES FOR THE AUTHORIZATION OF RECOGNIZED SECURITY ORGANIZATIONS
ACTING ON BEHALF OF THE ADMINISTRATION AND/OR DESIGNATED AUTHORITY OF A
CONTRACTING GOVERNMENT
1.
Under the provisions of SOLAS regulation 1/6 and, inter alia, SOLAS regulation
XI-2/1.16 "Special measures to enhance maritime security", Recognized
Security Organization (RSO's) may be delegated specific functions on behalf of
the Administration and/or the Designated Authority of the Contracting
Government. The following functions may be delegated in whole or in part to
RSO's:
.1 approval of ships
security plans;
.2 verification for ships;
.3 issuance and endorsement
of International Ship Security Certificates; and
.4 development of port
facility security assessments.
2.
In no instance may the RSO approve, verify, or certify a work product that it
has developed (e.g. preparation ship security assessments, preparation ship
security plans or of amendments under review).
3.
Control in the assignment of such authority is needed in order to promote
uniformity of assessments, verification, approval and certification activities
required by SOLAS chapter XI-2 or by part A of the International Ship and Port
Facility Security (ISPS) Code. Therefore, any delegation of authority to RSO,
should:
.1 determine that the
security organization has adequate resources in terms of technical, managerial
and operational capabilities to accomplish the tasks, being assigned, in accordance
with the interim guidelines for RSO's acting on behalf of the Administration
and/or Designated Authority as set out in Appendix 1;
.2 have a formal written
agreement between the Administration or Designated Authority and the RSO being
authorized;
.3 specify instructions
detailing actions to be followed in the event that a ship is found not in
compliance with the relevant provisions of international requirements for which
the RSO has been delegated authority;
.4 provide the RSO with all
appropriate instruments of national law giving effect to the provisions of the
conventions or specify whether the Administrations and/or Designated
Authority's standards go beyond convention requirements in any respect; and
.5 specify that the RSO
maintain records that can provide the Administration and/or Designated
Authority with data to assist in interpretation and implementation of specific
convention regulations.
4.
The Administration and/or Designated Authority should establish a system to
ensure the adequacy of work performed by the RSO's authorized to act on its
behalf. Such a system should, inter alia, include the following items:
.1 procedures for
communication with the RSO;
.2 procedures for reporting
from the RSO and processing of reports by the Administration and/or Designated
Authority;
.3 additional ship and port
facility inspections and audits by the Administration and/or Designated
Authority or other delegated organizations;
.4 the Administration's
and/or Designated Authority's evaluation/acceptance of the certification of the
RSO's quality system by an independent body of auditors recognized by the
Administration and/or Designated Authority; and
.5 the Administration and/or
Designated Authority should monitor and verify the activities related to
security delegated to the RSO as appropriate. The Administration and/or
Designated Authority maintain the ultimate authority continue or revoke
delegations to RSO's.
APPENDIX 1.
INTERIM GUIDELINES FOR AUTHORIZATION OF RECOGNIZED SECURITY ORGANIZATIONS
ACTING ON BEHALF OF THE ADMINISTRATION AND/OR DESIGNATED AUTHORITY OF A
CONTRACTING GOVERNMENT
A
Security Organization may be recognized by the Administration and/or Designated
Authority to perform statutory work on its behalf subject to compliance with
the following interim guidelines for which the recognised security organization
(RSO) should submit complete information and substantiation.
1.
The relative size, structure, experience and capability of the RSO commensurate
with the type and degree of authority intended to be delegated thereto should
be demonstrated.
2.
The RSO should be able to document capability and experience in performing
security assessments, developing risk assessments, conducting maritime verification,
approval and certification activities for ships and/or for port facilities and
their ancillary equipment, as appropriate.
3.
The following should apply for the purpose of delegating authority to perform
port facility security assessment and ship verification, and certification
services of a statutory nature in accordance with regulatory instruments which
require the ability to integrate ship and port interface operational
considerations with maritime security threats, and to develop, verify and audit
specific requirements:
3.1 The RSO should provide
for the publication and systematic maintenance of procedures in the English
language for the conduct of activities to ensure compliance with delegated
authorities pursuant to SOLAS chapter XI-2. Updating of these procedures should
be done on a periodic basis at intervals acceptable to the Administration.
3.2 The RSO should allow
participation in the development of its procedures by representatives of the
Administration and/or Designated Authority and other parties concerned.
3.3 The RSO should be
established with:
.1 an adequate technical,
managerial and support staff capable of developing and maintaining its
procedures; and
.2 a qualified professional
staff to provide the required service representing an adequate geographical
coverage as required by the Administration and/or Designated Authority.
3.4 The RSO should be
governed by the principles of ethical behaviour, which should be contained in a
Code of Ethics and as such recognize the inherent responsibility associated
with a delegation of authority to include assurance as to the adequate
performance of services as well as the confidentiality of related information
as appropriate.
3.5 The RSO should
demonstrate the technical, administrative and managerial competence and
capacity to ensure the provision of quality services in a timely fashion.
3.6 The RSO should be
prepared to provide relevant information to the Administration and/or
Designated Authority, as necessary.
3.7 The RSO's management
should define and document its policy and objectives for, and commitment to,
quality and ensure that this policy is understood, implemented and maintained
at all levels in the RSO.
3.8 The RSO should be
subject to certification of its quality system by an independent body of
auditors recognized by the Administration and/or Designated Authority. The
Administration and/or Designated Authority may serve as the auditor.
3.9 The RSO should develop,
implement and maintain an effective internal quality system based on
appropriate parts of internationally recognized quality standards no less
effective than the ISO 9000-2000 series, and which, inter alia, ensures that:
.1 the RSO's procedures are
established and maintained in a systematic manner;
.2 the RSO's procedures are
complied with;
.3 the requirements of the
statutory work for which the RSO is authorized, are satisfied;
.4 the responsibilities,
authorities and interrelation of personnel whose work affects the quality of
the RSO's services, are defined and documented;
.5 a supervisory system is
in place that monitors the actions and work carried out by the RSO;
.6 a system for
qualification of assessors, surveyors, and auditors and continuous updating of
their knowledge is implemented;
.7 records are maintained,
demonstrating achievement of the required standards in the items covered by the
services performed, as well as the effective operation of the quality system;
.8 a comprehensive system of
planned and documented internal audits of the quality related activities in all
locations is implemented;
.9 the RSO has established a
process and procedures to assess and monitor at periodic intervals the
trustworthiness of its personnel;