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Port Facility Security Rules of the People's Republic of China (2019 Amendment) [Revised]
中华人民共和国港口设施保安规则(2019修订) [已被修订]
【法宝引证码】

Port Facility Security Rules of the People's Republic of China 

中华人民共和国港口设施保安规则

(Issued by the Ministry of Transport on December 17, 2007; amended for the first time in accordance with the Decision of the Ministry of Transport on Amending the Port Facility Security Rules of the People's Republic of China (No. 68 [2016], MOT) on September 2, 2016; and amended for the second time in accordance with the Decision of the Ministry of Transport to Amend the Port Facility Security Rules of the People's Republic of China on June 3, 2019) (2007年12月17日交通部发布 根据2016年9月2日《交通运输部关于修改〈中华人民共和国港口设施保安规则〉的决定》第一次修订 根据2019年6月3日《交通运输部关于修改〈中华人民共和国港口设施保安规则〉的决定》第二次修订)

Chapter I General Provisions 

第一章 总 则

Article 1 For the purpose of strengthening the security work of port facilities, these Rules are developed, in accordance with the amended Convention on the Safety of Life at Sea 1974 (hereinafter referred to as the “SOLAS Convention”), the International Ship and Port Facility Security Code (hereinafter referred to as the “ISPS Code”), and the International Maritime Dangerous Goods Code.   第一条 为加强港口设施保安工作,根据经修订的《1974年国际海上人命安全公约》(以下简称SOLAS公约)、《国际船舶和港口设施保安规则》(以下简称ISPS规则)和《国际海运危险货物规则》,制定本规则。
Article 2 The security work of port facilities for passenger vessels navigating international routes, cargo vessels of and above 500 gross tons, special purpose vessels of and above 500 gross tons, and mobile offshore drilling platform services shall be governed by these Rules.   第二条 为航行国际航线的客船、500总吨及以上的货船、500总吨及以上的特种用途船和移动式海上钻井平台服务的港口设施保安工作,适用本规则。
Article 3 The following terms shall mean as follows when they are used in these Rules:   第三条 本规则下列用语的含义是:
(1) “Vessel-port interface activities” means the interactive activities that occur at the time of exchange and contact of persons between vessels and ports, loading and unloading of goods, or acceptance of other port services. (一)船港界面活动,是指船舶与港口之间人员往来、货物装卸或者接受其他港口服务时发生的交互活动;
(2) “Port facilities” means the places where vessel-port interface activities take place at ports, including docks and their corresponding facilities and navigation channels, anchorage grounds, and other public port infrastructures. (二)港口设施,是指在港口发生船港界面活动的场所,包括码头及其相应设施和航道、锚地等港口公用基础设施;
(3) “Vessel-to-vessel activities” means the acts of transferring articles or persons from one vessel to another. (三)船到船活动,是指从一船向另一船转移物品或者人员的行为;
(4) “Security incidents” means all suspicious acts or circumstances that threaten the safety of vessels, port facilities, vessel-port interface activities, and vessel-to-vessel activities. (四)保安事件,是指威胁船舶、港口设施、船港界面活动和船到船活动安全的任何可疑行为或者情况;
(5) “Security level” means the risk classification level of security incidents that may occur. (五)保安等级,是指可能发生保安事件的风险级别划分;
(6) “Security assessment for port facilities” means the activities that a port administrative department at the place where a port is located analyzes the security situation of port facilities and offers relevant suggestions on the security measures. (六)港口设施保安评估,是指港口所在地港口行政管理部门通过对港口设施保安状况进行分析并提出相关保安措施建议的活动;
(7) “Security Plan for Port Facilities” means the plan developed by an operator or manager of port facilities according to the security assessment report, to ensure the implementation of the measures aiming at protecting the port facilities, as well as the vessel, persons, cargo, cargo transport unit, and materials on board inside the port facilities from the threat of security incidents. (七)港口设施保安计划,是指港口设施经营人或者管理人根据保安评估报告为确保采取旨在保护港口设施和港口设施内的船舶、人员、货物、货物运输单元和船上物料免受保安事件威胁的措施而制订的计划;
(8) “Security supervisor of port facilities,” also known as “security officer of port facilities,” means a person designated by an operator or manager of port facilities to be responsible for developing, implementing, and adjusting the Security Plan for Port Facilities, and keeping security contact with security officers of the vessel and the shipping company. (八)港口设施保安主管,又称港口设施保安员,是指被港口设施经营人或者管理人指定负责制定、实施、调整《港口设施保安计划》,并与船舶保安员和船公司保安员进行保安联络的人员;
(9) “Security statement” means the written agreement signed between the port facilities and the vessel in order to coordinate with the security measures taken by them when the port interface activities occur (See Annex 1 for the format). (九)保安声明,是指发生船港界面活动时,港口设施与船舶为协调各自采取的保安措施签署的书面协议(式样见附件1);
(10) “Alternative security agreement” means a bilateral or multilateral security agreement signed between the Chinese government and the government of another contracting state of the SOLAS Convention concerning the port facilities on fixed short-haul routes between these two countries. (十)替代保安协议,是指我国政府与其他SOLAS公约缔约国政府就相互间固定短程航线上的港口设施签署的双边或者多边保安协议;
(11) “Security training on port facilities” means the exercises carried out for some or all security measures and emergency response procedures as prescribed in the Security Plan for Port Facilities. (十一)港口设施保安训练,是指对《港口设施保安计划》规定内容的部分或者全部保安措施和应急反应程序进行的练习;
(12) “Security exercises for port facilities” means the exercises in which several entities participate and that are carried out under the cooperation of several entities according to the Security Plan for Port Facilities, through simulation of security incidents, in order to verify, evaluate and enhance the comprehensive response and coordination capacity of the security organizations at all levels, relevant departments, port facilities, and personnel. (十二)港口设施保安演习,是指为了验证、评价和提高各级保安组织、相关部门、港口设施及人员的综合反应和协调配合能力,通过模拟保安事件,根据《港口设施保安计划》进行的多单位参与、协同进行的练习;
(13) “Manager of port facilities” means a subject managing the navigation channels, anchorage grounds, and other public infrastructures of ports. (十三)港口设施管理人,是指航道、锚地等港口公用基础设施的管理主体。
Article 4 The Ministry of Transport shall be in charge of the security work of port facilities across the country and perform the following functions:   第四条 交通运输部主管全国港口设施保安工作,履行下列职责:
(1) It shall develop and issue the national rules and technical standards on the security work of port facilities. (一)制定并发布全国港口设施保安工作制度和技术标准;
(2) It shall determine and issue the security level of port facilities, the basic security measures of all security levels (see Annex 2 for the contents), and the security instructions under Security Level 3. (二)确定并发布港口设施保安等级和各保安等级的基本保安措施(内容见附件2)及3级保安状态下的保安指令;
(3) It shall establish a national security management information system of port facilities, collect, clear up, and analyze the security information of port facilities, and provide the information to the relevant entities under the provisions, and notify the International Maritime Organization, the governments of the relevant contracting states and other relevant domestic authorities as the case may be. (三)建立全国港口设施保安管理信息系统,收集、整理、分析港口设施保安信息并按规定向相关单位提供,视情向国际海事组织、相关缔约国政府以及国内其他相关部门通报;
(4) It shall organize the annual verification of the Statement of Compliance of a Port Facility and conduct random inspection. (四)组织对《港口设施保安符合证书》(式样见附件3)年度核验工作进行抽查;
(5) It shall sign an alternative security agreement. (五)签署替代保安协议;
(6) It shall organize nationwide security exercises of port facilities. (六)组织全国性的港口设施保安演习。
Article 5 Provincial transport (port) administrative departments shall be responsible for the security work of port facilities within their respective administrative regions and specifically perform the following functions:   第五条 省级交通运输(港口)管理部门负责本行政区域内的港口设施保安工作,具体履行下列职责:
(1) They shall issue the Statement of Compliance of a Port Facility; (一)核发《港口设施保安符合证书》;
(2) They shall organize the annual verifications of the Security Qualification Certificates of Port Facilities; (二)负责《港口设施保安符合证书》年度核验工作;
(3) They shall collect, clear up, and analyze the security information of port facilities and provide the information to the relevant entities; (三)收集、整理、分析并向相关单位提供港口设施保安信息;
(4) They shall organize regional security exercises of port facilities. (四)组织区域性港口设施保安演习。
Article 6 A port administrative department in the place where a port is located shall perform the following functions:   第六条 港口所在地港口行政管理部门履行下列职责:
(1) It shall be responsible for organizing security assessment of port facilities and the follow-up revision of the assessment reports. (一)负责组织港口设施保安评估和评估报告的后续修订;
(2) It shall supervise and examine the implementation of the Security Plan for Port Facilities. (二)监督检查《港口设施保安计划》的实施;
(3) It shall collect, clear up, and analyze the security information of port facilities and provide the information to the relevant entities. (三)收集、整理、分析并向有关单位提供港口设施保安信息;
(4) It shall organize security exercises of port facilities of the port. (四)组织本港港口设施保安演习;
(5) It shall conduct security assessment for the public port infrastructures of the port under its administration and develop the Security Assessment Report for Port Facilities. (五)对其管理的港口公用基础设施进行保安评估,编写《港口设施保安评估报告》;
(6) It shall examine the Security Plan for Port Facilities and issue opinions of examination and amendment to the operator or manager of the port facilities. (六)对《港口设施保安计划》进行审核,并向港口设施经营人或者管理人出具审核修改意见;
(7) Upon entrustment of the provincial transport (port) administrative department, it shall verify the security work of the port facilities for which annual verification of the Statement of Compliance of a Port Facility has been applied in the previous year and submit the verification report. (七)受省级交通运输(港口)管理部门委托,对申请《港口设施保安符合证书》年度核验的港口设施上一年度的保安工作进行核查并提交核查报告;
(8) It shall supervise and examine the collection and use of the security fees of the port facilities. (八)监督检查港口设施保安费的征收和使用。
Article 7 An operator or manager of the port facilities shall perform the following functions:   第七条 港口设施经营人或者管理人履行下列职责:
(1) It shall be responsible for developing the Security Plan for Port Facilities and the follow-up amendment thereto. (一)负责制订《港口设施保安计划》和后续修订;
(2) It shall implement the Security Plan for Port Facilities. (二)实施《港口设施保安计划》;
(3) It shall provide necessary conditions for the performance of duties by security supervisors of port facilities. (三)为港口设施保安主管履行职责提供必要的条件;
(4) It shall implement the security instructions issued by the Ministry of Transport under Security Level 3. (四)在3级保安状态下,实施交通运输部发出的保安指令;
(5) It shall collect, clear up, and analyze the security information of port facilities and provide the information to the relevant departments. (五)收集、整理、分析并向有关部门提供港口设施保安信息;
(6) It shall provide security trainings on port facilities and participate in security exercises of port facilities. (六)进行港口设施保安训练,参加港口设施保安演习。
An operator of port facilities shall collect security fees for port facilities under the provisions. 港口设施经营人按照规定收取港口设施保安费。
Article 8 As an important part of port safety management, port facility security shall be considered in an overall manner with the port production and operation, and follow the principles of economy, environmental protection and resource sharing.   第八条 港口设施保安是港口安全管理的重要内容,应当与港口生产经营统筹考虑,遵循节约、环保、资源共享的原则。
The main responsible person of an operator or manager of port facilities shall be in charge of the security work of port facilities of the entity. 港口设施经营人或者管理人的主要负责人负责领导本单位的港口设施保安工作。
Article 9 The relevant costs for the development and implementation of security assessment and security plan for port facilities shall be covered by the security fees for port facilities.   第九条 港口设施的保安评估和保安计划的制定及实施的有关费用由港口设施保安费支出。
Chapter II Security Level 

第二章 保安等级

Article 10 The Ministry of Transport shall, according to the relevant intelligence information, the domestic and overseas situation, the factors affecting the social and political stability, the credibility of the threat information, the extent to which the threat information is verified, the specific or urgent degree of the threat information, and the potential consequences of security incidents, determine the security level of port facilities.   第十条 交通运输部应当根据相关情报信息,国内外形势以及影响社会政治稳定的因素,威胁信息的可信程度、威胁信息得到印证的程度、威胁信息的具体或者紧迫程度和保安事件的潜在后果,确定港口设施的保安等级。
Local transport (port) administrative departments at all levels may offer suggestion of changing the security level of port facilities to the Ministry of Transport. 地方各级交通运输(港口)管理部门可以向交通运输部提出变更港口设施保安等级的建议。
Article 11 The security level of port facilities is divided into three levels from low to high, which are respectively security Level 1, Security Level 2 and Security Level 3.   第十一条 港口设施的保安等级从低到高分为三级,分别是保安等级1、保安等级2和保安等级3。
Security Level 1 means the level at which minimum preventive security measures shall always be maintained. 保安等级1是指应当始终保持的最低防范性保安措施的等级。
Security Level 2 means the level at which appropriate additional protective security measures shall be maintained for a period of time due to the increased risk of security incidents. 保安等级2是指由于保安事件危险性升高而应在一段时间内保持适当的附加保护性保安措施的等级。
Security Level 3 means the level at which further special protective security measures shall be maintained for a limited period of time when a security incident may occur or may soon occur (although it may not yet be possible to determine a specific objective). 保安等级3是指当保安事件可能或者即将发生(尽管可能尚无法确定具体目标)时应当在一段有限时间内保持进一步的特殊保护性保安措施的等级。
Article 12 Where the basis for the Ministry of Transport to determine the port facility security level to be Level 2 or 3 disappears, the security level of the port facilities shall be adjusted in a timely manner.   第十二条 交通运输部确定港口设施保安等级为2级或者3级的依据消失时,应当及时调整港口设施的保安等级。
When the Ministry of Transport determines to implement Security Level 3, under necessary circumstances, appropriate security instructions shall be issued and information relevant to security shall also be provided to the port facilities that may be affected. 交通运输部确定实施3级保安时,在必要的情况下应当发出适当的保安指令,并向可能受到影响的港口设施提供与保安有关的信息。
Article 13 An operator or manager of port facilities shall, according to the changes in the security level, adjust the security measures in a timely manner in accordance with the Security Plan for Port Facilities.   第十三条 港口设施经营人或者管理人应当根据保安等级的变化,按照《港口设施保安计划》及时调整保安措施。
At the Security Level 3, an operator or manager of port facilities shall implement the security instructions issued by the Ministry of Transport. The transport (port) administrative department of a province (autonomous region) and the port administrative department at the place where a port is located shall supervise the implementation of the security instructions. 在3级保安状态下,港口设施的经营人或者管理人应当执行交通运输部发出的保安指令,省、自治区交通运输(港口)管理部门和港口所在地港口行政管理部门应当监督保安指令的执行。
Article 14 To change the security level of port facilities, the Ministry of Transport shall, in light of the specific circumstances, notify the relevant transport (port) administrative department, maritime safety administration, and operator or manager of port facilities in a timely manner and in an appropriate way.   第十四条 交通运输部变更港口设施保安等级,应当根据具体情况及时以适当的方式通知有关的交通运输(港口)管理部门、海事管理机构、港口设施经营人或者管理人。
Article 15 After receiving a decision on the change in the security level of port facilities, the transport (port) administrative department, the maritime safety administration, and the operator or manager of port facilities shall confirm it and report the corresponding measures taken.   第十五条 各级交通运输(港口)管理部门、海事管理机构、港口设施经营人或者管理人收到港口设施保安等级变更的决定后,应当予以确认,并报告所采取的相应措施。
Article 16 When the security level of a vessel planning to enter a port or in port is higher than the security level of port facilities, the security supervisor of port facilities shall negotiate with the security officer of the vessel or the security officer of the shipping company, assess the relevant circumstances, determine the appropriate security measures, and sign a Security Statement; and the security level of the vessel planning to enter a port or in port shall not be lower than the security level of the port facilities.   第十六条 计划入港或者在港的船舶保安等级高于港口设施的保安等级时,港口设施保安主管应当与船舶保安员或者船公司保安员协商,对有关情况做出评估,确定适当的保安措施,签署《保安声明》;计划入港或者在港的船舶保安等级不得低于该港口设施保安等级。
Article 17 An operator or manager of port facilities shall record the relevant circumstances during the process of changing the security level of the port facilities, as the reference basis for conducting port facility security assessment, developing the Security Assessment Report for Port Facilities, developing (amending) the Security Plan for Port Facilities, and implementing the Security Plan for Port Facilities.   第十七条 港口设施经营人或者管理人应当将港口设施保安等级变更过程中的有关情况予以记录,作为进行港口设施保安评估、编写《港口设施保安评估报告》、制(修)订《港口设施保安计划》、实施《港口设施保安计划》的参考依据。
Chapter III Security Assessment 

第三章 保安评估

Article 18 The port administrative department in the place where a port is located shall be responsible for the security assessment of port facilities.   第十八条 港口所在地港口行政管理部门负责港口设施保安评估。
Article 19 The port facility security assessment shall conform to the standards on port facility security assessment developed by the Ministry of Transport.   第十九条 港口设施保安评估应当符合交通运输部制定的港口设施保安评估规范。
On-site security inspection shall be conducted for security assessment of port facilities. On-site security inspections include inspecting and assessing the existing security measures, procedures and operations at the port. 港口设施保安评估应当进行现场保安检验。现场保安检验包括检查和评估港口的现有保安措施、程序和操作。
Article 20 The following items shall be assessed in the security assessment of port facilities:   第二十条 对港口设施进行保安评估应当评估下列事项:
(1) the security condition of the facilities; (一)设施的保安状况;
(2) the structure and layout of the facilities; (二)设施的结构、布局情况;
(3) the safety system for the protection of persons; (三)对人员进行保护的安全体系;
(4) the procedures for the security work; (四)保安工作程序;
(5) the radio and telecommunications systems, including the computer systems and networks; and (五)无线电和电信系统,包括计算机系统和网络;
(6) other areas which may pose a risk to persons, property, or port operation, if damaged or used for illegal peeping. (六)如被损害或者被用于非法窥测,会对人员、财产或者港口作业构成危险的其他区域。
Article 21 The following work shall be carried out for security assessment of port facilities:   第二十一条 港口设施保安评估应当进行以下工作:
(1) The property and infrastructures under special protection shall be determined and assessed. (一)确定和评估重点保护的财产和基础设施;
(2) The factors that may threaten the property and infrastructures and the possibility of their occurrence shall be identified, and corresponding security requirements shall be determined. (二)对可能威胁财产和基础设施的因素及其发生的可能性进行识别,并确定相应的保安要求;
(3) The security measures taken shall be identified, selected, and optimized according to the factors that may threaten the property and infrastructures, the possibility of their occurrence, and corresponding security requirements. (三)根据可能威胁财产和基础设施的因素及其发生可能性的识别结果,以及相应的保安要求,对采取的保安措施进行鉴别、选择和优化;
(4) The security protection system, operation process, etc. of port facilities and persons shall be analyzed, the weak links therein that may lead to security incidents shall be determined, and the measures for eliminating the weak links or reducing the impact of the weak links shall be offered. (四)分析港口设施和人员的安全保护体系、运营流程等,确定其中可能导致保安事件的薄弱环节,提出消除薄弱环节或者降低薄弱环节影响的措施。
Article 22 An assessment report shall be developed after the security assessment for port facilities is completed.   第二十二条 港口设施保安评估完成后应当编写评估报告。
The Security Assessment Report for Port Facilities shall, in combination with the reality of the port facilities, comprehensively reflect the progress of the assessment and include the main contents: 《港口设施保安评估报告》应当结合港口设施实际情况,全面反映评估的开展情况,内容主要包括:
(1) the basic information on the port facilities, including the type, location, operator, owner of the facilities, and types of vessels that may provide services; (一)港口设施的基本情况,包括设施种类、位置、经营人、所有人、可以提供服务的船舶类型等情况;
(2) the investigation and analysis of the security status of the port facilities; (二)港口设施的保安现状调查及分析;
(3) the prediction of security incidents and risk control assessment; (三)保安事件预测及风险控制评估;
(4) the risk assessment methods and the application thereof; (四)风险评估方法及应用;
(5) the weak links that may lead to security incidents and the explanation therefor; (五)可能导致保安事件的薄弱环节及说明;
(6) the proposals for the measures to eliminate the weak links or reducing the impact of the weak links; and (六)消除薄弱环节或者降低薄弱环节影响的措施建议;
(7) the assessment conclusion. (七)评估结论。
Article 23 The security assessment of port facilities shall be carried out every 5 years.   第二十三条 港口设施的保安评估每五年进行一次。
In the event of a significant change in port facilities, the security assessment shall be re-conducted. Re-conduction of security assessment and the relevant procedures shall be handled in accordance with the provisions of this Chapter. 港口设施发生重大变化时,应当重新进行保安评估。重新进行保安评估及相关程序按照本章规定办理。
For the purpose of the preceding paragraph, significant changes include the significant change in the main port facilities or their functions, the significant change in the procedures for the coordination and cooperation of the port facility security organizations, the communication systems, and the security work, and the major security incidents occurred to port facilities. 前款所称重大变化包括港口主要设施或者其功能发生重大变化,港口设施保安组织、通信系统、保安工作的协调与配合程序发生重大改变,港口设施发生了重大保安事件等。
Article 24 Several port facilities operated by a same operator with similar position, operation mode, equipment, and design shall be jointly assessed and one Security Assessment Report for Port Facilities shall be developed therefor.   第二十四条 如果同一经营人所经营的多个港口设施位置、运营方式、设备和设计相类似,可以共同评估并制作一份《港口设施保安评估报告》。
Article 25 The Security Plan for Port Facilities shall be kept confidential. The operators or managers of port facilities and the port administrative departments at all levels shall develop and implement the measures for preventing the disclosure of the Security Plan for Port Facilities.   第二十五条 《港口设施保安评估报告》应当保密,港口设施和承担港口设施保安评估的机构应当制定并落实防止擅自接触、泄露的措施。
Chapter IV Security Plan 

第四章 保安计划

Article 26 The operator or manager of the port facilities shall be responsible for developing the Security Plan for Port Facilities.   第二十六条 港口设施经营人或者管理人负责制订《港口设施保安计划》。
An operator or manager of the port facilities shall, according to the Security Assessment Report for Port Facilities issued by the port administrative department in the place where the port is located and the Guidelines for the Development of Security Plan for Port Facility issued by the Ministry of Transport, draft and develop the Security Plan for Port Facilities, organize experts to conduct on-site inspection and examination, and amend the Security Plan for Port Facilities according to the on-site inspection results and examination opinions. The information on on-site inspection shall be recorded.
......
 港口设施经营人或者管理人应当根据所在地港口行政管理部门出具的《港口设施保安评估报告》和交通运输部发布的《港口设施保安计划制订导则》起草制订《港口设施保安计划》,并组织专家进行现场检验和审查,根据现场检验结果和审查意见对《港口设施保安计划》进行修改。现场检验情况应当记录。
......

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