Under the provisions of SOLAS article I and chapter XI-2 and part A of the ISPS Code,
Contracting Governments are responsible for promulgating laws and regulations and for taking
other steps which may be necessary to give SOLAS chapter XI-2 and part A of the ISPS Code
full and complete effect so as to ensure that, from the point of view of security, a ship fully
complies with the applicable requirements.
SOLAS regulation XI-2/9 describes the control and compliance measures applicable to
ships to which SOLAS chapter XI-2 applies. It is divided into three distinct sections: control of
ships already in port; control of ships intending to enter a port of another Contracting
Government; and additional provisions applicable to both situations (ISPS Code
SOLAS regulation XI-2/9.1, on control of ships in port, implements a system for the
control of ships while in the port of another Contracting Government where duly authorized
officers of that Contracting Government, have the right to go on board the ship to verify that the
required International Ship Security Certificate (ISSC) or an Interim International Ship Security
Certificate (Interim ISSC) is in proper order. Then, if there are clear grounds to believe the ship
does not comply with the relevant regulations, control measures such as additional inspections or
detention may be taken. This system corresponds to the port State control inspections envisaged
in SOLAS regulation I/19. SOLAS regulation XI-2/9.1 builds on these provisions and allows for
additional measures (including expulsion of a ship from a port to be taken as a control measure)
when duly authorized officers have clear grounds for believing that a ship is in non-compliance
with the requirements of SOLAS chapter XI-2 or part A of the ISPS Code. SOLAS
regulation XI-2/9.3 describes the safeguards that promote fair and proportionate implementation
of these additional measures (ISPS Code paragraph B/4.30).
SOLAS regulation XI-2/9.2 applies control measures to ensure compliance for ships
intending to enter a port of another Contracting Government and introduces an entirely different
concept of control within SOLAS chapter XI-2, applying to security only, available to a port
State. Under this regulation measures may be implemented prior to the ship entering port, to
better ensure security. Just as in SOLAS regulation XI-2/9.1, this additional control system is
based on the concept of clear grounds for believing the ship does not comply with
SOLAS chapter XI-2 or part A of the ISPS Code, and includes safeguards in
SOLAS regulation XI-2/9.2.2 and XI-2/9.2.5 as well as in SOLAS regulation XI-2/9.3
(ISPS Code paragraph B/4.31).
The international law implications of SOLAS regulation XI-2/9 are particularly relevant,
and the regulation should be implemented with SOLAS regulation XI-2/2.4 in mind, as the
potential exists for situations where either measures will be taken which fall outside the scope of
SOLAS chapter XI-2, or where rights of affected ships, outside SOLAS chapter XI-2, should be
considered. Thus, SOLAS regulation XI-2/9 does not prejudice the Contracting Government
from taking measures having a basis in, and consistent with, international law to ensure the safety
or security of persons, ships, port facilities and other property in cases where the ship, although
in compliance with SOLAS chapter XI-2 and part A of the ISPS Code, is still considered to
present a security risk (ISPS Code paragraph B/4.34).
The establishment of clear grounds for the application of control measures is based not
only on the ship itself but also on interactions with port facilities or with other ships. A ship
otherwise compliant with SOLAS chapter XI-2 and part A of the ISPS Code may be subject to
appropriate control measures if that ship had interactions with a non-compliant port facility or
ship. In deciding whether to impose control measures in such cases, consideration should be
given to any special or additional security measures the ship implemented and maintained during
the interaction with the non-compliant port facility or ship to minimize the risk of a security
incident (ISPS Code paragraph B/4.33.6).
It is also possible that, at any time, reliable information may be received concerning a
ship in port which establishes clear grounds and results in control measures been immediately
applied to the ship without undertaking an inspection of the ship.
It should be noted that many of the provisions of part A of the ISPS Code require that the
guidance given in part B of the ISPS Code, albeit recommendatory, be taken into account. It
should also be noted that part B of the ISPS Code is a process that all parties concerned need to
go through in order to comply with part A of the ISPS Code. For example, section A/9.4 of the
ISPS Code requires that in order for an ISSC to be issued, paragraphs B/8.1 to B/13.8 of the
ISPS Code need to have been taken into account (MSC/Circ.1097).
When a Contracting Government imposes control measures on a ship, the Administration
should, without delay, be contacted with sufficient information to enable the Administration to
fully liaise with the Contracting Government (ISPS Code paragraph B/4.35).
This Guidance addresses the following aspects of the control and compliance measures:
- training and qualification of duly authorized officers;
- ships intending to enter a port of another Contracting Government;
- control of ships in port;
- more detailed inspection where clear grounds exist;
- safeguards; and