Isps code guidelines

THE NATIONAL MARITIME TRANSPORT
SECURITY PROGRAMME

GUIDELINES FOR SHIP AND PORT FACILITY SECURITY
ASSESSMENTS AND PLANS.

IN COMPLIANCE WITH THE INTERNATIONAL SHIP AND PORT FACILITY
SECURITY CODE ADOPTED ON DECEMBER 12, 2002, AND CHAPTER XI-2 OF
THE ANNEX TO THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE
AT SEA, 1974 (SOLAS), AS AMENDED.

CECILIO R. PENILLA
UNDERSECRETARY
OFFICE FOR TRANSPORTATION SECURITY
DEPARTMENT OF TRANSPORTATION & COMMUNICATIONS

APPROVED:

LEANDRO R. MENDOZA
SECRETARY
DEPARTMENT OF TRANSPORTATION & COMMUNICATIONS
REPUBLIC OF THE PHILIPPINES

May 31, 2004

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CONTENTS

Page

1. Objective 3

2. Definition of Terms 3-6

3. Coverage 7

4. Setting the Security Level 7-9

5. Ship Security Assessment 9-14

6. Ship Security Plan 14-27

7. Verification & Certification of Ships 28-32

8. Port Facility Security Assessment 33-40

9. Port Facility Security Plan 40-57

10. Declaration of Security 57-59

11. Statement of Compliance of a Port Facility 59-60

PREFACE

This Programme was prepared by the Office for Transportation Security,
Department of Transportation & Communications, Republic of the Philippines.

The guidelines hereto provided ensures compliance and implements the
new International Maritime Organization’s (IMO) preventive security framework
detailed in the International Ship and Port Facility Security (ISPS) Code, which
will enter into force from 1 July 2004. All Philippine regulated ships, ports, port
facilities and port service providers covered under the ISPS Code should have
approved security assessments and plans by 30 June 2004.

The ISPS Code requires security assessments to establish threats,
determine vulnerabilities and treat risks to assets, infrastructure and operations.
The ISPS Code requires security assessments to be undertaken and based
thereon, a detailed security plans prepared. This approach recognizes that
owners and operators are best placed to determine the vulnerabilities of their

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own assets, infrastructure and operations as well as identify appropriate
preventive security measures and procedures and develop appropriate security
plans.

Chapter 1. OBJECTIVES

This Programme provides guidelines to Philippine registered ships, ports and/or
port facilities within Philippine territory that are used in international trade for the
preparation and submission of security assessments and plans in compliance with the
ISPS Code and SOLAS Chapter XI-2.

The objectives of this Programme are:

1.1. To establish the appropriate international framework of cooperation between
governments, government agencies and the shipping and port industries to
detect security threats and take preventive measures against security incidents
affecting Philippine registered ships, ports and/or port facilities within the territory
of the Republic of the Philippines that are used in international trade;

1.2. To establish the respective roles and responsibilities of the Philippine
Government, its agencies and instrumentalities and the shipping and port
industries, at the national and international level for ensuring maritime security;

1.3. To ensure the early and efficient collection and exchange of security related
information;

1.4. To provide a methodology for security assessments so as to have in place plans
and procedures to react to changing security levels; and

1.5. To ensure confidence that adequate and proportionate maritime security
measures are in place.

Chapter 2. DEFINITION OF TERMS

2.1 Administration – refers to the Office for Transportation Security (OTS).

2.2. Company or Shipping Company – means the juridical owner of a Philippine
registered ship; also may refer to any other organization or person such as the
manager, or the bareboat charterer.

2.3. Company Security Officer (CSO) – means the person designated by the
Company for ensuring that ship security assessment is carried out, that a ship
security plan is developed, submitted for approval, and thereafter implemented
and maintained, and for liaison with port facility security officers and the ship
security officer.

2.4. Contracting Government – refers to the Government of the Republic of the
Philippines thru the Department of Transportation and Communications (DOTC).

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2.5. Convention – means the International Convention for the Safety of Life at Sea,
1974, as amended.

2.6. Declaration of Security (DOS) - means an agreement reached between a ship
and either a port facility or another ship with which it interfaces specifying the
security measures each will implement throughout the duration of the interface

2.7. Designated Authority – refers to Office of Transport Security (OTS).

2.8. Document of Compliance - means a document issued to a company which
complies with requirements of the International Safety Management Code.

2.9. Government Port – means any port located within the national territory of the
Republic of the Philippines that is owned, managed and/or operated by
Government through the Philippine Ports Authority (PPA) or Cebu Ports Authority
(CPA) or Subic Bay Metropolitan Authority (SBMA) or Bases Conversion
Development Authority (BCDA) or Philippine Economic Zone Authority (PEZA) or
Philippine Veterans Industrial Development Corporation (PHIVIDEC) or
Autonomous Region of Muslim Mindanao (ARMM).

2.10. Government Port Authority – means any agency or entity responsible for the
management and/or operation of any government port.

2.11. High Speed Craft – is a craft capable of a maximum speed expressed in meters
per second (m/s) which is equal to or exceeding =: 3.7 O.1667 where  = is
displacement corresponding to the design waterline (m3).

2.12. ISPS Code – means the International Ship and Port Facility Security Code
consisting of Part A and Part B as adopted on 12 December 2002 by Resolution
2 of the Conference of Contracting Governments to the International Convention
for the Safety of Life at Sea, 1974, as amended.

2.13. Immediate Threat – means a ship that is not in compliance with any of the
provisions of SOLAS XI-2 on the ISPS Code1 and may be subject to denial of
entry to, or expulsion from port. Even if the ship is in full compliance, it may still
be considered to constitute an immediate threat if there are other supporting
information or intelligence, or a confirmed situation where there is an
unauthorized movement to commit an illegal act on a port facility or ship.

2.14. International Voyage – means a voyage from a country to which the SOLAS
Convention applies to a port outside the country or conversely.

2.15. International Ship Security Certificate (ISSC) – means the document issued by
the Administration, or a Recognized Security Organization, when so authorized,
to the ship after approval of its Ship Security Plan, and verification that such plan
is properly implemented onboard.

2.16. Interim International Ship Security Certificate (IISSC) – means the document
issued by the Administration, or a Recognized Security Organization when so

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authorized, to the ship under certain conditions, and good for a single voyage
only, pending the issuance of a full term ISSC.

2.17. Mobile Offshore Drilling Unit – means a vessel capable of engaging in drilling
operations for the exploration or exploitation of resources beneath the sea-bead
such as liquid or gaseous hydrocarbons, sulphur or salt.

2.18. Office for Transportation Security (OTS) – means the Designated Authority and
Administration with respect to the ISPS Code and SOLAS Chapter XI-2.

2.19. Organization – means the International Maritime Organization (IMO).

2.20. Private Port – refers to any port within the national territory of the Republic of the
Philippines that is owned or leased, manage and/or operated for commercial
purposes by any private entity, juridical or natural person such as but not limited
to oil companies, manufacturing/mining companies, cargo handling operators,
product exporters/importers, beach/resort owners and/or operators, and tourism/
diving companies; and all other such ports which are not government ports.

2.21. Private Port Owner/Operator – means any person, organization or company
responsible for the management and/or commercial operation of private ports.

2.22. Port Facility – means a location, as determined by the Philippine Government or
by the OTS, where a ship-port interface takes place. This includes areas such as
anchorages, waiting berths and approaches from seaward, as appropriate.

2.23. Port Facility Security Plan (PFSP) – means a plan developed to ensure the
application of measures designed to protect the port facility assets and ships,
persons, cargo, cargo transport units and ship’s store within the port facility from
the risks of a security incident.

2.24. Port Facility Security Officer (PFSO) – means the person duly designated as
responsible for the development implementation, revision and maintenance of
the port facility security plan and for liaison with the ship security officers and
company security officers.

2.25. Recognized Security Organization (RSO) – means an organization with
appropriate expertise on security matters and with adequate knowledge of ship
and port operations duly accredited by OTS to carry out an assessment,
verification, or an approval or a certification activity.

2.26. Restricted Area – means an appropriately identified location where access
location or prohibition is strictly applied.

2.27. Security Incident – means any suspicious act, circumstance or circumstance
threatening the security of a ship, including a mobile offshore drilling unit and a
high speed craft, or of a port facility or of any ship-to-port interface or any ship-to-
ship activity.

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2.28 Security Level – means the qualification of the degree of risk that a security
incident will be attempted or will occur.

2.29. Security Level 1 – means the level at which minimum appropriate protective
security measures shall be maintained at all times.

2.30. Security Level 2 – means the level for which appropriate additional protective
security measures shall be maintained for a period of time as a result of
heightened risk of a security incident.

2.31. Security Level 3 – means the level for which further specific protective security
measures shall be maintained for all limited period of time when a security
incident is probable or imminent, although it may not be possible to identify the
specific target.

2.35. Ship – means a passenger ship including high-speed passenger craft regardless
of size; cargo ship including high-speed cargo craft of at least 500 gross
tonnages; and, mobile offshore drilling units engage in international voyage.

2.36. Ship/Port Interface – means the interaction that occur when a ship is directly and
immediately affected by actions involving the movement of persons, goods or the
provisions of port services to or from the ship.

2.37. Ship Security Officer (SSO) – means the person on board the ship, accountable
to the mater, designated by the Company as responsible for the security of the
ship, including implementation and maintenance of the ship security plan, and for
liaison with the company security officer and port facility security officers.

2.38. Ship Security Plan (SSP) – means a plan developed to ensure the application of
measures on board the ship designed to protect persons on board, cargo, cargo
transport units, ship’s stores or the ship from the risks of a security incident.

2.39. Ship-to-Ship Activity – means any activity not related to a port facility that
involves the transfer of goods or persons from one ship to another.

2.40. Shipyard – means a location or a facility in the Philippines where ship repair
activities are undertaken. It may refer to the owner or operator of such facility.

2.41. Statement of Compliance of a Port Facility - means a document issued by the
Designated Authority to a Port Facility after approval of its Port Facility Security
Assessment and Port Facility Security Plan, and after verification that such Plan
is properly implemented in the port.

2.42. Verify – means to investigate and confirm that an activity or operation is in
accordance with a specific security requirement.

Chapter 3. COVERAGE

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3.1 All Philippine registered ships engaged in or temporarily allowed by the Maritime
Industry Authority (MARINA) to undertake international voyages under the
following categories:

3.1.1. Passenger ships including high-speed passenger crafts
regardless of size;

3.1.2. Cargo ships, including high-speed crafts, of 500 gross tonnage or
more; and,

3.1.3. Mobile offshore drilling units;

3.2. All companies owning, managing or operating Philippine registered ships
undertaking international voyages;

3.3. All government ports serving ships engaged in international voyages;

3.4. All private ports serving ships engaged in international voyages;

3.5. All offshore drilling units with fixed or floating platforms serving ships engaged in
international voyages;

3.6. All Philippine shipyards servicing/accepting ships engaged in international
voyages, except that in this case, the issuance of a Statement of Compliance of
a Port Facility pursuant to the ISPS Code shall not be required.

Chapter 4. SETTING THE SECURITY LEVEL

4.1. The setting of security level applying at any particular time at any particular port
facility is the responsibility of the Office for Transportation Security, as the
Designated Authority and Administration, of the Department of Transportation
and Communications (DOTC), as the Contracting Government, and shall apply to
Philippine ships and ports facilities to which the ISPS Code apply.

4.2. The OTS shall create, establish and institutionalize an appropriate mechanism to
properly and accurately set the security level at which Philippine ships and ports
covered by the ISPS Code shall operate. In setting up the mechanism, the OTS
shall use, take advantage of, or interface with all existing relevant and available
resources, systems and network of government and private sector for information
and data needed in coming up with a reliable intelligence estimate and essential
elements of information.

4.3. The mechanism shall also provide for an appropriate communication setup for
the immediate real-time transmission of security level information to all
concerned, as well as receiving capability to monitor and receive security
information.

4.4. In setting the security level, the OTS should take into account the general threat
information, information on potential and prevailing threats in specific localities,

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consideration of national and local interests, and other relevant data gathered
from all possible sources. Security level shall be set at one of following three
levels:

4.4.1 Security Level 1. Normal - the level at which the ship or port
facility normally operates where minimum appropriate protective
measures are maintained at all times;

4.4.2. Security Level 2. Heightened - the level applying for as long as
there is an increased risk of a security incident where appropriate
additional protective measures shall be maintained for a period of
time as a result of heightened risk of a security incident/threat;
and,

4.4.3. Security Level 3. Exceptional - the level applying for the period of
time when there is probable or imminent risk of a security incident
although it may not be possible to identify the specific target and
where further specific protective measures shall be maintained for
such limited period of time.

4.5. Setting at Security Level 3 should be an exceptional measure applying only when
it is credible that a security incident is probable or imminent. Security Level 3
should only be set for the duration of the identified security threat or actual
security incident. While the security levels may change from Security Level 1,
through Security Level 2 to Security Level 3, it is also possible that the security
levels will change directly from Security Level 1 to Security Level 3.

4.6 At all times, the master of a covered ship has the ultimate responsibility for the
safety and security of the ship. Even at Security Level 3 a master may seek
clarification or amendment of instructions issued by those responding to a
security incident, or threat thereof, if there are reasons to believe that compliance
with any instruction may imperil the safety of the ship.

4.7 The CSO or the SSO should liaise at the earliest opportunity with the PFSO of
the port facility the ship is intending to visit to establish the security level applying
for that ship at the port facility. Having established contact with a ship, the PFSO
should advise the ship of any subsequent change in the port facility’s security
level and should provide the ship with any relevant security information.

4.8. While there may be circumstances when an individual ship may be operating at a
higher security level than the port facility it is visiting, there will be no
circumstances when a ship can have a lower security level than the port facility it
is visiting. If a ship has a higher security level than the port facility it intends to
use, the CSO or SSO should advise the PFSO without delay. The PFSO should
undertake an assessment of the particular situation in consultation with the CSO
or SSO and agree on appropriate security measures with the ship, which may
include completion and signing of a Declaration of Security.

4.9. OTS should consider how information on changes in security levels should be
promulgated and disseminated rapidly. The OTS may wish to use Navigational

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Telex (NAVTEX) messages or Notices to Mariners as the method for notifying
such changes in security levels to the ship and to the CSO and SSO. Or, they
may wish to consider other methods of communication that provide equivalent or
better speed and coverage.

4.10. The OTS should establish means of notifying concerned PFSO of security levels
in their respective port facilities, and of changes in such security levels.

4.11. The OTS should compile and maintain the contact details or a list of those who
need to be informed of changes in security levels. Whereas the security level
need not be regarded as being particularly sensitive, the underlying threat
information may be highly sensitive.

4.12. The OTS should give careful consideration to the type and detail of the
information conveyed and the method by which it is conveyed to an SSO, CSO
and/or PFSO.

Chapter 5. SHIP SECURITY ASSESSMENT

GENERAL.

5.1. A Ship Security Assessment (SSA) shall be carried out for each Philippine-
registered ship covered by the ISPS Code. The SSA is an essential and integral
part of the process of developing and updating the Ship Security Plan.

5.2. The SSA shall be carried out by persons with appropriate skills to evaluate the
security of a ship. The company security officer shall ensure that the SSA is
undertaken by such persons.

5.3 A Recognized Security Organization (RSO) may carry out the ship security
assessment of a specific ship.

5.4 The SSA shall include an on-scene security survey and contain at least the
following elements:

5.4.1. Identification of existing security measures, procedures and
operations;

5.4.2 Identification and evaluation of key ship board operations that it is
important to protect;

5.4.3 Identification of possible threats to the key ship board operations
and the likelihood of their occurrence, in order to establish and
prioritize security measures; and

5.4.4 Identification of weaknesses, including human factors in the
infrastructure, policies and procedures.

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5.5. The Company Security Officer (CSO) shall be responsible for ensuring that a
Ship Security Assessment (SSA) is carried out for each of the ships in the
Company’s fleet covered by the ISPS Code. While the CSO need not
necessarily personally undertake all the duties associated with the post, the
ultimate responsibility for ensuring that they are properly performed remains with
the individual CSO.

5.6. Prior to commencing the SSA, the CSO should ensure that advantage is taken of
information available on the assessment of threat for the ports at which the ship
will call or at which passengers embark and disembark and about the port
facilities and their protective measures. The CSO should meet with appropriate
persons on the ship and in the port facilities to discuss the purpose and
methodology of the assessment. The CSO should follow any specific guidance
offered by the Administration.

5.7. Those involved in the SSA should be able to draw up expert assistance in
relation to:

5.7.1. Knowledge of current security threats and patters;

5.7.2. Recognition and detection of weapons, dangerous substances
and devices;

5.7.3. Recognition, on a non-discriminatory basis, of characteristics and
behavioral patterns of persons who are likely to threaten security;

5.7.4. Techniques used to circumvent security measures;

5.7.5. Methods used to cause a security incident;

5.7.6. Effects of explosives on ship’s structures and equipment;

5.7.7. Ship security;

5.7.8. Ship/port interface business practices;

5.7.9. Contingency planning, emergency preparedness and response;

5.7.10. Physical security;

5.7.11. Radio and telecommunications systems, including computer
systems and networks;

5.7.12. Marine engineering; and,

5.7.13. Ship and port operations.

5.8. The CSO should obtain and record all information required to conduct an
assessment including:

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5.8.1. The general layout of the ship;

5.8.2 The location of areas which should have restricted access, such
as navigation bridge, machinery spaces of category A and other
control stations as defined in Chapter II-2 of the SOLAS
Convention, 1974, as amended;

5.8.3. The location and function of each actual or potential access point
to the ship;

5.8.4. Changes in the tide which may have an impact on the vulnerability
or security of the ship;

5.8.5. The cargo spaces and stowage arrangements;

5.8.6. The locations where the ship’s stores and essential maintenance
equipment is stored;

5.8.7. The locations where unaccompanied baggage is stored;

5.8.8. The emergency and stand-by equipment available to maintain
essential services;

5.8.9 The number of ship’s personnel, any existing security duties and
any existing raining requirement practices of the Company;

5.8.10. Existing security and safety equipment for the protection of
passengers and ship’s personnel;

5.8.11. Escape and evacuation routes and assembly stations which have
to be maintained to ensure the orderly and safe emergency
evacuation of the ship;

5.8.12. Existing agreements with private security companies providing
shipside/ waterside security services; and,

5.8.13. Existing security measures and procedures in effect, including
inspection and, control procedures, identification systems,
surveillance and monitoring equipment, personnel identification
documents and communication, alarms, lighting, access control
ad other appropriate systems.

5.9. The SSA should examine each identified point of access, including open weather
decks, and evaluate its potential for use by individuals who might seek to breach
security. This includes points of access available to individuals having legitimate
access as well as those who seek to obtain unauthorized entry.

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5.10. The SSA should consider the continuing relevance of the existing security
measures and guidance, procedures and operations, under both routine and
emergency conditions and should determine security guidance including:

5.10.1. The restricted areas;

5.10.2. The response procedures to fire or other emergency conditions;

5.10.3. The level of supervision of the ship’s personnel, passengers,
visitors, vendors, repair technicians, dock workers, etc.

5.10.4. The frequency and effectiveness of security patrols;

5.10.5. The access control systems, including identification systems;

5.10.6. The security communications systems and procedures;

5.10.7. The security doors, barriers and lighting; and,

5.10.8. The security and surveillance equipment and systems, if any.

5.11. The SSA should consider the persons, activities, services and operations that are
important to protect. This includes:

5.11.1. The ship’s personnel;

5.11.2. Passengers, visitors, vendors, repair technicians, port facility
personnel, etc.

5.12.3. The capacity to maintain safe navigation and emergency
response;

5.12.4. The cargo, particularly dangerous goods or hazardous
substances;

5.12.5. The ship’s stores;

5.12.6. The ship security communication equipment and systems, if any;
and,

5.12.7. The ship’s security surveillance equipment and systems, if any.

5.12. The SSA should consider all possible threats, which may include the following
types of security incidents:

5.12.1. Damage to, or destruction of the ship or port facility, e.g. by
explosive devices, arson, sabotage or vandalism.

5.12.2. Hijacking or seizure of the ship or of persons on board;

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5.12.3. Tampering with cargo, essential ship equipment or systems or
ship’s stores;

5.12.4. Unauthorized access or use, including presence of stowaways;

5.12.5. Smuggling weapons or equipment, including weapons of mass
destruction;

5.12.6. Use of the ship to carry those intending to cause a security
incident and/or their equipment;

5.12.7. Use of the ship itself as a weapon or as a means to cause
damage or destruction;

5.12.8. Attacks from seaward while at berth or at anchor; and,

5.12.9. Attacks while at sea.

5.13. The SSA should take into account all possible vulnerabilities, which may include:

5.13.1. Conflicts between safety and security measures;

5.13.2. Conflicts between shipboard duties and security measures;

5.13.3. Watch keeping duties, number of ship’s personnel, particularly
with implications on crew fatigue, alertness and performance;

5.13.4. Any identified security training deficiencies; and,

5.13.5. Any security equipment and systems, including communications
systems.

5.14. The CSO and SSO should always have regard to the effect that security
measures may have on ship’s personnel who will remain on the ship for long
periods. When developing security measures, particular consideration should be
given to the convenience, comfort and personal privacy of the ship’s personnel
ad their ability to maintain their effectiveness over long periods.

5.15. Upon completion of the SSA, a report shall be prepared, consisting of a summary
of how the assessment was conducted, a description of each vulnerability found
during the assessment and a description of counter measures that could be used
to address each vulnerability. The report shall be protected from unauthorized
access or disclosure.

5.16. If the SSA has not been carried out by the Company, the report of the SSA
should be reviewed and accepted by the CSO.

5.17. SSA Report shall be the exclusive and confidential property of the Company and
shall be considered a controlled document. Access to the SSA Report is allowed

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only to duly authorized personnel, and shall be subject to document control
procedure and disclosure agreement in case the SSA Report is
transferred/transmitted from one location to another.

ON-SCENE-SECURITY SURVEY

5.18. The on-scene security survey is an integral part of the SSA. The on-scene
security survey should examine and evaluate existing shipboard protective
measures, procedures and operations for:

5.18.1. Ensuring the performance of all ship security duties;

5.18.2. Monitoring restricted areas to ensure that only authorized persons
have access;

5.18.3. Controlling access to the ship, including any identification
systems;

5.18.4. Monitoring of deck areas and areas surrounding the ship;

5.18.5. Controlling the embarkation of persons and their effects
(accompanied and unaccompanied baggage and ship’s
personnel’s personal effects);

5.18.6. Supervising the handling of cargo and the delivery of ship’s stores;
and,

5.18.7. Ensuring that ship security communication, information, and
equipment are readily available.

Chapter 6. SHIP SECURITY PLAN

GENERAL

6.1 Each ship shall carry onboard beginning 01 July 2004, a Ship Security Plan
(SSP) duly approved by the Office for Transportation Security (OTS) or by an
duly an authorized Recognized Security Organization (RSO) acting on its behalf.

6.2. The SSP shall be developed on the basis of a ship security assessment which
shall form part of the submission to the OTS when approval of the SSP is being
sought.

6.3. The SSP shall make provisions for the three (3) security levels and must clearly
stipulate the security measures that should be taken at each security level.

6.4. The Company Security Officer (CSO) has the responsibility of ensuring that a
Ship Security Plan (SSP) is prepared and submitted for approval. The content of
each individual SSP should vary depending on the particular ship it covers. The
ship security assessment (SSA) will have identified the particular features of the

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ship and the potential threats and vulnerabilities. The preparation of the SSP will
require these features to be addressed in detail.

6.5. A Ship Security Plan (SSP) should:

6.5.1. Detail the organizational structure of security for the ship;

6.5.2. Detail the ship’s relationships with the Company, port facilities,
other ships and relevant authorities with security responsibility;

6.5.3. Detail the communication systems to allow effective and
continuous communication within the ship and between the ship
and others, including port facilities;

6.5.4. Detail the basic security measures for security level 1, both
operational and physical, that will always be in place;

6.5.5. Detail all additional security measures that will allow the ship to
progress without delay to security level 2 and, when necessary, to
security level 3;

6.5.6. Provide for regular review, or audit, of the SSP and for its
amendment in response to experience or changing
circumstances; and

6.5.7. Detailed reporting procedures to the OTS.

6.6. Preparation of an effective SSP should be based on a thorough assessment of
all issues that relate to the security of the ship, including, in particular, a thorough
appreciation of the physical and operational characteristics, including the voyage
pattern, of the individual ship.

6.7. The Ship security Plan should be approved by, or on behalf of the OTS. If OTS
uses a recognized security organization (RSO) to review or approve the SSP,
that RSO should not be associated with any other RSO that prepared, or
assisted in the preparation of the plan.

6.8. The CSO and SSO should develop procedures to:

6.8.1. Assess the continuing effectiveness of the SSP; and,

5.8.2. Prepare amendments of the plan subsequent to its approval.

6.9 The security measures included in the SSP should be in place when the initial
verification is conducted for compliance with the requirements of the ISPS Code
will be carried out. Otherwise the process of issuance to the ship of the required
International Ship Security Certificate (ISSC) cannot be carried out. If there is
any subsequent failure of security equipment or systems, or suspension of a

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security measure for whatever reason, equivalent temporary security measures
should be adopted and the same be notified to and approved by OTS.

ORGANIZATION AND PERFORMANCE OF SHIP SECURITY DUTIES

6.10. The SSP should establish the following, which relate to all security levels:

6.10.1. The duties and responsibilities of all shipboard personnel with a
security role;

6.10.2. The procedures or safeguards necessary to allow such continuous
communications to be maintained at all times;

6.10.3. The procedures needed to assess the continuing effectiveness of
security procedures and any security and surveillance equipment
and systems, including procedures for identifying and responding
to equipment or systems failure or malfunction;

6.10.4. The procedures and practices to protect security-sensitive
information held in paper or electronic format;

6.10.5. The type and maintenance requirements of security and
surveillance equipment and systems, if any;

6.10.6. The procedures to ensure the timely submission, and assessment,
of reports relating to possible breaches of security or security
concerns; and

6.10.7. Procedures to establish maintain and update an inventory of any
dangerous goods or hazardous substances carried on board,
including their location.

6.11. The SSP should also specifically address the security measures that could be
taken at each security level covering:

6.11.1. Access to the ship by ship’s personnel, passengers, visitors, etc.;

6.11.2. Restricted areas on the ship;

6.11.3. Handling of cargo;

6.11.4. Delivery of ship’s stores;

6.11.5. Handling of unaccompanied baggage; and,

6.11.6. Monitoring the security of the ship.

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ACCESS TO THE SHIP

6.12. The SSP should establish the security measures covering all means of access to
the ship identified in the SSA. This should include any:

6.12.1. Access ladders;

6.12.2. Access gangways;

6.12.3. Access ramps;

6.12.4. Access doors, sidescuttles, windows and ports;

6.12.5. Mooring lines and anchor chains; and,

6.12.6. Cranes and hoisting gear.

6.13. For each of these, the SSP should identify the appropriate locations where
access restrictions or prohibitions should be applied for each of the security
levels. For each security level, the SSP should establish the type of restriction or
prohibition to be applied and the means of enforcing them.

6.14. The SSP should establish for each security level the means of identification
required to allow access to the ship and for individuals to remain on the ship
without challenge. This may involve developing an appropriate identification
system, allowing for permanent and temporary identifications for ship’s personnel
and for visitors respectively. Any ship identification system should, when it is
practicable to do so, be co-coordinated with that applying to the port facility.
Passengers should be able to prove their identity by boarding passes, tickets,
etc., but should not be permitted access to restricted areas unless supervised.
The SSP should establish provisions to ensure that the identification systems are
regularly updated, and that abuse of procedures should be subject to disciplinary
action.

6.15. Those unwilling or unable to establish their identity and/or to confirm the purpose
of their visit when requested to do so should be denied access to the ship and
their attempt to obtain access should be reported, as appropriate, to the SSO,
the CSO, the PFSO and to the OTS and local authorities with security
responsibilities.

6.16. The SSP should establish the frequency of application of any access controls,
particularly if they are to be applied on a random, or occasional, basis.

AT SECURITY LEVEL 1

6.17. The SSP should establish the security measures to control access to the ship,
where the following may be applied:

17

6.17.1. Checking the identity of all persons seeking to board the ship and
confirming their reasons for doing so by checking, for example,
joining instructions, passenger tickets, boarding passes, work
orders, etc.;

6.17.2. In liaison with the port facility, the ship should ensure that
designated secure areas are established in which screening
inspections and searching of persons, baggage (including carry-
on items), personal effects, vehicles and their contents can take
place;

6.17.3. In liaison with the port facility, the ship should ensure that vehicles
destined to be loaded on board car carriers, ro-ro and other
passenger ships are subjected to search prior to loading, in
accordance with the frequency required in the SSP;

6.17.4. Segregating checked persons and their personal effects from
unchecked persons and their personal effects;

6.17.5. Segregating embarking from disembarking passengers;

6.17.6. Identifying access points that should be secured or attended to
prevent unauthorized access;

6.17.7. Securing, by locking or other means, access to unattended
spaces adjoining areas to which passengers and visitors have
access; and,

6.17.8. Providing security briefings to all ship personnel on possible
threats, the procedures for reporting suspicious persons, objects
or activities and the need for vigilance.

6.18. All those seeking to board a ship should be liable to search and screening. The
frequency of such screening or searches, including random searches, should be
specified in the approved SSP. These screening and searches may best be
undertaken by the port facility in close co-operation with the ship and in close
proximity to it. Unless there are clear security grounds for doing so, members of
the ship’s personnel should not be required to search their colleagues or their
personal effects. Any such search shall be undertaken in a manner which fully
takes into account the human rights of the individual and preserves their basic
human dignity.

AT SECURITY LEVEL 2.

6.19. The SSP should establish the security measures to be applied to protect against
a heightened risk of a security incident to ensure higher vigilance and tighter
control, which may include:

6.19.1. Assigning additional personnel to patrol deck areas during silent
hours to deter unauthorized access;

18

6.19.2. Limiting the number of access points to the ship, identifying those
to be closed and the means of adequately securing them;

6.19.3. Deterring waterside access to the ship, including, for example, in
liaison with the port facility, provision of boat patrols;

6.19.4. Establishing a restricted area on the shore side of the ship, in
close co-operation with the port facility;

6.19.5. Increasing the frequency and detail of searches of persons,
personal effects, and vehicles being embarked or loaded onto the
ship;

6.19.6. Escorting visitors on the ship;

6.19.7. Providing additional specific security briefings to all ship personnel
on any identified threats, re-emphasizing the procedures for
reporting suspicious persons, objects, or activities and stressing
the need for increased vigilance; and

6.19.8. Carrying out a full or partial search of the ship.

AT SECURITY LEVEL 3

6.20. The ship should comply with the instructions issued by those responding to the
security on incident or threat thereof. The SSP should detail the security
measures which could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:

6.20.1. Limiting access to a single, controlled, access point;

6.20.2. Granting access only to those responding to the security incident
or threat thereof;

6.20.3. Directing persons on board;

6.20.4. Suspension of embarkation or disembarkation;

6.20.5. Suspension of cargo handling operations, deliveries, etc.

6.20.6. Evacuation of the ship; and,

6.20.7. Preparing for a full or partial search of the ship.

RESTRICTED AREAS ON THE SHIP

6.21. The SSP should identify the restricted areas to be established on the ship,
specify their extent, times of application, the security measures to be taken to

19

control access to them and those to be taken to control activities within them.
The purposes of restricted areas are to:

6.21.1. Prevent unauthorized access;

6.21.2. Protect passengers, ship’s personnel, and personnel from port
facilities or other agencies authorized to be on board the ship;

6.21.3. Protect security-sensitive areas within the ship; and,

6.21.4. Protect cargo and ship’s stores from tampering.

6.22. The SSP should ensure that there are clearly established policies and practices
to control access to all restricted areas.

6.23. The SSP should provide that all restricted areas should be clearly marked,
indicating that access to the area is restricted and that unauthorized presence
within the area constitutes a breach of security.

6.24. Restricted areas may include:

6.24.1. Navigation bridge, machinery spaces of category A and other
control stations as defined in Chapter II-2 of the SOLAS
Convention, 1974, as amended;

6.24.2. Spaces containing security and surveillance equipment and
systems and their controls and lighting system controls;

6.24.3. Ventilation and air-conditioning systems and other similar spaces;

6.24.4. Spaces with access to potable water tanks, pumps, or manifolds;

6.24.5. Spaces containing dangerous goods or hazardous substances;

6.24.6. Spaces containing cargo pumps and their controls;

6.24.7. Cargo spaces and spaces containing ship’s stores;

6.24.8. Crew accommodation; and,

6.24.9. Any other areas as determined by the CSO, through the SSA, to
which access must be restricted to maintain the security of the
ship.

AT SECURITY LEVEL 1

6.25. The SSP should establish the security measures to be applied to restricted
areas, which may include:

20

6.25.1. Locking or securing access points;

6.25.2. Using surveillance equipment to monitor the areas;

6.25.3. Using guards or patrols; and,

6.25.4. Using automatic intrusion-detection devices to alert the ship’s
personnel of unauthorized access.

AT SECURITY LEVEL 2

6.26. The frequency and intensity of the monitoring of, and control of access to,
restricted areas should be increased to ensure that only authorized persons have
access. The SSP should establish the additional security measures to be
applied, which may include:

6.26.1. Establishing restricted areas adjacent to access points;

6.26.2. Continuously monitoring surveillance equipment; and,

6.26.3. Dedicating additional personnel to guard and patrol restricted
areas.

AT SECURITY LEVEL 3

security incident or threat thereof. The SSP should detail the security measures
which could be taken by the ship, in close co-operation with those responding
and the port facility, which may include:

6.27.1. Setting up of additional restricted areas on the ship in proximity to
the security incident, or the believed location of the security threat,
to which access is denied; and,

6.27. Searching of restricted areas as part of a search of the ship.

HANDLING OF CARGO

6.28. The security measures relating to cargo handling should:

6.28.1. Prevent tampering; and,

6.28.2. Prevent cargo that is not meant for carriage from being accepted
and stored on board the ship.

6.29. The security measures, some of which may have to be applied in liaison with the
port facility, should include inventory control procedures at access points to the
ship. Once on board the ship, cargo should be capable of being identified as

21

having been approved for loading onto the ship. In addition, security measures
should be developed to ensure that cargo, once on board, is not tampered with.

AT SECURITY LEVEL 1

6.30. The SSP should establish the security measures to be applied during cargo
handling, which may include:

6.30.1. Routine checking of cargo, cargo transport units and cargo spaces
prior to, and during, cargo handling operations;

6.30.2. Checks to ensure that cargo being loaded matches the cargo
documentation;

6.30.3. Ensuring, in liaison with the port facility, that vehicles to be loaded
on board car carriers, ro-ro and passenger ships are subjected to
search prior to loading, in accordance with the frequency required
in the SSP; and,

6.30.4. Checking of seals or other methods used to prevent tampering.

6.31. Checking of cargo may be accomplished by any of the following means;

6.31.1. Visual and physical examination; or

6.31.2. Using scanning/detection equipment, mechanical devices, or
dogs.

6.32. When there are regular or repeated cargo movements, the CSO or SSO may, in
consultation with the port facility, agree arrangements with shippers or others
responsible for such cargo covering off-site checking, sealing, scheduling,
supporting documentation, etc. Such arrangements should be communicated to
and agreed with the PFSO concerned.

AT SECURITY LEVEL 2

6.33. The SSP should establish the additional security measures to be applied during
cargo handling, which may include:

6.33.1. Detailed checking of cargo, cargo transport units and cargo
spaces;

6.33.2. Intensified checks to ensure that only the intended cargo is
loaded;

6.33.3. Intensified searching of vehicles to be loaded on car carriers, ro-ro
and passenger ships; and,

22

6.33.4. Increased frequency and detail in checking of seals or other
methods used to prevent tampering;

6.34. Detailed checking of cargo may be accomplished by the following means:

6.34.1. Increasing the frequency and detail of visual and physical
examination;

6.34.2. Increasing the frequency of the use of scanning/detection
equipment, mechanical devices, or dogs; and,

6.34.3. Coordinating enhanced security measures with the shipper or
other responsible party in accordance with an established
agreement and procedures.

AT SECURITY LEVEL 3

which be could be taken by the ship, in close co-operation with those responding

6.35.1. Suspending the loading or unloading of cargo; and

6.35.2. Verifying the inventory of dangerous goods and hazardous
substances carried on board, if any, and their location.

DELIVERY OF SHIP’S STORES

6.36. The security measures relating to the delivery of ship’s stores should:

6.36.1. Ensure checking of ship’s stores and package integrity;

6.36.2. Prevent ship’s stores from being accepted without inspection;


6.36.4. Prevent ship’s stores from being accepted unless ordered.

6.37. For ships regularly using the port facility, it may be appropriate to establish
procedures involving the ship, its suppliers and the port facility covering
notification and timing of deliveries and their documentation. There should
always be some way of confirming that stores presented for delivery are
accompanied by evidence that they have been ordered by the ship.

AT SECURITY LEVEL 1

6.38. The SSP should establish the security measures to be applied during delivery of
ship’s stores, which may include:

23

6.38.1. Checking to ensure stores match the order prior to being locked
on board; and,

6.38.2. Ensuring immediate secure stowage of ship’s stores.

AT SECURITY LEVEL 2

6.39. The SSP should establish the additional security measures to be applied during
delivery of ship’s stores by exercising checks prior to receiving stores on board
and intensifying inspections.

AT SECURITY LEVEL 3


6.40.1. Subjecting ship’s stores to more extensive checking;

6.40.2. Preparation for restriction or suspension of handling the ship’s
stores; and,

6.40.3. Refusal to accept ship’s stores on board the ship.

HANDLING UNACCOMPANIED BAGGAGE

6..41. The SSP should establish the security measures to be applied to ensure that
unaccompanied baggage (i.e. any baggage, including personal effects, which is
not with the passenger or member of ship’s personnel at the point of inspections
or search) is identified and subjected to appropriate screening, including
searching, before it is accepted on board the ship. It is not envisaged that such
baggage will be subjected to screening by both the ship and the port facility, and
in cases where both are suitably equipped, the responsibility for screening should
rest with the port facility. Close co-operation with the port facility is essential and
steps should be taken to ensure that unaccompanied baggage is handled
securely after screening.

AT SECURITY LEVEL 1

6.42. The SSP should establish the security measures to be applied when handling
unaccompanied baggage to ensure that unaccompanied baggage is screened or
searched which may include use of x-ray screening equipment.

AT SECURITY LEVEL 2

6.43. The SSP should establish the additional security measures to be applied when
handling unaccompanied baggage, which should include 100% X-ray screening
of all unaccompanied baggage.

24

AT SECURITY LEVEL 3


6.44.1. Subjecting such baggage to more extensive screening, for
example X-raying it from at least two (2) different angles;

6.44.2. Preparation for restriction or suspension of handling of
unaccompanied baggage; and,

6.44.3. Refusal to accept unaccompanied baggage on board the ship.

MONITORING THE SECURITY OF THE SHIP

6.45. The ship should have the capability to monitor the ship, the restricted areas on
board and areas surrounding the ship. Such monitoring capabilities may include
use of:

6.45.1 Lighting;

6.45.2. Watch keepers, securing guards and deck watches, including
patrols; and,

6.45.3. Automatic intrusion-detection devices and surveillance equipment.

6.46. When used, automatic intrusion-detection devices should activate an audible
and/or visual alarm at a location that is continuously attended or monitored.

6.47. The SSP should establish the procedures and equipment needed at each
security level and the means of ensuring that monitoring equipment will be able
to perform continually, including consideration of the possible effects of weather
conditions or of power disruptions.

AT SECURITY LEVEL 1

6.49. The SSP should establish the security measures to be applied, which may be a
combination of lighting, watchkeepers, security guards or use of security and
surveillance equipment to allow ship’s security personnel to observe the ship in
general, and barriers and restricted areas in particular.

6.50. The ship’s deck and access points to the ship should be illuminated during hours
of darkness and periods of low visibility while conducting ship/port interface
activities or at a port facility or anchorage when necessary. While under way,
when necessary, ships should use the maximum lighting available consistent
with safe navigation, having regard to the provisions of the International

25

Regulations for the Prevention of Collisions at Sea in force. The following should
be considered when establishing the appropriate level and location of lighting:

6.50.1. The ship’s personnel should be able to detect activities beyond
the ship, on both the shore side and the water side;

6.50.2. Coverage should include the area on and around the ship;

6.50.2. Coverage should facilitate personnel identification at access
points; and,

6.50.3. Coverage may be provided through co-ordination with the port
facility.

AT SECURITY LEVEL 2

6.51. The SSP should establish the additional security measures to be applied to
enhance the monitoring and surveillance capabilities, which may include:

6.51.1 Increasing the frequency and detail of security patrols;

6.51.2. Increasing the coverage and intensity of lighting or the use of
security and surveillance equipment;

6.51.3. Assigning additional personnel as security look-outs; and,

6.51.4. Ensuring co-ordination with water-side boat patrols, and foot or
vehicle patrols on the shore side, when provided.

6.52. Additional lighting may be necessary to protect against a heightened risk of a
security incident. When necessary, the additional lighting requirements may be
accomplished by coordinating with the port facility to provide additional shore
side lighting.

AT SECURITY LEVEL 3


6.53.1. Switching on of all lighting on, or illuminating the vicinity of, the
ship;

6.53.2. Switching on of all on-board surveillance equipment capable of
recording activities on, or in the vicinity of, the ship;

6.53.3. Maximizing the length of time such surveillance equipment can
continue to record;

26

6.53.4. Preparation for underwater inspection of the hull of the ship; and,

6.53.5. Initiation of measures, including the slow revolution of the ship’s
propellers, if practicable, to deter underwater access to the hull of
the ship.

DIFFERING SECURITY LEVELS

6.54. The SSP should establish details of the procedures and security measures the
ship could adopt if the ship is at a higher security level than that applying to a
port facility.

ACTIVITIES NOT COVERED BY THE CODE

6.55. The SSP should establish details of the procedures and security measures the
ship should apply when:

6.55.1 It is at a port of a State which is not a Contracting Government;

6.55.2. It is interfacing with a ship to which the ISPS Code does not apply;

6.55.3. It is interfacing with fixed or floating platforms or a mobile drilling
unit on location; or

6.55.4. It is interfacing with a port or port facility which is not required to
comply with Chapter XI-2 of the SOLAS Convention, 1974, as
amended, and Part A of the ISPS Code.

DECLARATIONS OF SECURITY

6.56. The SSP should detail how request for Declarations of Security (DOS) from a
port facility will be handled and the circumstances under which the ship itself
should request a DOS.

AUDIT AND REVIEW

6.57. The SSP should establish how the CSO and the SSO intend to audit the
continued effectiveness of the SSP and the procedure to be followed to review,
update or amend the SSP.

DOCUMENT CONTROL

6.58. The SSP shall be the exclusive and confidential property of the Company and
shall be considered a controlled document. Access to the SSP is allowed only to
duly authorized personnel and officers of OTS, and shall be subject to document
control procedure and disclosure agreement in case the SSP is
transferred/transmitted from one location to another.

27

Chapter 7. VERIFICATION AND CERTIFICATION OF SHIPS

VERIFICATION

7.1. Each ship to which the ISPS Code applies shall be subject to the verifications
specified below:

7.1.1. An initial verification before the ship is put in service or before the
certificate is issued for the first time, which shall include a
complete verification of its security system and any associated
security equipment covered by the relevant provisions of Chapter
XI-2 of SOLAS 1974 and Part A of the ISPS Code and the
approved ship security plan. This verification shall ensure that the
security system and any associated security equipment of the ship
fully complies with the applicable requirements of Chapter XI-2 of
SOLAS 1974 and Part A of the ISPS Code, are in satisfactory
condition, and fit for the service for which the ship is intended;

7.1.2. A renewal verification at intervals specified by the Administration,
but not exceeding five (5) years. This verification shall ensure that
the security system and any associated security equipment of the
ship fully complies with the applicable requirements of Chapter
XI-2 of SOLAS 1974 and Part A of the ISPS Code and the
approved ship security plan, is in satisfactory condition and fit for
the service for which the ship is intended;

7.1.3. At least one intermediate verification. If only one intermediate
verification is carried out it shall take place between the second
and third anniversary date of the Certificate as defined in
regulation I/2(n) of SOLAS 1974. The intermediate verification
shall include inspection of the security system and any associated
security equipment of the ship to ensure that it remains
satisfactory for the service for which the ship is intended. Such
intermediate verification shall be endorsed on the Certificate; and,

1.4 Any additional verifications as determined by the OTS.

7.2. The verifications of ships shall be carried out by personnel or officers of the OTS.
The OTS may, however, entrust the verifications to MARINA; Coast Guard or a
Recognized Security Organization.

7.3. In every case, the OTS shall fully guarantee the completeness and efficiency of
the verification and shall undertake to ensure the necessary arrangements to
satisfy this obligation.

7.4. The security system and any associated security equipment of the ship after
verification shall be maintained to conform to the provisions of regulations

28

XI-2/4.2 and XI-2/6 of SOLAS 1974, Part A of the ISPS Code and the approved
ship security plan. After any verification has been completed, no changes shall
be made in security system and in any associated security equipment or the
approved ship security plan without the sanction or approval of the OTS.

ISSUANCE OR ENDORSEMENT OF CERTIFICATE

7.5. An International Ship Security Certificate (ISSC) shall be issued by the OTS after
the initial or renewal verification as provided above.

7.6. Such certificate shall be endorsed either by the MARINA or by a Recognized
Security Organization acting on behalf of the OTS.

7.7. The OTS may request another Contracting Government to conduct verification of
a Philippine-registered ship and, if satisfied that the provisions of section 19.1.1
of the ISPS Code are complied with, to issue or authorize the issuance of an
International Ship Security Certificate to the ship and, where appropriate,
endorse or authorize the endorsement of that certificate on the ship, in
accordance with the ISPS Code.

7.7.1 A copy of the certificate and a copy of the verification report shall
be transmitted as soon as possible to the OTS.

7.7.2 A certificate so issued shall contain a statement to the effect that it
has been issued at the request of the OTS and it shall have the
same force and receive the same recognition as the Certificate
issued under section 19.2.2 of the ISPS Code.

7.8. The International Ship Security Certificate shall be drawn up in a form
corresponding to and determined by OTS.

DURATION AND VALIDITY

7.9. An International Ship Security Certificate shall be issued for a period specified
and determined by the OTS which shall not exceed five (5) years.

7.10. When the renewal verification is completed within three (3) months before the
expiry date of the existing Certificate, the new Certificate shall be valid from the
date of completion of the renewal verification to a date not exceeding five (5)
years from the date of expiry of the existing Certificate.

7.10.1 When the renewal verification is completed after the expiry date of
the existing Certificate, the new Certificate shall be valid from the
date of completion of the renewal verification to a date not
exceeding five (5) years from the date of expiry of the existing
certificate.

7.10.2 When the renewal verification is completed more that three (3)
months before the expiry date of the existing Certificate, the new

29

Certificate shall be valid from the date of completion of the
renewal verification to a date not exceeding five (5) years from the
date of completion of the renewal verification.

7.11. If a Certificate is issued for a period of less than five years, the OTS may extend
the validity of the Certificate beyond the expiry date to the maximum period,
provided that the verifications, as applicable when a Certificate is issued for a
period of five (5) years are carried out as appropriate.

7.12. If a renewal verification has been completed and a new Certificate cannot be
issued or placed on board the ship before the expiry date of the existing
certificate, the OTS or recognized security organization acting on behalf of the
OTS, may endorse the existing Certificate and such a Certificate shall be
accepted as valid for a further period which shall not exceed five (5) months from
the expiry date.

7.13. If a ship at the time when a Certificate expires is not in a port in which it is to be
verified, the OTS may extend the period of validity of the Certificate but this
extension shall be granted only for the purpose of allowing the ship to complete
its voyage to the port in which it is to be verified, and then only in cases where it
appears proper and reasonable to do so. No Certificate shall be extended for a
period longer than three (3) months, and the ship to which an extension is
granted shall not, on its arrival in the port in which it is to be verified, be entitled
by virtue of such extension to leave that port without having a new Certificate.
When the renewal verification is completed, the new Certificate shall be valid to a
date not exceeding five (5) years from the expiry date of the existing Certificate
before the extension was granted.

7.14. A Certificate issued to a ship engaged on short voyages which has not been
extended under the foregoing provisions of this section may be extended by the
OTS for a grace period of one (1) month from the date of expiry stated on it.
When the renewal verification is completed, the new Certificate shall be valid to a
date not exceeding five (5) years from the date of expiry of the existing Certificate
before the extension was granted.

7.15. If an intermediate verification is completed before the period, then:

7.15.1 The expiry date shown on the certificate shall be amended by
endorsement to a date which shall not be more than three years
later than the date on which the intermediate verification was
completed;

7.15.2 The expiry date may remain unchanged provided one or more
additional verifications are carried out so that the maximum
intervals between the verifications are not exceeded.

7.16. A certificate issued shall cease to be valid in any of the following cases:

7.16.1. If the relevant verifications are not completed within the periods
specified;

30

7.16.2 If the certificate is not endorsed, if applicable;

7.16.3. When a Company assumes the responsibility for the operation of
a ship not previously operated by that Company; and,

7.16.4. Upon transfer of the ship to the flag of another State.

7.16.5. In the case of:

1. A transfer of a ship to the flag of another Contracting
Government, the OTS shall, as soon as possible, transmit
to the receiving Administration copies of, or all information
relating to, the International Ship Security Certificate
carried by the ship before the transfer and copies of
available verification reports, or

2. A Company that assumes responsibility for the operation of
a ship not previously operated by that Company, the
previous company shall as soon as possible transmit to the
receiving Company copies of any information related to the
International Ship Security Certificate or to facilitate the
verifications described in Rule 12.4.2 hereof.

INTERIM CERTIFICATION

7.17. An Interim Certificate shall be issued only when the OTS is fully satisfied that the
ship complies with all the requirements herein declared. However, after 1 July
2004, it shall be issued for the following reasons of:

7.17.1 A ship without a Certificate, on delivery or prior to its entry or re-
entry into service;

7.17.2 Transfer of a ship to the Philippine Registry from the flag of
another Contracting Government;

7.17.3 Transfer of a ship to the Philippine Registry from a State which is
not a Contracting Government; or

7.17.4 A Company assuming the responsibility for the operation of a ship
not previously operated by that Company;

7.18. An Interim International Ship Security Certificate shall only be issued when the
OTS or Recognized Security Organization, on behalf of the OTS, has verified
that:

7.18.1. The required ship security assessment has been completed;

7.18.2. A copy of the Ship Security Plan meeting the requirements of
chapter XI-2 and part A of the ISPS Code is provided on board,

31

has been submitted for review and approval, and is being
implemented on the ship;

7.18.3. The ship is provided with a ship security alert system meeting the
requirements of regulation XI-2/6 of SOLAS 1974, if required,

7.18.4. The company security officer has ensured:

1. The review of the ship security plan for compliance,

2. That the plan has been submitted for approval, and

3. That the plan is being implemented on the ship, and

4. The establishment of necessary arrangements, including
arrangements for drills, exercises and internal audits,
through which the company security officer is satisfied that
the ship will successfully complete the required verification,
within 6 months.

7.18.5. Arrangements have been made for carrying out the required
verifications

7.18.6. The master, the ship’s security officer and other ship’s personnel
with specific security duties are familiar with their duties and
responsibilities; and with relevant provisions of the ship security
plan placed on board; and have been provided such information in
the working language of the ship’s personnel or languages
understood by them; and,

7.18.7. The ship security officer meets the requirements as specified.

7.19. An Interim International Ship Security Certificate may be issued by the OTS or
upon recommendation of MARINA or a recognized security organization
authorized to act on its behalf. Sample form of IISSC is provided.

7.20. An Interim International Ship Security Certificate shall be valid for 6 months, or
until the certificate is issued, whichever comes first, and may not be extended;

7.21. The OTS shall not issue a subsequent consecutive Interim International Ship
Security Certificate to a ship if, in the judgment of the OTS or the recognized
security organization, one of the purposes of the ship or a company in requesting
such certificate is to avoid full compliance with chapter XI-2 of SOLAS 1974 and
Part A of the ISPS Code beyond the period of the initial interim certificate as
specified in paragraph 20.

7.22. For the purposes of regulation XI-2/9, SOLAS 1974, the OTS may, prior to
accepting an Interim International Ship Security Certificate as a valid certificate,
verify and ensure that the requirements have been met.

32

Chapter 8. PORT FACILITY SECURITY ASSESSMENT

GENERAL

8.1. A Port Facility Security Assessment (PFSA) shall be carried out on each port
facility. The PFSA is fundamentally a risk analysis of all aspects of a port
facility’s operation in order to determine which part or parts of the facility are
more susceptible, and/or more likely, to be the target of attack. Security risk is a
function of the threat of an attack coupled with the vulnerability of the target and
the consequences of an attack. The assessment must include the following
components:

8.1.1. The determination of the perceived threats to port installations and
infrastructures;

8.1.2. Identification of potential vulnerabilities; and

8.1.3. Calculation of the consequences of possible incidents.

8.2. The PFSA shall be made the basis in developing (or updating) the Port Facility
Security Plan, and shall be submitted together with the PFSP, as an integral part
thereof, to the OTS for approval.

8.3. All submitted port facility security assessments shall be reviewed and verified by
the OTS prior to approval.

8.4. If the OTS authorizes an RSO to review or verify compliance of the PFSA, that
RSO should not be associated with any other RSO that prepared or assisted in
the preparation of that assessment.

8.5. The persons carrying out the assessment should have appropriate skills to
evaluate the security of the port facility, and should be able to acquire expert
assistance in relation to:

8.5.1. Knowledge of current security threats and patterns;

8.5.2. Recognition and detection of weapons, dangerous substances
and devices;

8.5.3. Recognition, on a non-discriminatory basis, of characteristics and
behavioral patterns of persons who are likely to threaten security;

8.5.4. Techniques used to circumvent security measures;

8.5.5. Methods used to cause a security incident;

8.5.6. Effects of explosives on structures and port facility services;

8.5.7. Port facility security;

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8.5.8. Port business practices;

8.5.9. Contingency planning, emergency preparedness and response;

8.5.10. Physical security measures, e.g. fences;

8.5.11. Radio and telecommunications systems, including computer

8.5.12. Transport and civil engineering; and,

8.5.13. Ship and port operations.

8.6. The PFSA should address the following elements within a port facility:

8.6.1. Physical security;

8.6.2. Structural integrity;

8.6.3. Personnel protection systems;

8.6.4. Procedural policies;

8.6.5. Radio and telecommunication systems, including computer

8.6.6. Relevant transportation infrastructure;

8.6.7. Utilities; and,

8.6.8. Other areas that may, if damaged or used for illicit observation,
pose a risk to persons, property, or operations within the port
facility.

8.7. The port facility security assessment shall include an on-scene security survey
which shall cover the following elements:

8.7.1. Identification and evaluation of important assets and
infrastructures that are important to protect;

8.7.2. Identification of possible threats to the assets and infrastructure
and the likelihood and consequences of their occurrence, in order
to establish and prioritize security measures;

8.7.3. Identification, selection and prioritization of countermeasures and
procedural changes and their level of effectiveness in reducing
vulnerability; and,

34

8.7.4. Identification of weaknesses, including human factors, in the
infrastructure, policies and procedures;

8.8. The on-scene security survey shall also include examination and evaluation of:

8.8.1. Methods and procedures used to control access into the
port/terminal and the designated restricted area/s including:

1. Inspection, control and monitoring of persons and carry on
articles; and,

2. Inspection, control and monitoring of cargoes, equipment
and baggage;

8.8.2. Methods and procedures used to safeguard cargoes and
equipment held in storage within the port or terminal;

8.8.3. Each identified point of access to the port/terminal and restricted
area/s for its potential use by individual who might be engaged in
unlawful acts; and

8.8.4. Existing security measures under both normal and emergency
conditions including:

1. Established safety procedures;

2. Deployment of security personnel to strategic
posts/locations;

3. Restrictions or limitations on vehicle access to the
port/terminal and restricted area/s;

4. The frequency and effectiveness of patrol by
police/security personnel;

5. The level of supervision of personnel;

6. The security lock/key control;

7. Security communication, systems and procedures;

8. Security barriers; and,

9. Security lighting

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IDENTIFICATION AND EVALUATION OF IMPORTANT ASSETS AND
INFRASTRUCTURE FOR PROTECTION

8.9. The identification and evaluation of important assets and infrastructure is a
process through which the relative importance of structures and installations to
the functioning of the port facility can be established. This identification and
evaluation process is important because it provides a basis for focusing
mitigation strategies on those assets and structures, which it is more important to
protect from a security incident. This process should take into account potential
loss of life, the economic significance of the port, symbolic value, and the
presence of Government installations.

8.10. Identification and evaluation of assets and infrastructure should be used to
prioritize their relative importance for protection. The primary concern should be
avoidance of death or injury. It is also important to consider whether the port
facility, structure or installation can continue to function without the asset, and the
extent to which rapid re-establishment of normal functioning is possible.

8.11. Assets and infrastructure that should be considered important to protect may
include:

8.11.1. Accesses, entrances, approaches, and anchorages, maneuvering
and berthing areas;

8.11.2. Cargo facilities, terminals, storage areas, and cargo handling
equipment;

8.11.3. Systems such as electrical distribution systems, radio and
telecommunication systems and computer systems and networks;

8.11.4. Port vessel traffic management systems and aids to navigation;

8.11.5. Power plants, cargo transfer piping and water supplies;

8.11.6. Bridges, railways, roads;

8.11.7. Port service vessels, including pilot boats, tugs, lighters, etc.;

8.11.8. Security and surveillance equipment and systems; and,

8.11.9. The waters adjacent to the port facility.

8.12. The clear identification of assets and infrastructure is essential to the evaluation
of the port facility’s security requirements, the prioritization of protective
measures and decisions concerning the allocation of resource to better protect
the port facility. The process may involve consultation with the relevant
authorities relating to structures adjacent to the port facility which could cause

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damage within the facility or be used for the purpose of causing damage to the
facility or for illicit observation of the facility or for diverting attention.

IDENTIFICATION OF POSSIBLE THREATS TO ASSETS AND INFRASTRUCTURE
AND THE LIKELIHOOD OF ITS OCCURRENCE FOR ESTABLISHING AND
PRIORITIZING SECURITY MEASURES

8.13. Possible acts that could threaten the security of assets and infrastructure, and
the methods of carrying out those acts, should be identified to evaluate the
vulnerability of a given asset or location to a security incident, and to establish
and prioritize security requirements to enable planning and resource allocations.
Identification and evaluation of each potential act and its method should be
based on various factors, including threat assessments by Government
agencies. By identifying and assessing threats, those conducting the
assessment do not have to rely on worst-case scenarios to guide planning and
resource allocations.

8.14. The PFSA should include an assessment undertaken in consultation with the
relevant national security organizations to determine:

8.14.1. Any particular aspects of the port facility, including the vessel
traffic using the facility, which make it likely to be the target of an
attack;

8.14.2. The likely consequences in terms of loss of life, damage to
property and economic disruption, including disruption to transport
systems, of an attack on, or at, the port facility;

8.14.3. The capability and intent of those likely to mount such an attack;
and,

8.14.4. The possible type, or types of attack.

In producing an overall assessment of the level of risk against which
security measures have to be developed,

8.15. The PFSA should consider all possible threats, which may include the following
types of security incidents:

8.15.1. Damage to, or destruction of, the port facility or of the ship, e.g. by
explosive devices, arson, sabotage or vandalism;

8.15.2. Hijacking or seizure of the ship or of persons on board;

8.15.3. Tampering with cargo, essential ship equipment or systems or
ship’s stores;

8.15.4. Unauthorized access or use, including presence of stowaways;

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8.15.5. Smuggling weapons or equipment, including weapons of mass
destruction;

8.15.6. Use of the ship to carry those intending to cause a security
incident and their equipment;

8.15.7. Use of the ship itself as a weapon or as a means to cause
damage or destruction;

8.15.8. Blockage of port entrances, locks, approaches, etc; and,

8.15.9. Nuclear, biological and chemical attack.

8.16. The process should involve consultation with the relevant authorities relating to
structures adjacent to the port facility, which could cause damage within the
facility or be used for the purpose of causing damage to the facility or for illicit
observation of the facility or for diverting attention.

IDENTIFICATION, SELECTION AND PRIORITIZATION OF COUNTERMEASURES
AND PROCEDURAL CHANGES AND THEIR LEVEL OF EFFECTIVENESS IN
REDUCING VULNERABLITY

8.17. The identification and prioritization of countermeasures is designed to ensure
that the most effective security measures are employed to reduce the
vulnerability of a port facility or ship/port interface to the possible threats.

8.18. Security measures should be selected on the basis of factors such as whether
they reduce the probability of an attack and should be evaluated using
information that includes:

8.18.1. Security surveys, inspections and audits;

8.18.2. Consultation with port facility owners and operators and
owners/operators of adjacent structures if appropriate;

8.18.3. Historical information on security incidents; and,

8.18.4. Operations within the port facility.

IDENTIFICATION OF VULNERABILITIES

8.19. Identification of vulnerabilities in physical structures, personnel protection
systems, processes or other areas that may lead to a security incident can be
used to establish options to eliminate or mitigate those vulnerabilities. For
example, an analysis might reveal vulnerabilities in a port facility’s security
systems or unprotected infrastructure such as water supplies, bridges, etc. that
could be resolved through physical measures, e.g. permanent barriers, alarms,
surveillance equipment, etc.

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8.20. Identification of vulnerabilities should include consideration of:

8.20.1 Waterside and shore-side access to the port facility and ships
berthing at the facility;

8.20.2. Structural integrity of the piers, facilities and associated structures;

8.20.3. Existing security measures and procedures including identification
systems;

8.20.4. Existing security measures and procedures relating to port
services and utilities;

8.20.5. Measures to protect radio and telecommunication equipment, port
services and utilities, including computer systems and networks;

8.20.6. Adjacent areas that may be exploited during, or for, an attack;

8.20.7. Existing agreements with private security companies providing
water-side/ shore-side security services;

8.20.8. Any conflicting policies between safety and security measures and
procedures;

8.20.9. Any conflicting port facility and security duty assignments;

8.20.10. Any enforcement and personnel constraints;

8.20.11. Any deficiencies identified during daily operation, following
incidents or alerts, the report of security concerns, the exercise of
control measures, audits, etc.

8.21. The OTS may allow a port facility security assessment to cover more than one
port facility if the operator, location, operation, equipment and design of these
port facilities are similar. In allowing such an arrangement, the OTS shall
communicate to the IMO the particulars thereof.

8.22. Upon completion of the port facility security assessment, the
persons/organization who carried out the assessment shall prepare a report
consisting of a summary of how the assessment was conducted, a description of
each vulnerability found during the assessment and a description of counter
measures that could be used to address each vulnerability. The report shall be
protected from unauthorized access or disclosure.

8.23. The PFSA shall be periodically reviewed and updated by the PFSO, taking
account of changing threats and/or minor changes in the port facility, and shall
always be reviewed and updated when major changes to the port facility take
place. Resulting modifications or updates from such review shall be submitted
to, further reviewed, and approved by the OTS.

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DOCUMENTATION CONTROL

8.24. The PFSA Report shall be the exclusive and confidential property of the Port
Authority or Port Owner/Operator and shall be considered a controlled document.
Access to the PFSA Report shall be allowed only to duly authorized personnel,
and shall be subject to document control procedure and disclosure agreement in
case the PFSA Report is transferred/transmitted from one location to another.

Chapter 9. PORT FACILITY SECURITY PLAN

GENERAL

9.1. Each port facility shall have a Port Facility Security Plan (PFSP) approved by the
OTS beginning 01 July 2004.

9.2. The PFSP shall be developed by the persons or organizations that carried out
the port facility security assessment and maintained on the basis of such security
assessment.

9.3. Preparation of the PFSP is the responsibility of the Port Facility Security Officer
(PFSO). While the PFSO need not necessarily personally undertake all the
duties associated with the post the ultimate responsibility for ensuring that they
are properly performed remains with the individual PFSO.

9.4. Preparation of an effective PFSP will rest on a thorough assessment of all issues
that relate to the security of the port facility, including, in particular, a thorough
appreciation of the physical and operational characteristics of the individual port
facility.

9.5. The content of each individual PFSP should vary depending on the particular
circumstances of the port facility, or facilities, it covers. The PFSA shall have
identified the particular features of the port facility, and of the potential security
risks, that have led to the need to appoint a PFSO and to prepare a PFSP. The
preparation of the PFSP will require these features, and other local or national
security considerations to be addressed in the PFSP, and for appropriate security
measures to be established so as to minimize the likelihood of a breach of
security and the consequences of potential risks. Advice on the preparation and
content of a PFSP may be obtained from the OTS or the PPA.

9.6. The PFSP shall address, at least, the following:

9.6.1. Measures designed to prevent weapons or any other dangerous
substances and devices intended for use against persons, ships
or ports, and the carriage of which is not authorized, from being
introduced in the port facility or on board a ship;

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9.6.2. Measures designed to prevent unauthorized access to the port, to
ships moored at the facility, and to restricted areas of the facility;

9.6.3. Procedures for responding to security threats or breaches of
security, including provisions for maintaining critical operations of
the port, or ship/port interface;

9.6.4. Procedures for responding to any security instructions the
Government may give at security level 3;

9.6.5. Procedures for evacuation in case of security threats or breaches
of security;

9.6.6. Duties of port personnel assigned security responsibilities and of
other facility personnel on security aspects and the performance
measures needed to allow their individual effectiveness to be
assessed;

9.6.7. Procedures for interfacing with ship security activities;

9.6.8. Procedures for the periodic review of the plan and updating;

9.6.9. Procedures for reporting security incidents;

9.6.10. Identification of the port security officer, including 24-hour contact
details;

9.6.11. Measures to ensure the security of the information contained in
the plan;

9.6.12. Measures designed to ensure effective security of cargo and the
cargo handling equipment at the port facility;

9.6.13. Procedures for regular review and/or audit of the PFSP and of its
amendments in response to experience or changing
circumstances, including but not limited to, procedures to assess
the continuing effectiveness of security measures, procedures and
equipment, including identification of, and response to, equipment
failure or malfunction;

9.6.14. Procedures for responding in case the ship security alert system
of a ship at the port facility has been activated;

9.6.15. Communication systems to allow effective and continuous
communication between port facility security personnel and ships
in port and, when appropriate, with national or local authorities
with security responsibilities;

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9.6.16. Procedures or safeguards necessary to allow such continuous
communications to be maintained at all times;

9.6.17. Procedures to maintain, and update, records of dangerous goods
and hazardous substances and their location within the port
facility;

9.6.18. Means of alerting and obtaining the services of waterside patrols
and specialist search teams, including bomb searches and
underwater searches;

9.6.19. Procedures for assisting ship security officers in confirming the
identity of those seeking to board the ship when requested; and

9.6.20. Procedures for facilitating shore leave for ship’s personnel or
personnel changes, as well as access of visitors or the ship,
including representatives of seafarers’ welfare and labor
organizations.

9.7. All PFSP shall detail the security organization of the port facility to include its role
and structure, its links with other relevant authorities, and the necessary
communication systems to allow the effective continuous operation of the
organization and its links with others, including ships in port.

9.8. The PFSP shall indicate in detail the operational and physical security measures
the port facility should take to ensure that it will always operate at security level 1.
The plan should also indicate the additional, or intensified, security measures the
port facility can take to move without delay to, and operate at security level 2
when instructed to do so. Furthermore, the plan should indicate the preparatory
and actual actions to be undertaken to respond to security level 3, or to a security
incident or threat thereof. In addition at security level 3 port facilities should be
able to respond to and implement any security instructions given by the OTS.

9.9. At security level 1, port facilities shall carry out the following activities through
appropriate measures, in order to identify and take preventive measures against
security incidents:

9.9.1. Ensuring the performance of all port security duties;

9.9.2. Controlling access to the port;

9.9.3. Monitoring of the port, including anchoring and berthing area(s);

9.9.4. Monitoring restricted areas to ensure that only authorized persons
have access;

9.9.5. Supervising the handling of cargo;

9.9.6. Supervising the handling of ship’s stores; and

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9.9.7. Ensuring that security communication is readily available.

9.10. At security level 2, the PFSP should specify additional security measures to be
implemented for each activity.

9.11. At security level 3, the PFSP should specify further specific security measures to
be implemented for each activity.

9.12. The PFSP shall specify the security measures that could be taken at each
security level covering:

9.12.1. Access to the port facility;

9.12.2. Restricted areas within the port;

9.12.3. Handling of cargo;

9.12.4. Delivery of ship’s store;

9.12.5. Handling unaccompanied baggage; and,

9.12.6. Monitoring the security of the port.

ACCESS TO THE PORT FACILITY

9.13. The PFSP should establish the security measures covering all means of access
to the port facility identified in the PFSA.

9.14. For each of these access points, the PFSP should identify the appropriate
locations where access restrictions or prohibitions should be applied for each of
the security levels. For each security level the PFSP should specify the type of
restriction or prohibition to be applied and the means of enforcing them.

9.15. The PFSP should establish for each security level the means of identification
required to allow access to the port facility and for individuals to remain within the
port facility without challenge. This may involve developing an appropriate
identification system, allowing for permanent and temporary identifications, for
port facility personnel and for visitors respectively. Any port facility identification
system should, when it is practicable to do so, be coordinated with that applying
to ships that regularly use the port facility. Passengers should be able to prove
their identity by boarding passes, tickets, etc., but should not be permitted access
to restricted areas unless supervised. The PFSP should establish provisions to
ensure that the identification systems are regularly updated, and that abuse of
procedures should be subject to disciplinary action.

9.16. Those unwilling or unable to establish their persons identity and/or to confirm the
purpose of their visit when requested to do so should be denied access to the
port facility and their attempt to obtain access should be reported to the PFSO
and to the national or local authorities with security responsibilities.

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9.17. The PFSP should identify the locations where people, personal effects, and
vehicle searches are to be undertaken. Such locations should be covered to
facilitate continuous operation, regardless of prevailing weather conditions, in
accordance with the frequency laid down in the PFSP. Once subjected to search,
persons, personal effects and vehicles should proceed directly to the restricted
holding, embarkation or car loading areas.

9.18. The PFSP should establish separate locations for checked and unchecked
persons and their effects and if possible separate areas for
embarking/disembarking passengers, ship’s personnel and their effects to ensure
that unchecked persons are not able to come in contact with checked persons.

9.19. The PFSP should establish the frequency of application of any access controls,
particularly if they are to be applied on a random or occasional basis.

AT SECURITY LEVEL 1

9.20. The PFSP should establish the control points where the following measures may
be applied:

9.20.1. Establish restricted areas that should be bounded by fencing or
other barriers to a standard approved by OTS;

9.20.2. Checking identity of all persons seeking entry to the port facility in
connection with a ship, including passengers, ship’s personnel
and visitors, and confirming their reasons for doing so by
checking, for example, joining instructions, passenger tickets,
boarding passes, work orders, etc.;

9.20.3. Checking and screening vehicles used by those seeking entry to
the port facility in connection with a ship;

9.20.4. Verification of the identity of port facility personnel and those
employed within the port facility and their vehicles;

9.20.5. Restricting access to exclude those not employed by the port
facility or working within it, if they are unable to establish their
identity;

9.20.6. Undertaking searches of persons, personal effects, vehicles and
their contents; and

9.20.7. Identifying any access points not in regular use, which should be
permanently closed and locked.

9.21. All those seeking access to the port facility should be liable to search and
screening. The frequency of such searches or screening, including random
searches, should be specified in the approved PFSP and should be specifically
approved by DOTC. Unless there are clear security grounds for doing so,

44

members of the ship’s personnel should not be required to search their
colleagues or their personal effects. Any such search shall be undertaken in a
manner which fully takes into account the human rights of the individual and
preserves their basic human dignity.

AT SECURITY LEVEL 2

9.22. The PFSP should establish additional security measures to be applied, which
may include:

9.22.1. Assigning additional personnel to guard access points and patrol
perimeter barriers;

9.22.2. Limiting the number of access points to the port facility, and
identifying those to be closed and the means of adequately
securing them;

9.22.3. Providing for means of impeding movement through the remaining
access points, e.g. security barriers;

9.22.4. Increasing the frequency of searches of persons, personal effects
and vehicles;

9.22.5. Denying access to visitors who are unable to provide a verifiable
justification for seeking access to the port; and,

9.22.6. Using patrol ships to enhance water side security.

AT SECURITY LEVEL 3

9.23. The port facility should comply with instructions issued by those responding to
the security incident or threat. The PFSP should detail the security measures
which could be taken by the port facility, in close co-operation with those
responding and the ships at the port facility, which may include.

9.23.1. Suspension of access to all, or part, of the port facility;

9.23.2. Granting access only to those responding to the security incident
or threat thereof;

9.23.3. Suspension of pedestrian or vehicular movement within all, or
part, of the port facility;

9.23.4. Increased security patrols within the port facility, if appropriate;

9.23.5. Suspension of port operations within all, or part, of the port facility;

9.23.6. Direction of ship movements relating to all, or part, of the port
facility; and,

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9.23.7. Evacuation of all, or part, of the port facility.

RESTRICTED AREAS WITHIN THE PORT

9.24. The PFSP should identify the restricted areas to be established within the port
facility and specify their extent, times of application, the security measures to be
taken to control access to them and those to be taken to control activities within
them. This should also include, in appropriate circumstances, measures to
ensure that temporary restricted areas are security swept both before and after
that area is established.

9.25. The purpose of restricted areas is to:

9.25.1. Protect passengers, ship’s personnel, port facility personnel and
visitors, including those visiting in connection with a ship;

9.25.2. Protect the port facility;

9.25.3. Protect ships using, and serving, the port facility;

9.25.4. Protect security-sensitive locations and areas within the port
facility;

9.25.5. Protect security and surveillance equipment and systems; and,

9.25.6. Protect cargo and ship’s stores from tampering.

9.26. The PFSP should ensure that all restricted areas have clearly established
security measures to control:

9.26.1. Access by individuals;

9.26.2. The entry, parking, loading and unloading of vehicles;

9.25.3. Movement and storage of cargo and ship’s stores; and,

9.25.4. Unaccompanied baggage or personal effects.

9.27. The PFSP should provide that all restricted areas should be clearly marked,
indicating that access to the area is restricted and that unauthorized presence
within the area constitutes a breach of security.

9.28 When automatic intrusion-detection devices are installed they should alert a
control center which can respond to the triggering of an alarm.

9.29. Restricted areas may include:

9.29.1. Shore and water-side areas immediately adjacent to the ship;

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9.29.2. Embarkation and disembarkation areas, passenger and ship’s
personnel holding and processing areas, including search points;

9.29.3. Areas where loading, unloading or storage of cargo and stores is
undertaken;

9.29.4. Locations where security-sensitive information including cargo
documentation, is held;

9.29.5. Areas where dangerous goods and hazardous substances are
held;

9.29.6. Ship traffic management system control, rooms, aids to navigation
and port control buildings, including security and surveillance
control rooms;

9.29.7. Areas where security and surveillance equipment are stored or
located;

9.29.8. Essential electrical, radio and telecommunication, water and other
utility installations; and,

9.29.9. Other locations in the port facility where access by ships, vehicles
and individuals should be restricted.

ACCESS CONTROL IN STRUCTURES OUTSIDE THE PORT FACILITY

9.30. The security measures may extend, with the agreement of the relevant
authorities, to restrictions on unauthorized access to structures from which the
port facility can be observed:

AT SECURITY LEVEL 1

9.31. The PFSP should establish the security measures to be applied to restricted
areas, which may include:

9.31.1. Provision of permanent or temporary barriers to surround the
restricted area, whose standard should be accepted by OTS;

9.31.2. Provision of access points where access ca be controlled by
security guards when in operation and which can be effectively
locked or barred when not in use;

9.31.3. Providing passes which must be displayed to identify the
individual’s entitlement to be within the restricted area;

9.31.4. Clearly marking vehicles allowed access to restricted areas;

9.31.5. Providing guards and patrols;

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9.31.6. Providing automatic intrusion-detection devices, or surveillance
equipment or systems to detect unauthorized access into, or
movement within, restricted areas; and

9.31.7. Control of the movement of ships in the vicinity of ships using the
port.

AT SECURITY LEVEL 2

9.32. The PFSP should establish the enhancement of the frequency and intensity of
the monitoring and control of access to restricted areas. The PFSP should
establish the additional security measures, which may include:

9.32.1. Enhancing the effectiveness of the barriers or fencing
surrounding restricted areas, including the use of patrols or
automatic intrusion-detection devices;

9.32.2. Reducing the number of access points to restricted areas, and
enhancing the controls applied at the remaining accesses;

9.32.3. Restrictions on parking adjacent to berthed ships;

9.32.4. Further restricting access to the restricted areas and movements
and storage within them;

9.32.5. Use of continuously monitored and recording surveillance
equipment;

9.32.6. Enhancing the number and frequency of patrols, including water-
side patrols, undertaken on the boundaries of the restricted areas
and within the areas;

9.32.7. Establishing and restricting access to areas adjacent to the
restricted areas; and

9.32.8. Enforcing restrictions on access by unauthorized craft to the
waters adjacent to ships using the facility.

AT SECURITY LEVEL 3

9.33. The port facility should comply with the instructions issued by those responding
to the security incident or threat thereof. The PFSP should detail the security
measures which could be taken by the port facility in close co-operation with
those responding and the ships at the port facility, which may include:

9.33.1. Setting up of additional restricted areas within the port facility in
proximity to the security incident, or the believed location of the
security threat, to which access is denied; and

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9.33.2. Preparing for the searching of restricted areas as part of a search
of all, or part, of the port facility.

HANDLING OF CARGO

9.34. The security measures relating to cargo handling should:


9.33.2. Prevent cargo that is not meant for carriage from being accepted
and stored within the port facility.

9.35. The security measures should include inventory control procedures at access
points to the port facility. Once within the port facility, cargo should be capable of
being identified as having been checked and accepted for loading onto a ship or
for temporary storage in a restricted area while awaiting loading. It may be
appropriate to restrict the entry of cargo to the port facility that does not have a
confirmed date for loading.

AT SECURITY LEVEL 1

9.36. The PFSP should establish the security measures to be applied during cargo
handling, which may include:

9.36.1. Routine checking of cargo, cargo transport units and cargo
storage areas within the port facility prior to, and during, cargo
handling operations;

9.36.2. Checks to ensure that cargo entering the port facility matches the
delivery note or equivalent cargo documentation;

9.36.3. Searches of vehicles; and

9.36.4. Checking of seals and other methods used to prevent tampering
upon entering the port facility and upon storage within the port
facility.

9.37. Checking of cargo shall be accomplished by any of the following means:

9.37.1. Visual and physical examination; or

9.37.2. Dogs, scanning/detection equipment, or mechanical devices.

9.38. When there are regular or repeated cargo movements, the CSO or the SSO may,
in consultation with the port facility, agree to an arrangement with shippers or
others responsible for such cargo for covering off-site checking, sealing,
scheduling, supporting, documentation, etc. Such arrangements should be
communicated to and agreed with the PFSO concerned.

49

AT SECURITY LEVEL 2

9.39. The PFSP should establish the additional security measures to be applied during
cargo handling to enhance control, which may include:

9.39.1. Detailed checking of cargo, cargo transport units and cargo
storage areas within the port facility;

9.39.2. Intensified checks, as appropriate, to ensure that only the
documented cargo enters the port facility, is temporarily stored
there and is then loaded onto the ship;

9.39.3. Intensified searches of vehicles; and,

9.39.4. Increased frequency and detail in checking of seals and other
methods used to prevent tampering.

9.40. Detailed checking of cargo may be accomplished by some or all of the following
means:

9.40.1. Increasing the frequency and detail of checking of cargo, cargo
transport units and cargo storage areas within the port facility
(visual and physical examination);

9.40.2. Increasing the frequency of the use of scanning/detection
equipment, mechanical devices, or dogs; and,

9.40.3. Coordinating enhanced security measures with the shipper or
other responsible party in addition to an established agreement
and procedures.

AT SECURITY LEVEL 3

measures which could be taken by the port facility in close cooperation with

9.41.1. Restriction or suspension of cargo movements or operations
within all, or part, of the port facility or specific ships; and,

9.41.2. Verifying the inventory of dangerous goods and hazardous
substances held within the port facility and their location.

DELIVERY OF SHIP STORES

9.42. The security measures relating to the delivery of ship’s stores should:

9.42.1. Ensure checking of ship’s stores and package integrity;

50

9.42.2. Prevent ship’s stores from being accepted without inspection;

9.42.3. Prevent tampering;

9.42.4. Prevent ship’s stores from being accepted unless ordered;

9.42.5. Ensure searching the delivery vehicle; and,

9.42.6. Ensure escorting delivery vehicles within the port facility.

9.43. For ships regularly using the port facility it may be appropriate to establish
procedures involving the ship, its suppliers and the port facility covering
notification and timing of deliveries and their documentation. There should
always be some way of confirming that stores presented for delivery are
accompanied by evidence that they have been ordered by the ship.

AT SECURITY LEVEL 1

9.44. The PFSP should establish the security measures to be applied to control the
delivery of ship’s stores, which may include:

9.44.1. Checking of ship’s stores;

9.44.2. Advance notification as to composition of load, driver details and
vehicle registration; and,

9.44.3. Searching the delivery vehicle.

9.45. Checking of ship’s stores may be accomplished by some or all of the following
means:

9.45.1. Visual and physical examination;

9.45.2. Using scanning/detection equipment, mechanical devices or dogs.

AT SECURITY LEVEL 2

9.46. The PFSP should establish the additional security measures to be applied to
enhance the control of the delivery of ship’s stores, which may include:

9.46.1. Detailed checking of ship’s stores;

9.46.2. Detailed searches of the delivery vehicles;

9.46.3. Coordination with ship personnel to check the order against the
delivery note prior to entry to the port facility; and

9.46.4. Escorting the delivery vehicle within the port facility.

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9.47. Detailed checking of ship’s stores may be accomplished by some or all of the
following means:

9.47.1. Increasing the frequency and detail of searches of delivery
vehicles;

9.47.2. Increasing the use of scanning/detection equipment, mechanical
devices, or dogs; and,

9.47.3. Restricting, or prohibiting, entry of stores that will not leave the
port facility within a specified period.

AT SECURITY LEVEL 3

measures which could be taken by the port, in close cooperation with those
responding and the ships at the port facility, which may include preparation for
restriction, or suspension, of the delivery of ship’s stores within all, or part, of the
port facility.

HANDLING UNACCOMPANIED BAGGAGE

9.49. The PFSP should establish the security measures to be applied to ensure that
unaccompanied baggage (i.e. any baggage, including personal effects, which is
not with the passenger or member of ship’s personnel at the point of inspection
or search) is identified and subjected to appropriate screening, including, before
it is allowed in the port facility and, depending on the storage arrangements,
before it is transferred between the port facility and the ship. It is not envisaged
that such baggage will be subjected to screening by both the port facility and the
ship, and in cases where both are suitably equipped, the responsibility for
screening should rest with the port facility. Close co-operation with the ship is
essential and steps should be taken to ensure that unaccompanied baggage is
handled securely after screening.

AT SECURITY LEVEL 1

9.50. The PFSP should establish the security measures to be applied when handling
unaccompanied baggage to ensure that unaccompanied baggage is screened or
searched up to and including 100%, which may include use of x-ray screening, if
available.

AT SECURITY LEVEL 2

9.51. The PFSP should establish the additional security measures to be applied when
handling unaccompanied baggage which should include 100 percent X-ray
screening of all unaccompanied baggage.

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AT SECURITY LEVEL 3

those responding and the ship’s at the port facility, which may include:

9.52.1. Subjecting such baggage to more extensive screening, for
example x-raying it from at least two different angles;

9.52.2. Preparations for restriction or suspension of handling of
unaccompanied baggage; and,

9.52.3. Refusal to accept unaccompanied baggage into the port facility.

MONITORING THE SECURITY OF THE PORT FACILITY

9.53. The port facility security organization should have the capability to monitor the
port facility and its nearby approaches, on land and water, at all times, including
the night hours and periods of limited visibility, the restricted areas within the port
facility, the ships at the port facility and areas surrounding ships. Such
monitoring can include use of:

9.53.1. Lighting;

9.53.2. Security guards, including foot, vehicle and waterborne patrols;
and,

9.53.3. Automatic intrusion-detection devices and surveillance equipment.

9.54. When used, the automatic intrusion-detection devices should activate an audible
and/or visual alarm at a location that is continuously attended or monitored.

9.55. The PFSP should establish the procedures and equipment needed at each
security level and the means of ensuring that monitoring equipment will be able
to perform continually, including consideration of the possible effects of weather
or of power disruptions.

AT SECURITY LEVEL 1

9.56. The PFSP should establish the security measures to be applied, which may be a
combination of lighting, security guards or use of security and surveillance
equipment to allow port facility security personnel to:

9.56.1. Observe the general port facility area, including shore- and water-
side accesses to it;

9.56.2. Observe access points, barriers, and restricted areas; and

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9.56.3. Allow port facility security personnel to monitor areas and
movements adjacent to ships using the port facility, including
augmentation of lighting provided by the ship itself.

AT SECURITY LEVEL 2

9.57. The PFSP should establish the additional security measures to be applied, to
enhance the monitoring and surveillance capability, which may include:

9.57.1. Increasing the coverage and intensity of lighting and surveillance
equipment, including the provision of additional lighting and
surveillance coverage;

9.57.2. Increasing the frequency of foot, vehicle or waterborne patrols;
and,

9.56.3. Assigning additional security personnel to monitor and patrol.

AT SECURITY LEVEL 3


9.58.1. Switching on all lighting within, or illuminating the vicinity of, the
port;

9.58.2. Switching on all surveillance equipment capable of recording
activities within, or adjacent to, the port facility; and,

9.58.3. Maximizing the length of time such surveillance equipment can
continue to record.

CONTINGENCY PLANS

9.59. Emergency or Contingency plans must be adopted and integrated into the Port
Facility Security Plan for:

9.59.1. Bomb/terrorist threat;

9.59.2. Actual explosion/detonation;

9.59.3. Civil Disturbance;

9.59.4. Fire;

9.59.5. Earthquakes;

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9.59.6. Typhoons;

9.59.7. Hostage taking;

ACTIVITIES NOT COVERED BY THE CODE

9.60. The PFSP should establish details of the procedures and security measures the
port facility should apply when:

9.60.1. It is interfacing with a ship which has been at a port of a State
which is not a Contracting Government;

9.60.2. It is interfacing with a ship to which this Code does not apply; and,

9.60.3. It is interfacing with fixed or floating platforms or mobile offshore
drilling units on location.

AUDIT, REVIEW AND AMENDMENT

9.61. The PFSP should establish how the PFSO intends to audit the continued
effectiveness of the PFSP and the procedure to be followed to review, update or
amend the PFSP.

9.62. The PFSP should be reviewed at the discretion of the PFSO. In addition it
should be reviewed:

9.62.1. If the PFSA relating to the port facility is altered;

9.62.2. If an independent audit of the PFSP or by the OTS, testing of the
port facility security organization identifies failings in the
organization or questions the continuing relevance of significant
element of the approved PFSP;

9.62.3. Following security incidents or threats thereof involving the port
facility; and,

9.62.4. Following changes in ownership or operational control of the port
facility.

9.63. The PFSO can recommend appropriate amendments to the approved plan
following any review of the plan. Amendments may include:

9.63.1. Proposed changes which could fundamentally alter the approach
adopted to maintaining the security of the port facility; and,

9.63.2. The removal, alteration or replacement of permanent barriers,
security and surveillance equipment and systems etc., previously
considered essential in maintaining the security of the port facility.

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9.64. All amendments to any of the elements of an approved PFSP have to be
submitted to the OTS for review and approval before their incorporation into the
approved plan and their implementation at the port facility.

9.65. The OTS shall determine which changes to the port facility security plan shall not
be implemented unless the relevant amendments to the plan are approved by
them.

9.66. 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 port
facility.

OTHER PROVISIONS

9.67. The PFSP should establish details of the procedures and security measures the
port facility could adopt if the port facility is at a lower security level than that
applying to a ship.

9.68. Every port facility is required to act upon the security levels set by the OTS.
Security measures and procedures shall be applied in such a manner as to
cause a minimum of interface with, or delay to, passengers, ship, ship’s
personnel and visitors, goods and services.

9.69. When a port facility security officer is advised that a ship encounters difficulties in
complying with the requirements of chapter XI-2 of SOLAS 1974, as amended or
the ISPS Code, or in implementing the appropriate measures and procedures as
detailed in the Ship Security Plan, and in the case of security level 3 following
any security instructions given by the Designated Authority, the Port Security
Officer and the Ship Security Officer shall liaise and coordinate appropriate
actions.

9.70. When a port facility security officer is advised that a ship is at a security level
which is higher than that of the port facility, the port facility security officer shall
report the matter to the Designated Authority and shall liaise with the ship
security officer and co-ordinate appropriate actions, if necessary.

9.71. The PFSP should establish the procedures to be followed when on the
instructions of the OTS/Port Management, the PFSO requests a Declaration of
Security (DOS), or when a DOS is requested by a ship.

9.72. The security measures included in the PFSP should be in place within a
reasonable period from the PFSP’s approval and the PFSP should establish
when each measure will be in place. If there is likely to be any delay in their
provision this should be discussed with OTS. The approval of the PFSP and
satisfactory alternative temporary security measures that provide an equivalent
level of security should be agreed to cover any interim period.

9.73. The use of firearms on or near ships and in port facilities may pose particular and
significant safety risks, particularly in connection with certain dangerous

56

substances and should be considered very carefully. If it is necessary to use
armed personnel in these areas, the OTS should ensure that these personnel are
duly authorized and trained in the use of their weapons and that they are aware
of the specific risks to safety that are present in these areas. The PFSP should
contain specific guidance on this matter, in particular with regard to its application
to ships carrying dangerous goods or hazardous substances.

9.74. The PFSP shall be combined with, or be part of, the port facility security plan or
any other port emergency plan or plans.

9.75. The PFSP should make provision for the retention of records of security incidents
and threats, reviews, audits, training, drills and exercises as evidence of
compliance with those requirements.

9.76. The OTS may allow a PFSP to cover more than one port facility if the operator,
location, operation, equipment and design of these port facilities are similar, and
shall communicate to the Organization particulars of such an alternative
arrangement.

DOCUMENT CONTROL

9.77. The plan shall be protected from unauthorized access and/or disclosure.

9.78. The plan may be kept in an electronic format. In such a case, it shall be
protected by procedures aimed at preventing its unauthorized deletion,
destruction or amendment. A sample format of PFSP is herein provided.

9.79. The PFSP shall be the exclusive and confidential property of the Port Authority or
Port Owner/Operator and shall be considered a controlled document. Access to
the PFSP shall be allowed only to duly authorized personnel, and shall be
subject to document control procedure and disclosure agreement in case the
PFSP is transferred/transmitted from one location to another.

Chapter 10. DECLARATION OF SECURITY

GENERAL

10.1. The port authority and the ship, through their PFSO and SSO respectively, shall
determine when a Declaration of Security (DOS) is required by assessing the risk
the ship-port interface or ship-to-ship activity poses to persons, property or the
environment.

10.2. The Master or SSO for the ship and the PFSO for the port can request
completion of Declaration of Security when:

10.2.1. The ship is operating at a higher security level than the port facility
or another ship it is interfacing with;

57

10.2.2. There is an agreement on the Declaration of Security between the
OTS and another Contracting Government covering certain
international voyages or specific ships on those voyages;

10.2.3. There has been a security threat or security incident involving the
ship or involving the port facility, as applicable;

10.2.4. The ship is at a port which is not required to have and implement
an approved port facility security plan; and

10.2.5. The ship is conducting ship-to-ship activities with another ship not
required to have and implement an approved ship security plan.

10.3. Concerned port facility and/or ship shall acknowledge all requests for the
completion of a declaration of security.

10.4. The Declaration of Security shall be completed by:

10.4.1. The master or the SSO on behalf of the ship(s); and if appropriate,

10.4.2. The Port Facility Security Officer (PFSO) on behalf of the port
facility.

10.5. The Declaration of Security shall address the security requirements that could be
shared between the port facility and a ship (or between ships) and shall state the
responsibility for each.

10.6. The OTS or the respective port authorities shall specify, bearing in mind the
provisions of Regulation XI-2/9.2.3 of SOLAS 1974, the minimum period for
which Declaration of Security shall be kept by the port facilities.

10.7. The OTS shall specify bearing in mind the provisions of Regulation XI-2/9.2.3
SOLAS 1974, the minimum period for which Declaration of Security shall be kept
by ships. The OTS may also indicate the need for a DOS as a result of a ship
security assessment (SSA) and should be set out in the ship security plan (SSP).

10.8. A PFSO shall also initiate a DOS prior to the conduct of ship/port interfaces that
are identified in the approved PFSA as being of particular concern. Examples
may include embarking or disembarking passengers and the transfer, loading or
unloading of dangerous goods or hazardous substances. The PFSA may also
identify facilities at or near highly populated areas or economically significant
operations that warrant a DOS.

10.9. The main purpose of a DOS shall be to ensure that agreement is reached
between the ship and the port facility or with another ship which it interfaces as to
the respective security measures each will undertake in accordance with the
provisions of their respective approved security plans.

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10.10. The agreed DOS shall be signed and dated by both the port facility and the
ship(s), as applicable, to indicate compliance with chapter XI-2 of SOLAS 1974
as amended and the ISPS Code and should include its duration, the relevant
security level or levels and the relevant contact details.

10.11. A change in the security level may require that a new or revised DOS be
completed.

10.12 The DOS shall be completed in English, and accomplished following the model
provided herein.

Chapter 11 STATEMENT OF COMPLIANCE OF A PORT FACILITY

GENERAL

11.1. Each port facility to which the ISPS Code applies is required to have a Statement
of Compliance of a Port Facility (SCPF) issued by the OTS indicating:

11.1.1. The port facility;

11.1.2. That the port facility complies with the provisions of Chapter XI-2
of SOLAS 1974, as amended, and of Part A of the ISPS Code;

11.1.3. The period of validity of the SCPF; and,

11.1.4. The subsequent verification arrangements established by the OTS
and a confirmation when these are carried out.

11.2. The SCPF is issued by OTS to a port facility after conducting a review and
approval of its PFSA and review, approval and verification of its PFSP.

11.3. The SCPF shall be valid for a period not exceeding five (5) years subject to
annual review, verification and endorsement.

VERIFICATION

11.4. Verifying whether the approved PFSP is properly implemented in the port is a
requisite element in the issuance of SCPF. Each port facility to which the ISPS
Code applies shall be subject to the verifications by the OTS specified below:

11.4.1. An initial verification before the SPCF is issued for the first time,
which shall include a complete verification of its security system
and any associated security equipment covered by the relevant
provisions of Chapter XI-2 of SOLAS 1974 and Part A of the ISPS
Code and the approved ship security plan. This verification shall
ensure that the security system and any associated security
equipment of the port fully comply with the applicable
requirements, are in satisfactory condition, and fit for the service
for which they are intended;

59

11.4.2. An annual verification during its validity period, to be carried out
within one (1) month before its anniversary date, which shall
include inspection of the security system and any associated
security equipment of the port to ensure that it remains
satisfactory for the service for which they are intended. Such
annual verification shall be endorsed on the certificate.

11.4.3. A renewal verification to be carried out within three (3) months
before the expiry date of the Certificate for the purpose of
renewing the Certificate. This verification shall ensure that the
security system and any associated security equipment of the port
fully complies with the applicable requirements of Chapter XI-2 of
SOLAS 1974 and Part A of the ISPS Code and the approved ship
security plan, are in satisfactory condition and fit for the service for
which they are intended;

11.4.4. Any additional verifications as determined by the OTS.

11.5. The verifications of ports shall be carried out by the OTS or an authorized RSO.

11.6. The security system and any associated security equipment of the port after
verification shall be maintained to conform to the relevant provisions of SOLAS
Chapter XI-2, Part A of the ISPS Code and the approved PFSP. After a
verification under this Annex has been completed, no changes shall be made in
security system and in any associated security equipment or the approved ship
security plan without the prior approval of the OTS.

ISSUANCE AND ENDORSEMENT

11.7. A Statement of Compliance of a Port Facility shall be issued after the initial or
renewal verification, or endorsed after the annual verification.

11.8. The International Ship Security Certificate (ISSC) shall be drawn up in a form
corresponding to the model provided.

DURATION AND VALIDITY

11.9. A Statement of Compliance of a Port Facility shall be issued for a period
specified by the OTS which shall not exceed five years.

11.10. When the renewal verification is completed within three months before the expiry
date of certificate, the new certificate shall be valid from the date of completion of
the renewal verification to a date not exceeding five years from the date of expiry
of the existing certificate.

11.11. When the renewal verification is completed after the expiry date of the existing
certificate, the new certificate shall be valid from the date of completion of the
renewal verification to a date not exceeding five years from the date of expiry of
the existing certificate.

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11.12. If a certificate is issued for a period of less than five years, the OTS may extend
the validity of the certificate beyond the expiry date to the maximum period,
provided that the verifications as applicable when a certificate is issued for a
period of five years are carried out as appropriate.

11.13. A certificate issued shall cease to be valid in any of the following cases:

11.13.1. If the relevant verifications are not carried out within the periods
specified;

11.13.2. If the certificate is not endorsed;

11.13.3. When another entity assumes the responsibility for the operation
of the port. In this case, the previous operator shall, as soon as
possible, transmit to the new entity copies of any information
related to the Statement of Compliance of a Port Facility to
facilitate the verifications and the issuance of a new SCPF.

DESIGNATED SINGLE AUTHORITY FOR TRANSPORTATION SECURITY

The Office for Transportation Security under the Department of Transportation
and Communications is the designated singular authority responsible for the security of
the transportation systems of the country. It is specifically tasked by Executive Order
No. 311 dated April 26, 2004 to ensure that the International Ship and Port Facility
Security (ISPS) Code is implemented.

APPENDICES:

1. Executive Order No. 277, January 30, 2004;

2. Executive Order No. 311, April 26, 2004;

3. Transport Security Memorandum Order No. MAR-015-2004, May 28, 2004

4. Department Order No. 2004-29, May 28, 2004

5. Memorandum for the Secretary General, International Maritime Organization,
May 28, 2004.

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MALACANANG
MANILA

EXECUTIVE ORDER NO. 311

DESIGNATING THE OFFICE FOR TRANSPORT SECURITY AS THE
SINGULAR AUTHORITY RESPONSIBLE FOR THE SECURITY
OF THE TRANSPORTATION SYSTEMS OF THE COUNTRY,
EXPANDING ITS POWERS AND FUNCTIONS AS AN
ATTACHED AGENCY UNDER DEPARTMENT OF
TRANSPORTATION AND COMMUNICATIONS

WHEREAS, the State is committed to the maintenance of safe and
dependable transportation systems as effective instruments for national
recovery and economic progress;

WHEREAS, recent international and domestic events are stark reminders
that the nation must constantly be vigilant in preventing weapons, explosives or
other dangerous persons, elements, devices, hazardous materials and cargoes
that may be used to commit an act of terrorism or unlawful interference, the
carriage or bearing thereof is not authorized, from being introduced and carried
by any means or mode whatsoever on board a transport system;

WHEREAS, it is considered necessary to formulate, implement and
coordinate transportation security measures, programs, plans and activities that
enhance security of transportation systems of the country;

WHEREAS, THE Department of Transportation and Communications
(DOTC) is the primary policy, planning, programming, coordinating,
implementing, regulating and administrative entity of the Executive Branch of
the government in the promotion, development and regulation of dependable
and coordinated networks of transportation;

WHEREAS, by virtue of Executive Order No. 277 dated January 30, 2004,
the Office for Transportation Security was created under the DOTC to exercise
primary responsibility for the implementation of Annex 17 of the International
Civil Aviation Organization Convention on aviation security;

WHEREAS, under Section 31, Chapter 10, Title III, Book III of the
Administrative Code of 1987, the President has continuing authority to
reorganize the administrative structure of Office of the President.

NOW, THEREFORE, I, GLORIA MACAPAGAL- ARROYO, President of the
Republic of the Philippines, by virtue of the powers vested in me by law, do
hereby order:

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SECTION 1. Single Authority. - The Office for Transportation Security
(OTS) is hereby designated as the appropriate single authority responsible for
the security of the transportation systems of the country including but not
limited to:

a. Civil Aviation by ensuring that Annex 17 to the Convention on
International Civil Aviation, as amended, commonly referred
to as Standards and Recommended Practices on Security and
as enumerated in the Security Manual for Safeguarding
International Civil Aviation Against Acts of Unlawful
Interference; and, the National Civil Aviation Security
Programme (NCASP) are implemented;

b. Sea Transport and Maritime Infrastructure by ensuring that
the International Maritime Organization International Ship
and Port Facility Security Code (ISPS), and that a National
Security Programme for Sea Transport and Maritime
Infrastructure is formulated, developed and implemented;

c. Land Transportation, Rail System and Infrastructure by
ensuring that a National Security Programme for Land
Transportation, Rail System and Infrastructure is formulated,
developed and implemented.

SECTION 2. Powers and Functions. - The OTS shall exercise the
following powers and functions:

a. Assume the functions of the National Civil Aviation
Committee (NCASC) enumerated in Section 4 of Executive
Order No. 277 dated January 30, 2004 as well as all other
powers and functions of the NCASC subject, however, to
Section 3 of this Executive Order;

b. Exercise operational control and supervision over all units of law
enforcement agencies and agency personnel providing security
services in the transportation systems, except for motor vehicles in
land transportation, in coordination with the heads of the bureaus or
agencies to which the units or personnel organically belong or are
assigned;

c. Exercise responsibility for the security operations including,
but not limited to, security screening of passengers, baggage
and cargoes, and hiring, retention, training and testing of
security screening personnel;

d. In coordination with the appropriate agencies and/or
instrumentalities of the government, formulate, develop,
promulgate and implement comprehensive security plans,
policies, measures, strategies and programs to ably and
decisively deal with any threat to the security of

63

transportation systems and continually review, assess and
upgrade such security plans, policies, measures and
programs to improve and enhance transportation security and
to ensure the adequacy of these security measures;

e. Examine and audit performance of transportation security
personnel, equipment and facilities, and, thereafter,
establish, on a continuing basis, performance standards for
such personnel, equipment and facilities, including for the
training of personnel;

f. Prepare a security manual/master plan or programme which
shall prescribe the rules and regulations for the efficient and
safe operation of all transportation systems, including
standards for security screening procedures and prior
screening or profiling of persons or individuals for the
issuance of security access passes, and determination of
levels of security clearances for personnel of the OTS, the
DOTC and its attached agencies, and other agencies of the
government;

g. Prescribe security and safety standards in all transportation
systems in accordance with existing laws, rules, regulations
and international treaties and conventions;

h. Subject to the approval of the Secretary of the DOTC, issue
Transportation Security Regulation/Rules and amend, rescind
or revise such regulations or rules as may be necessary for
the security of the transportation systems of the country.

i. Enlist the assistance of any department, bureau, office,
instrumentality, or government owned or controlled
corporations, to carry out its functions and mandate including
but not limited to the use of their respective personnel,
facilities and resources;

j. Actively coordinate with law enforcement agencies in the
investigation and prosecution of any illegal act or unlawful
interference committed at or directed to any public
transportation system;

k. Perform such other functions necessary to effectively carry
out the provisions of this Executive Order or as may be
directed by the Secretary of the DOTC.

SECTION 3. National Civil Aviation Security Committee; Secretariat. –
The NCASC shall henceforth act as an advisory body to and consultative forum
for the Secretary of the DOTC in matters relative to civil aviation security. For
this purpose, the NCASC is hereby transferred from the Department of Interior

64

and Local Government (DILG) to the DOTC and is hereby reconstituted and
shall be composed of the following:

Secretary, DOTC Chairman
Secretary, DILG Vice-Chairman
Undersecretary, Office for Transportation Security Member
Assistant Secretary, Air Transportation Office Member
General Manager, Manila International Airport Authority Member
General Manager, Mactan-Cebu International Airport
Authority Member
General Manager, Clark International Airport Corporation Member
General Manager, Subic Bay International Airport
Authority Member
Manager, Davao International Airport Member
Manager, General Santos International Airport Member
Manager, Laoag International Airport Member
Manager, Zamboanga International Airport Member
Director, Philippine National Police Aviation Security Group Member
Commissioner, Bureau of Customs Member
Commissioner, Bureau of Immigration Member
Administrator, Philippine Overseas Employment
Administration Member
Administrator, Overseas Worker Welfare Administration Member
Executive Director, Department of Tourism Member

Protocol Officer, Department of Foreign Affairs Member
Director, National Bureau of Investigation Member
Group Commander, Intelligence Service of the Armed
Forces of the Philippines Member
Director General, National Intelligence Coordinating Agency Member
Group Commander, Presidential Security Group Member
Director, DA Bureau of Plant Industry Member
Director, DA Bureau of Animal Industry Member
Chief, Superintendent, Bureau of Fire Protection Member
Director, DOH Bureau of Quarantine and International
Health Surveillance Member

The OTS shall continue to serve as the Secretariat of the NCASC and
qualified DILG personnel performing secretariat functions for the NCASC shall
have the option to transfer to the DOTC and be absorbed by the OTS.

SECTION 4. Security Committees. – The Secretary of the DOTC shall
have the power to create other security committees, composed of concerned
agencies of the government and stakeholders, which shall provide assistance in
the formulation, development and implementation of national security
programmes for sea transport and maritime infrastructure and for land
transportation, rail system and infrastructure.

65

SECTION 5. Funding. - The amount necessary for the initial operation
and administration of the OTS shall be chargeable against funds for the
purpose and other sources recommended by the Department of Budget and
Management. Thereafter, appropriations for the OTS shall be included in the
budget proposals under the DOTC.

SECTION 6. Implementing Rule and Regulations. - Within NINETY (90)
days from the effectivity of this Executive Order and subject to the approval of
the Secretary of DOTC, the OTS shall promulgate rules and regulations
necessary to ensure the effective implementation of this Executive Order.

SECTION 7. Repeal. - Executive Order No. 277 dated January 30, 2004
is hereby modified accordingly. All other orders, rules, regulations and
issuances, or parts thereof, which are inconsistent with this Executive Order are
hereby repealed or modified accordingly.

SECTION 6. Effectivity. - This Executive Order shall take effect
immediately.

City of Manila, 26 t h day of April 2004

By the President:

(SGD)ALBERTO G. ROMULO
Executive Secretary

66

MALACANANG
MANILA

EXECUTIVE ORDER NO. 277

APPROVING AND ADOPTING THE NATIONAL CIVIL AVIATION
SECURITY PROGRAMME, CREATING THE OFFICE FOR
TRANSPORTATION SECURITY IN THE DEPARTMENT OF
TRANSPORTATION AND COMMUNICATIONS, AND
RECONSTITUTING THE NATIONAL COUNCIL FOR CIVIL
AVIATION SECURITY AS THE NATIONAL CIVIL AVIATION
SECURITY COMMITTEE

WHEREAS, there is an urgent need to safeguard civil aviation against
acts of unlawful interference while taking into account the safety, regularity and
efficiency of flights;

WHEREAS, pursuant to Executive Order No. 336 dated January 5, 2001,
the National Council for Civil Aviation Security is responsible for formulating
plans to direct, control, supervise and integrate all measures aimed at
preventing and suppressing all terrorist threats to civil aviation;

WHEREAS, under Section 31, Chapter 10, Title III, Book III of the
Administrative Code of 1987, the President has continuing authority to
reorganize the administrative structure of Office of the President.

NOW, THEREFORE, I, GLORIA MACAPAGAL- ARROYO, President of the
Republic of the Philippines, by virtue of the powers vested in me by law, do
hereby order:

SECTION 1. The National Civil Aviation Security Programme (NCASP),
hereto attached as Annex “A”, is hereby approved and adopted.

SECTION 2. An Office for Transportation Security Programme (NCASP),
hereto attached as Annex “A”, is hereby approved and adopted.

SECTION 3. The National Council for Civil Aviation Security is hereby
reconstituted as the National Civil Aviation Security Committee (NCASC), to be
composed of the following:

Secretary, DOTC Chairman
Secretary, DILG Co-Chairman
Undersecretary, Office for Transportation Security Vice Chairman
Assistant Secretary, Air Transportation Office Member
General Manager, Manila International Airport Authority Member
General Manager, Mactan-Cebu International Airport
Authority Member

67

General Manager, Clark International Airport Corporation Member
General Manager, Subic Bay International Airport
Authority Member
Manager, Davao International Airport Member
Manager, General Santos International Airport Member
Manager, Laoag International Airport Member
Manager, Zamboanga International Airport Member
Director, Philippine National Police Aviation Security Group Member
Commissioner, Bureau of Customs Member
Commissioner, Bureau of Immigration Member
Administrator, Philippine Overseas Employment
Administration Member
Administrator, Overseas Worker Welfare Administration Member
Executive Director, Department of Tourism Member
Protocol Officer, Department of Foreign Affairs Member
Director, National Bureau of Investigation Member
Group Commander, Intelligence Service of the Armed
Forces of the Philippines Member
Director General, National Intelligence Coordinating Agency Member
Group Commander, Presidential Security Group Member
Director, DA Bureau of Plant Industry Member
Director, DA Bureau of Animal Industry Member
Chief, Superintendent, Bureau of Fire Protection Member
Director, DOH Bureau of Quarantine and International
Health Surveillance Member

SECTION 4. In addition to its current functions, the NCASC shall be
responsible for the implementation and maintenance of the NCASP and shall:

a. Define and allocate tasks and coordinate activities among the
agencies of the government, airport authorities, aircraft
operators and other entities concerned with, or responsible
for, the implementation of various aspects of the NCASP;

b. Coordinate security activities among the agencies of the
government, airport authorities, aircraft operators and other
entities concerned with, or responsible for, the
implementation of various aspects of the NCASP;

c. Define and allocate tasks for the implementation of the
NCASP among the agencies of the government, airport
authorities, aircraft operators and other concerned entities;

d. Ensure that each airport serving international civil aviation
shall establish and implement a written airport security
programme appropriate to meet the requirements of the
NCASP;

68

e. Arrange for an authority at each airport serving international
civil aviation to be responsible for coordinating the
implementation of security controls’

f. Arrange for the establishment of an airport security
committee at each airport serving international civil aviation
to assist the authority mentioned in paragraph (e) above, in
the coordination of the implementation of security controls
and procedures;

g. Coordinate and collaborate with the Task Force for Security
of Critical Infrastructure under the Cabinet Oversight
Committee on Internal Security; and

h. Perform such other functions as the President may direct.

The DOTC Office for Transportation Security shall serve as the
Secretariat of the NCASC.

SECTION 5. Repeal. - All orders, rules, regulations and issuances, or
parts thereof, which are inconsistent with this Executive Order are hereby
repealed or modified, accordingly.

SECTION 6. Effectivity. - This Executive Order shall take effect
immediately.

City of Manila, January 30, 2004

By the President:

(SGD)ALBERTO G. ROMULO
Executive Secretary

69

Republic of the Philippines
Department of Transportation & Communications
Office for Transportation Security

TRANSPORT SECURITY MEMORANDUM ORDER No. MAR-015-2004

TO : GOVERNMENT PORT AUTHORITIES,
PRIVATE PORT OWNERS/OPERATORS,
SHIPYARD OWNERS, SHIPPING COMPANIES,
SHIP OWNERS/OPERATORS AND OTHER CONCERNED AND
RELATED MARITIME AGENCIES & ENTITIES

SUBJECT : SUBMISSION ON OR BEFORE 10 JUNE 2004 OF
PORT FACILITY SECURITY ASSESSMENT (PFSA),
PORT FACILITY SECURITY PLAN (PFSP),
SHIP SECURITY ASSESSMENT (SSA), AND
SHIP SECURITY PLAN (SSP)
IN COMPLIANCE WITH THE INTERNATIONAL SHIP AND PORT
FACILITY SECURITY (ISPS) CODE, AS ADOPTED ON DECEMBER 12,
2002, CHAPTER XI-2 OF THE AMENDMENT TO THE ANNEX TO THE
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA,
1974 (SOLAS), “SPECIAL MEASURES TO ENHANCE MARITIME
SECURITY”

DATE : 28 May 2004

Pursuant to the provisions of Executive Order No. 311, designating the Office for Transportation
Security (OTS) of the Department of Transportation and Communications (DOTC) as the single
authority responsible for the security of all modes of transportation in the country and as per
DOTC Department Order No. 2004-29 appointing OTS as the “Designated Authority” and
“Administration” for the ISPS Code implementation, you are hereby directed to submit not later
than 10 June 2004 to this Office your respective security assessments and security plans as
mandated by the ISPS Code, as adopted on 12 December 2002, Chapter XI-2 of the SOLAS,
1974 “Special Measures to Enhance Maritime Security.
.
For guidance and strict compliance.

(SGD) CECILIO R. PENILLA
Undersecretary

70


DEPARTMENT ORDER NO. 2004-29

TO : MARITIME INDUSTRY AUTHORITY,
PHILIPPINE COAST GUARD,
PNP MARITIME COMMAND,
MARITIME AND OCEAN AFFAIRS CENTER,
PHILIPPINE PORTS AUTHORITY,
CEBU PORTS AUTHORITY,
SUBIC BAY METROPOLITAN AUTHORITY,
CAGAYAN EXPORT ZONE AUTHORITY,
BASES CONVERSION DEVELOPMENT AUTHORITY,
PHILIPPINE EXPORT ZONE AUTHORITY,
PHIVIDEC, ARMM, OTHER PORT AUTHORITIES,
PRIVATE PORT OWNERS/OPERATORS,
SHIPYARD OWNERS, CARGO HANDLING OPERATORS,
PORT USERS, EXPORTERS/IMPORTERS,
SHIPPING COMPANIES, SHIP OWNERS/OPERATORS AND OTHER
CONCERNED & RELATED MARITIME AGENCIES & ENTITIES

SUBJECT : DESIGNATING THE OFFICE FOR TRANSPORTATION
SECURITY (OTS) AS THE “DESIGNATED
AUTHORITY” AND “ADMINISTRATION” IN
COMPLIANCE WITH THE INTERNATIONAL SHIP AND PORT FACILITY
SECURITY (ISPS) CODE, AS ADOPTED ON DECEMBER 12, 2002,
CHAPTER XI-2 OF THE AMENDMENT TO THE ANNEX TO THE
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA,
1974 (SOLAS), “SPECIAL MEASURES TO ENHANCE MARITIME
SECURITY”

DATE : 28 May 2004

Pursuant to the provisions of Executive Order No. 311, designating the Office for Transportation
Security (OTS) of the Department of Transportation and Communications (DOTC) as the single
authority responsible for the security of all modes of transportation in the Philippines, the OTS
henceforth shall perform the functions of the “Designated Authority” and ”Administration” as
provided for in the ISPS Code, as adopted on 12 December, Chapter XI-2 of the SOLAS, 1974
“Special Measures to Enhance Maritime Security’.

This Order takes effect immediately.

(SGD) LEANDRO R. MENDOZA
Secretary

71

Office for Transportation Security

FOR : The SECRETARY-GENERAL
INTERNATIONAL MARITIME ORGANIZATION (IMO)

SUBJECT : “DESIGNATED AUTHORITY” AND “ADMINISTRATION” IN THE
PHILIPPINES IN COMPLIANCE WITH THE INTERNATIONAL SHIP AND
PORT FACILITY SECURITY (ISPS) CODE, AS ADOPTED ON
DECEMBER 12, 2002, CHAPTER XI-2 OF THE AMENDMENT TO THE
ANNEX TO THE INTERNATIONAL CONVENTION FOR THE SAFETY
OF LIFE AT SEA, 1974 (SOLAS), “SPECIAL MEASURES TO ENHANCE
MARITIME SECURITY”

DATE : 28 May 2004

This is to inform IMO that pursuant to the provisions of Executive Order No. 311, the Office for
Transportation Security (OTS) of the Department of Transportation and Communications
(DOTC) has been designated as the single authority responsible for the security of all modes of
transportation in the Philippines and as per DOTC Department Order No. 2004-29, as the
“Designated Authority” and “Administration” for the ISPS Code implementation.

OTS, as the Designated Authority and Administration with respect to the ISPS Code, Chapter
XI-2 of the amendment to the annex to the International Convention for the Safety of Life at Sea,
1974 (SOLAS), “ Special Measures to Enhance Maritime Security,” shall henceforth be the
primary office for coordination and communication with IMO and its member-states in this
regards.

OTS has requested all maritime stakeholders in the Philippines to submit not later than 10 June
2004 to this Office their respective security assessments and security plans as mandated by the
ISPS Code, Chapter XI-2 of the SOLAS, “Special Measures to Enhance Maritime Security.

The OTS appreciates that all communications intended for the Philippines with respect to the
ISPS Code be coursed through this Office. We request that this information be disseminated to
all IMO member-states.

Thank you and all the best.

(SGD) CECILIO R. PENILLA
Undersecretary

Cc: Mr C Trelawny, Sr Technical Adviser, IMO Maritime Security Section,ctrelawny@imo.org

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