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. PENILLAUNDERSECRETARY

OFFICE FOR TRANSPORTATION SECURITYDEPARTMENT OF TRANSPORTATION & COMMUNICATIONS

APPROVED:

LEANDRO R. MENDOZASECRETARY

DEPARTMENT OF TRANSPORTATION & COMMUNICATIONSREPUBLIC 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 =: 3.7O.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:

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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

6.27. The ship should comply with the instructions issued by those responding to the 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,

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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

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

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;

6.36.3. Prevent tampering; and,

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:

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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. The ship should comply with the instructions issued by those responding to the 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:

6.40.1. 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.

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AT SECURITY LEVEL 3

6.44. The ship should comply with the instructions issued by those responding to the 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:

6.44.1. 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. The ship should comply with the instructions issued by those responding to the 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:

6.53.1. 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;

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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.

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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 XI-

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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;

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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,

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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.

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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 systems and networks;

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 systems and networks;

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,

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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,

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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:

9.34.1. Prevent tampering; and,

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.

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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

9.41. 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 cooperation with those responding and the ships at the port facility, which may include:

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;

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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

9.48. 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, 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

9.52. 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 cooperation with 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. 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 cooperation with those responding and the ships at the port facility, which may include:

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

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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;

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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;

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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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MALACANANGMANILA

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 transportat ion systems as effect ive instruments for national recovery and economic progress;

WHEREAS, recent international and domestic events are stark reminders that the nation must constantly be vigi lant 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 carr iage or bearing thereof is not authorized, from being introduced and carr ied by any means or mode whatsoever on board a transport system;

WHEREAS, i t is considered necessary to formulate, implement and coordinate transportat ion security measures, programs, plans and act ivi t ies that enhance security of transportat ion systems of the country;

WHEREAS, THE Department of Transportat ion and Communications (DOTC) is the primary pol icy, planning, programming, coordinating, implementing, regulat ing and administrat ive enti ty of the Executive Branch of the government in the promotion, development and regulat ion of dependable and coordinated networks of transportat ion;

WHEREAS, by virtue of Executive Order No. 277 dated January 30, 2004, the Off ice for Transportat ion Security was created under the DOTC to exercise primary responsibi l i ty for the implementation of Annex 17 of the International Civi l Aviat ion Organization Convention on aviat ion security;

WHEREAS, under Section 31, Chapter 10, Tit le I I I , Book II I of the Administrat ive Code of 1987, the President has continuing authority to reorganize the administrat ive structure of Off ice of the President.

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

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SECTION 1. Single Authority. - The Off ice for Transportat ion Security (OTS) is hereby designated as the appropriate single authority responsible for the security of the transportat ion systems of the country including but not l imited to:

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

b. Sea Transport and Marit ime Infrastructure by ensuring that the International Marit ime Organization International Ship and Port Faci l i ty Security Code (ISPS), and that a National Security Programme for Sea Transport and Marit ime Infrastructure is formulated, developed and implemented;

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

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

a. Assume the functions of the National Civi l Aviat ion Committee (NCASC) enumerated in Section 4 of Executive Order No. 277 dated January 30, 2004 as well as al l 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 responsibi l i ty for the security operations including, but not l imited to, security screening of passengers, baggage and cargoes, and hir ing, retention, training and test ing of security screening personnel;

d. In coordination with the appropriate agencies and/or instrumental i t ies of the government, formulate, develop, promulgate and implement comprehensive security plans, pol icies, measures, strategies and programs to ably and decisively deal with any threat to the security of

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transportat ion systems and continual ly review, assess and upgrade such security plans, pol icies, measures and programs to improve and enhance transportat ion security and to ensure the adequacy of these security measures;

e. Examine and audit performance of transportat ion security personnel, equipment and faci l i t ies, and, thereafter, establ ish, on a continuing basis, performance standards for such personnel, equipment and faci l i t ies, including for the training of personnel;

f . Prepare a security manual/master plan or programme which shal l prescribe the rules and regulat ions for the eff icient and safe operation of al l transportat ion systems, including standards for security screening procedures and prior screening or prof i l ing 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 i ts attached agencies, and other agencies of the government;

g. Prescribe security and safety standards in al l transportat ion systems in accordance with exist ing laws, rules, regulat ions and international treaties and conventions;

h. Subject to the approval of the Secretary of the DOTC, issue Transportat ion Security Regulat ion/Rules and amend, rescind or revise such regulat ions or rules as may be necessary for the security of the transportat ion systems of the country.

i . Enl ist the assistance of any department, bureau, off ice, instrumental i ty, or government owned or control led corporat ions, to carry out i ts functions and mandate including but not l imited to the use of their respective personnel, faci l i t ies and resources;

j . Act ively coordinate with law enforcement agencies in the investigation and prosecution of any i l legal act or unlawful interference committed at or directed to any public transportat ion system;

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

SECTION 3. National Civi l Aviat ion Security Committee; Secretariat. – The NCASC shall henceforth act as an advisory body to and consultat ive forum for the Secretary of the DOTC in matters relat ive to civi l aviat ion security. For this purpose, the NCASC is hereby transferred from the Department of Interior

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and Local Government (DILG) to the DOTC and is hereby reconsti tuted and shal l be composed of the fol lowing:

Secretary, DOTC ChairmanSecretary, DILG Vice-ChairmanUndersecretary, Office for Transportation Security MemberAssistant Secretary, Air Transportation Office MemberGeneral Manager, Manila International Airport Authority

MemberGeneral Manager, Mactan-Cebu International AirportAuthority MemberGeneral Manager, Clark International Airport Corporation MemberGeneral Manager, Subic Bay International AirportAuthority MemberManager, Davao International Airport MemberManager, General Santos International Airport MemberManager, Laoag International Airport MemberManager, Zamboanga International Airport MemberDirector, Philippine National Police Aviation Security Group MemberCommissioner, Bureau of Customs MemberCommissioner, Bureau of Immigration MemberAdministrator, Philippine Overseas EmploymentAdministration MemberAdministrator, Overseas Worker Welfare Administration MemberExecutive Director, Department of Tourism Member

Protocol Officer, Department of Foreign Affairs MemberDirector, National Bureau of Investigation MemberGroup Commander, Intelligence Service of the ArmedForces of the Philippines MemberDirector General, National Intelligence Coordinating Agency MemberGroup Commander, Presidential Security Group MemberDirector, DA Bureau of Plant Industry MemberDirector, DA Bureau of Animal Industry MemberChief, Superintendent, Bureau of Fire Protection MemberDirector, DOH Bureau of Quarantine and InternationalHealth Surveillance Member

The OTS shall continue to serve as the Secretariat of the NCASC and quali f ied 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 shal l provide assistance in the formulat ion, development and implementation of national security programmes for sea transport and marit ime infrastructure and for land transportat ion, rai l system and infrastructure.

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SECTION 5. Funding. - The amount necessary for the init ial operat ion and administrat ion of the OTS shall be chargeable against funds for the purpose and other sources recommended by the Department of Budget and Management. Thereafter, appropriat ions for the OTS shall be included in the budget proposals under the DOTC.

SECTION 6. Implementing Rule and Regulat ions. - Within NINETY (90) days from the effect ivi ty of this Executive Order and subject to the approval of the Secretary of DOTC, the OTS shall promulgate rules and regulat ions necessary to ensure the effect ive implementation of this Executive Order.

SECTION 7. Repeal. - Executive Order No. 277 dated January 30, 2004 is hereby modif ied accordingly. Al l other orders, rules, regulat ions and issuances, or parts thereof, which are inconsistent with this Executive Order are hereby repealed or modif ied accordingly.

SECTION 6. Effect ivi ty . - This Executive Order shal l take effect immediately.

City of Manila, 26 th day of April 2004

By the President:

(SGD)ALBERTO G. ROMULOExecutive Secretary

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MALACANANGMANILA

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 civi l aviat ion against acts of unlawful interference while taking into account the safety, regulari ty and eff iciency of f l ights;

WHEREAS, pursuant to Executive Order No. 336 dated January 5, 2001, the National Counci l for Civi l Aviat ion Security is responsible for formulat ing plans to direct, control, supervise and integrate al l measures aimed at preventing and suppressing al l terrorist threats to civi l aviat ion;

WHEREAS, under Section 31, Chapter 10, Tit le I I I , Book II I of the Administrat ive Code of 1987, the President has continuing authority to reorganize the administrat ive structure of Off ice of the President.

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

SECTION 1. The National Civi l Aviat ion Security Programme (NCASP), hereto attached as Annex “A”, is hereby approved and adopted.

SECTION 2. An Off ice for Transportat ion Security Programme (NCASP), hereto attached as Annex “A”, is hereby approved and adopted.

SECTION 3. The National Counci l for Civi l Aviat ion Security is hereby reconsti tuted as the National Civi l Aviat ion Security Committee (NCASC), to be composed of the fol lowing:

Secretary, DOTC Chairman Secretary, DILG Co-Chairman Undersecretary, Office for Transportation Security Vice ChairmanAssistant Secretary, Air Transportation Office MemberGeneral Manager, Manila International Airport Authority

Member

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General Manager, Mactan-Cebu International AirportAuthority MemberGeneral Manager, Clark International Airport Corporation MemberGeneral Manager, Subic Bay International AirportAuthority MemberManager, Davao International Airport MemberManager, General Santos International Airport MemberManager, Laoag International Airport MemberManager, Zamboanga International Airport MemberDirector, Philippine National Police Aviation Security Group MemberCommissioner, Bureau of Customs MemberCommissioner, Bureau of Immigration MemberAdministrator, Philippine Overseas EmploymentAdministration MemberAdministrator, Overseas Worker Welfare Administration MemberExecutive Director, Department of Tourism MemberProtocol Officer, Department of Foreign Affairs MemberDirector, National Bureau of Investigation MemberGroup Commander, Intelligence Service of the ArmedForces of the Philippines MemberDirector General, National Intelligence Coordinating Agency MemberGroup Commander, Presidential Security Group MemberDirector, DA Bureau of Plant Industry MemberDirector, DA Bureau of Animal Industry MemberChief, Superintendent, Bureau of Fire Protection MemberDirector, DOH Bureau of Quarantine and InternationalHealth Surveillance Member

SECTION 4. In addit ion to i ts current functions, the NCASC shall be responsible for the implementation and maintenance of the NCASP and shal l :

a. Define and al locate tasks and coordinate act ivi t ies among the agencies of the government, airport authori t ies, aircraft operators and other enti t ies concerned with, or responsible for, the implementation of various aspects of the NCASP;

b. Coordinate security act ivi t ies among the agencies of the government, airport authori t ies, aircraft operators and other enti t ies concerned with, or responsible for, the implementation of various aspects of the NCASP;

c. Define and al locate tasks for the implementation of the NCASP among the agencies of the government, airport authori t ies, aircraft operators and other concerned enti t ies;

d. Ensure that each airport serving international civi l aviat ion shal l establ ish and implement a writ ten airport security programme appropriate to meet the requirements of the NCASP;

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e. Arrange for an authority at each airport serving international civi l aviat ion to be responsible for coordinating the implementation of security controls’

f . Arrange for the establ ishment of an airport security committee at each airport serving international civi l aviat ion to assist the authority mentioned in paragraph (e) above, in the coordination of the implementation of security controls and procedures;

g. Coordinate and col laborate with the Task Force for Security of Crit ical Infrastructure under the Cabinet Oversight Committee on Internal Security; and

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

The DOTC Off ice for Transportat ion Security shal l serve as the Secretariat of the NCASC.

SECTION 5. Repeal. - Al l orders, rules, regulat ions and issuances, or parts thereof, which are inconsistent with this Executive Order are hereby repealed or modif ied, accordingly.

SECTION 6. Effect ivi ty. - This Executive Order shal l take effect immediately.

City of Manila, January 30, 2004

By the President:

(SGD)ALBERTO G. ROMULOExecutive Secretary

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Republic of the PhilippinesDepartment 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 ANDRELATED 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), ANDSHIP 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. PENILLAUndersecretary

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Republic of the PhilippinesDepartment of Transportation & Communications

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. MENDOZASecretary

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Republic of the PhilippinesDepartment of Transportation & Communications

Office for Transportation Security

FOR : The SECRETARY-GENERALINTERNATIONAL 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. PENILLAUndersecretary

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

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