THE NATIONAL MARITIME TRANSPORT

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1

T
HE NATIONAL MARITIME

T
RANSPORT
SECURITY PROGRAM
ME


G
UIDELINES FOR SHIP AND PORT FACILITY SECURITY
ASSESSMENTS AND PLANS.


IN COMPLIANCE WITH THE

INTERNATIONAL SHIP AND PORT FACILITY
SECURITY CODE ADOPTED ON DECEMBER 12, 2002,
AND

CHAPTER XI
-
2 OF
THE ANNEX

TO THE INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE
AT SEA, 1974 (SOLAS),

AS AMENDED.


CECILIO R
.

PENILLA

UNDERSECRETARY


OFFICE FOR TRANSPORTATION SECURITY

DEPARTMENT OF TRANSPORTATION & COMMUNICATION
S

APPROVED
:


LEANDRO R. MENDOZA

SECRETARY

DEPARTMEN
T
OF
TRANSPORTATION &

COMMUNICATION
S

REPUBLIC OF THE PHILIPPINES

May
31, 2004




2


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

1
1
.

Statement of Compliance of a Port Facility

59
-
60

PREFACE

This
Progr
am
me

was prepared by the Office for Transportation Security,

Department of Transportation & Communications
,
Republic

of the
Philippines
.


The guidelines hereto provided ensure
s

compli
ance
and implements
the
new International Maritime Organization’s (IMO) p
reventive 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.
Th
e 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
3

own assets, infrastructure and operations as well as identify

appropriate
preventive security measures and procedures and devel
op 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
Program
me

are:

1.
1
.

T
o establish
the appropriate international
framework
of coopera
tion 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
o
f the Republic of the Philippines that are
used in

international trade;

1.
2
.

T
o establish the respective roles and responsibilities of the
Philippine
Government,
its agencies and instrumentalities
and the shipping and

port
industries, at the national and i
nternational level for ensuring maritime

security;

1.3
.

T
o ensure the early and efficient collection and exchange of security

related

information;

1.4
.

T
o provide a methodology for security assessments so as to have in place plans
and

procedures to react t
o changing security levels; and

1.
5
.

T
o 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
Transport
ation

Security

(OTS)
.

2.2.

Company or S
hipping 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)
.

4

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 Aut
hority


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
Developmen
t 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 f
or the
management and/or operation of
any
government port.

2.11.

High Speed Craft



is a craft capable of a maximum speed
expressed
in meters
per second (m/s)
which is
equal to or exceeding

=
:
3.7

O.1667

where



i猠
摩獰污捥浥湴 捯牲敳灯湤i湧 t漠t桥 摥si杮 wat敲ei湥 (m
3
)
.

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 denia
l 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 Internationa
l Ship Security Certificate
(IISSC)



means the document
issued by the Administration, or a Recognized Security Organization when so
5

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

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

Transport
ati
on

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 nationa
l territory of the Republic of the
Philippines that is
owned

or
leased, manage and/or operated for commercial
purposes by
any
private entit
y, juridical or natural person

such as
but not limited
to
oil companies, manufacturing/mining companies, cargo handli
ng operators,
product exp
orters/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
responsibl
e 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 b
erths 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 shi
p’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 securi
ty 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
o
n security matters and with
adequate
knowledge of ship
and port operatio
ns
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.

2.2
7
.

Security Inci
dent



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.

6

2.2
8

Se
curity 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.

2.3
0
.

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.

2.3
1
.

Security Level 3



means the level for which further sp
ecific 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.

S
hip



means a passenger ship including high
-
spe
ed 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.
3
7.

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 pl
an 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 r
elated 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 suc
h 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

7

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
.

P
assenger ships including high
-
speed passenger crafts
regardless of size;

3.1.2
.

C
argo ships, including high
-
speed crafts, of 500

gross tonnage or
more; and
,

3.1.3
.

M
obile offshore drilling units;

3.2.

A
ll 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 int
ernational
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 ap
ply 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 t
he 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 OT
S
should take into account the general threat
information, information on potential and prevailing threats in specific localities,
8

consideration o
f 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
. N
ormal

-

the level at which the ship or port
facility normally operates wher
e minimum appropriate protective
measures are maintained at all times;

4.4.2.

Security Level 2
. H
eightened

-

the level applying for as long as
there is an increased risk of a security incident where appropriate
additional protective measures shall be main
tained for a period of
time as a result of heightened risk of a security incident/threat;
and
,

4.4.3.

Security Level 3
. E
xceptional

-

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 s
ecurity 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
s
afety and security of the ship.

Even at Securit
y 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 CS
O or the SSO should liaise at the earliest opportunity with th
e 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 a
dvise 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 advi
se 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 Secur
ity.

4.9.

OT
S

should consider how information on changes in security levels should be
promulgated
and disseminated
rapidly.

T
he
OTS
may wish to use
Navigational
9

Telex (
NAVTEX
)

messages or Notices to Mariners as the method for notifying
such changes in sec
urity levels to the ship and

to the
C
S
O 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 es
tablish means of notifying
concerned
PFSO

of security levels
in the
ir 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
S
hip
S
ecurity
A
ssessment (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
.

I
dentification of existing security measures, procedures and
operations;

5
.
4.2

I
dent
ification and evaluation of key ship board operations that it is
important to protect;

5
.
4.3

I
dentification 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

I
dentification of weaknesses, including human factors in the
infrastructure, policies and procedures.

10

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 an
d 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
.

Tho
se involved in the SSA should be able to draw up expert assistance in
relation to:

5.7.1
.

K
nowledge of current security threats and patters;

5.7.2.

R
ecognition and detection of weapons, dangerous substances
and devices;

5.7.3.

R
ecognition, on a non
-
discri
minatory basis, of characteristics and
behavioral patterns of persons who are likely to threaten security;

5.7.4.

T
echniques used to circumvent security measures;

5.7.5.

M
ethods used to cause a security incident;

5.7.6.

E
ffects of explosives on ship’s stru
ctures and equipment;

5.7.7.

S
hip security;

5.7.8.

S
hip/port interface business practices;

5.7.9.

C
ontingency planning, emergency preparedness and response;

5.
7.
10.

P
hysical security;

5.
7.
11.

R
adio and telecommunications systems, including computer
system
s and networks;

5.
7.
12.

M
arine engineering; and
,

5.
7.
13.

S
hip and port operations.

5
.
8
.

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

11

5.8.1
.

T
he general layout of the ship;

5.8.2

T
he location of areas which s
hould 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.

T
he location and function of each actual or potential access poi
nt
to the ship;

5.8.4.

C
hanges in the tide which may have an impact on the vulnerability
or security of the ship;

5.8.5.

T
he cargo spaces and stowage arrangements;

5.8.6.

T
he locations where the ship’s stores and essential maintenance
equipment is stored;

5.8.7.

T
he locations where unaccompanied baggage is stored;

5.8.8.

T
he emergency and stand
-
by equipment available to maintain
essential services;

5.8.9

T
he number of ship’s personnel, any existing security duties and
any existing raining requirement practi
ces of the Company;

5.8.10.


E
xisting security and safety equipment for the protection of
passengers and ship’s personnel;

5.8.11.

E
scape and evacuation routes and assembly stations which have
to be maintained to ensure the orderly and safe emergency
evacu
ation of the ship;

5.8.12.

E
xisting agreements with private security companies providing
shipside/ waterside securit
y services; and
,

5.8.13.

E
xisting security measures and procedures in effect, including
inspection and, control procedures, identification s
ystems,
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, a
nd 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.

12

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.

T
he restricted areas;

5.10.2.

T
he response procedures to f
ire or other emergency conditions;

5.1
0
.3.

T
he level of supervision of the ship’s personnel, passengers,
visitors, vendors, repair technicians, dock workers, etc.

5.10.4.

T
he frequency and effectiveness of security patrols;

5.10.5.

T
he access control syst
ems, including identification systems;

5.10.6.

T
he security communications systems and procedures;

5.10.7.

T
he security doors, barriers and lighting; and
,

5.10.8.

T
he security and surveillance equipment and systems, if any.

5
.11
.

The SSA should consider th
e persons, activities, services and operations

that are
important to
protect. This includes:

5.11.1.

T
he ship’s personnel;

5.11.2.

P
assengers, visitors, vendors, repair technicians, port facility
personnel, etc.

5.12.3.

T
he capacity to maintain safe naviga
tion and emergency
response;

5.12.4.

T
he cargo, particularl
y dangerous goods or hazardous
s
ubstances;

5.12.5.

T
he ship’s stores;

5.12.6.

T
he ship security communication equipment and systems, if any;
and
,

5.12.7.

T
he ship’s security surveillance equipment
and systems, if any.

5
.12
.

The SSA should consider all possible threats, which may include the followi
ng
types of security
incidents:

5.12.1.

D
a
mage to, or destruction of the ship or port facility, e.g. by
explosive devices, arson, sabotage or vandalism.

5
.12.2.

H
ijacking or seizure of the ship or of persons on board;

13

5.12.3.

T
ampering with cargo, essential ship equipment or systems or
ship’s stores;

5.12.4.

U
nauthorized access or use, including presence of stowaways;

5.12.5.

S
muggling weapons or equipment,

including weapons of mass
destruction;

5.12.6.

U
se of the ship to carry those intending to cause a security
incident and/or their equipment;

5.
12.7.

U
se of the ship itself as a weapon or as a means to cause
damage or destruction;

5.12.8.

A
ttacks from seaw
ard while at berth or at anchor; and
,

5.12.9.

A
ttacks while at sea.

5
.
13
.

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

5.13.1.

C
onflicts between safety and security measures;

5.13.2.

C
onflicts between shipboard duties a
nd security measures;

5.13.3.

W
atch keeping

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

5.13.4.

A
ny identified security training deficiencies; and
,

5.13.5.

A
ny security equipment and system
s, 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 consideratio
n 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 una
uthorized
access or disclosure.

5
.16
.

I
f 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
14

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
-
s
cene 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.

E
nsuring the performance of all ship security duties;

5.18.2.

M
oni
toring restricted areas to ensure that only authorized persons
have access;

5.18.3.

C
ontrolling access to the ship, including
an
y

identification
system
s
;

5.18.4.

M
onitoring of deck areas
and areas
surrounding the ship;

5.18.5.

C
ontrolling the embarkation o
f persons and their effects
(accompanied and unaccompanied baggage and ship’s
personnel’s personal effects);

5.18.6.

S
upervising the handling of cargo and the delivery of ship’s stores;
and
,

5.18.7.

E
nsuring that ship security communication, information, a
nd
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

O
ffice for Transportation Security (OTS)
or by a
n
duly an authorized
Recogni
zed 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.

T
he SSP shall make provisio
ns for the three
(3)
security levels and must clearly
stipulate the security measures that should be taken at each security level.

6.4.

The
C
ompany
S
ecurity
O
fficer (CSO) has the responsibility of ensuring that a
S
hip
S
ecurity
P
lan (SSP) is prepared and su
bmitted 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
15

ship and the potential threats and vulnerabilities.

T
he preparation of the SSP will
require these features to be addressed in detail.

6.5.

A

S
hip Security Plan (S
SP
)

should:

6.5.1.

D
etail the organizational structure of security for the ship;

6.5.2.

D
etail the ship’s relationships with the Company, port faci
lities,
other ships and relevant authorities with security responsibility;

6.5.3.

D
etail the communication systems to allow effective
and
continuous communication within the ship and between the ship
and others, including port facilities;

6.5.4.

D
etail the

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

6.5.5.

D
etail
all
additional security measures that will allow the ship to
progress without delay to security level 2 and, when necessary, to
securi
ty level 3;

6.5.6.

P
rovide for regular review, or audit, of the SSP and for its
amendment in response to experience or changing
circumstances; and

6.5.7.

D
etail
ed

reporting procedures to the

OTS.

6
.6
.

Preparation of an effective SSP should
be based
on a th
orough 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
sh
ould be approved by, or on behalf of the

OTS
.

If

OTS

uses a recognized security organization (RSO) to review or approve the SSP,
th
at

RSO should not be associated with any other RSO that prepared, or
assisted in th
e preparation of the plan.

6.8.

The
CSO

a
nd SSO should develop procedures to:

6
.8.1
.

A
ssess the continuing effectiveness of the SSP; and
,

5
.8.2
.

P
repare amendments of the plan subsequent to its approval.

6
.9

The security measures included in the SSP should be in place when the initial
verificatio
n
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 failu
re of security equipment or systems, or suspension of a
16

security measure for whatever reason
,

e
quivalent temporary security measures
should be adopted

and the same be
notified to

and approved
by

OTS
.

ORGANIZATION AND PERFORMANCE OF SHIP SECURITY DUTIES

6
.
1
0
.

T
he SSP should establish the following, which relate to all security levels:

6.10.1.

T
he duties and responsibilities of all shipboard personnel with a
security role;

6.10.2.

T
he procedures or safeguards necessary to allow such continuous
communications
to be maintained at all times;

6.10.3.

T
he 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.

T
he procedures and practices to protect security
-
sensitive
information held in paper or electronic format;

6.10.5.

T
he type and maintenance requirements of security and
surveillance equipment and systems, if any;

6.10.6.

T
he

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

6.10.7.

P
rocedures to
establish

maintain and update an inventory of any
dangerous goods or hazardous substances carr
ied on board,
including their location.

6
.11
.

The SSP should also specifically address the security measu
res that could be
taken at each
security level covering:

6.11.1.

A
ccess to the ship by
ship’s personnel, passengers, visitors, etc.;

6.11.2.

R
estricted

areas on the ship;

6
.11.3.

H
andling of cargo;

6.11.4.

D
elivery of ship’s stores;

6.11.5.

H
andling of unaccompanied baggage; and
,

6.11.6.

M
onitoring the security of the ship.


17

ACCESS TO THE SHIP

6
.12
.

The SSP should establish the security measures cove
ring

all means of access to
the ship
identified in the SSA.

This should include any:

6.12.1.

A
ccess ladders;

6.12.2.

A
ccess gangways;

6.12.3.

A
ccess ramps;

6.12.4.

A
ccess doors,
side
scuttles
, windows and ports;

6.12.5.

M
ooring lines and anchor chains; and
,

6.
12.6.

C
ranes and hoisting gear.

6
.13
.

F
or 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 t
ype 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 chall
enge.

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 en
sure 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 o
f application of any access controls,
particularly if they are to be applied on a random, or occasional, basis.

A
T SECURITY LEVEL 1

6
.17
.

T
he SSP should establish the security measures to control access to the ship,
where the following may be applied:

18

6.17
.1.

C
hecking 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.

I
n liaison with the port facility, t
he 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.

I
n liaison with the port f
acility, 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.

S
egregating checked persons
and their personal effects from
unchecked persons and their personal effects;

6.17.5.

S
egregating embarking from disembarking passengers;

6.17.6.

I
dentifying access points that should be secured or attended to
prevent unauthorized access;

6.17.7.

S
ecuring,

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

6.17.8.

P
roviding security briefings to all ship personnel on possible
threats, the procedures for reporting suspicious persons, obje
cts
or activities and the need for vigilance.

6.18.

A
ll 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 screeni
ng 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 o
f
the ship’s personnel should
not be required to search their coll
eagues 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.

A
T SECURITY LEVEL 2
.

6.19.

T
he SSP should establish the security m
easures 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.

A
ssigning additional personnel to patrol deck areas during sil
ent
hours to deter unauthorized
acces
s;

19

6.19.2.

L
imiting the number of access points to the ship, identifying those
to be closed and the means of adequately securing them;

6.19.3.

D
eterring waterside access to the ship, including, for example, in
liaison with the port facility, provision of b
oat patrols;

6.19.4.

E
stablishing a restricted area on the shore side of the ship, in
close co
-
operation with the port facility;

6.19.5.

I
ncreasing the frequency and detail of searches of persons,
personal effects, and vehicles being embarked or loaded ont
o the
ship;

6.19.6.

E
scorting visitors on the ship;

6.19.7.

P
roviding additional specific security briefings to all ship personnel
on any identified threats, re
-
emphasizing the procedures for
reporting suspicious persons, objects, or activities and stressi
ng
the need for increased vigilance; and

6.19.8.

C
arrying out a full or partial search of the ship.

AT SECURITY LEVEL 3

6
.20
.

T
he ship should comply with the instructions issued by those responding to the
security on incident or threat thereof.

The SSP sh
ould 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.

L
imiting access to a single, controlled, access point;

6.20.2.

G
ranting access only to those r
esponding to the security incident
or
threat
thereof;

6.20.3.

D
irecting persons on board;

6.20.4.

Suspension
of embarkation or disembarkation;

6.20.5.

S
uspension of cargo handling operations, deliveries, etc.

6.20.6.

E
vacuation of the ship; and
,

6.20.7.

P
r
eparing for a full or partial search of the ship.

R
ESTRICTED 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
20

control access

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

6.21.1.

P
revent unauthorized access;

6.21.2.

P
rotect passengers, ship’s personnel, and personnel from port
facilities or other agencies authorized to

be on board the ship;

6.21.3.

P
rotect security
-
sensitive areas within the ship; and
,

6.21.4.

P
rotect 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 res
tricted 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 inc
lude:

6.24.1.

N
avigation 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.

S
paces containing security and surveillance equipment and
systems and their controls an
d lighting system controls;

6.24.3.

V
entilation and air
-
conditioning systems and other similar spaces;

6.24.4.

S
paces with access to potable water tanks, pumps, or manifolds;

6.24.5.

S
paces containing dangerous goods or hazardous substances;

6.24.6.

S
paces

containing cargo pumps and their controls;

6.24.7.

C
arg
o spaces and spaces containing
ship’s stores;

6.24.8.

C
rew accommodation; and
,

6.24.9.

A
ny other areas as determined by the CSO, through the SSA, to
which access must be restricted to maintain the sec
urity of the
ship.

AT SECURITY LEVEL 1

6.
25
.

T
he SSP should establish the security measures to be applied to restricted
areas, which may include:

21

6.25.1.

L
ocking or securing access points;

6.25.2.

U
sing surveillance equipment to monitor the areas;

6.25.3.

U
sing guards or patrols; and
,

6.25.4.

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

AT SECURITY LEVEL 2

6.
26
.

T
he frequency and intensity of the monitoring of, and control of access to,
restricted areas s
hould 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.

E
stablishing restricted areas adjacent to access points;

6.26.2.

C
ontinuously monito
ring surveillance equipment; and
,

6.26.3.

D
edicating additional personnel to guard and patrol restricted
areas.

AT SECURITY LEVEL 3

6.
27
.

T
he ship should comply with the instructions issued by those responding to the
security incident or threat thereof.

T
he 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.

S
etting up of additional restricted areas on the ship in proximity to
the security in
cident, or the believed location of the security threat,
to which access is denied; and
,

6.27.

S
earching 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.

P
revent t
ampering; and
,

6.28.2.

P
revent 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 proc
edures at access points to the
ship.

Once on board the ship, cargo should be capable of being identified as
22

having been approved for loading onto the ship.


In addition, security measures
should be developed to ensure that cargo, once on board, is not tam
pered with.

AT SECURITY LEVEL 1

6
.30
.

T
he SSP should establish the security measures to be applied during cargo
handling, which may include:

6.30.1.

R
outine checking of cargo, cargo transport units and cargo spaces
prior to, and during, cargo handling oper
ations;

6.30.
2
.

C
hecks to ensure that cargo being loaded matches the cargo
documentation;

6.30.
3
.

E
nsuring, 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 load
ing, in accordance with the frequency required
in the SSP; and
,

6.30.4.

C
hecking 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.

V
isual and physical examination; or

6.3
1.2.

U
sing 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 carg
o 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
.

T
he SSP should establish the additional security measures to be app
lied during
cargo handling, which may include:

6.33.1.

D
etailed checking of cargo, cargo transport units and cargo
spaces;

6.33.2.

I
ntensified checks to ensure that only the intended cargo is
loaded;

6.33.3.

I
ntensified searching of vehicles to be loaded o
n car carriers, ro
-
ro
and passenger ships; and
,

23

6.33.4.

I
ncreased 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.

I
ncreasing the freq
uency and detail of visual and physical
examination;

6.34.2.

In
creasing the frequency of the use of scanning/detection
equipment, mechanical devices, or dogs; and
,

6.34.3.

C
oordinating enhanced security measures with the shipper or
other responsible part
y in accordance with an established
agreement and procedures.

AT SECURITY LEVEL
3

6.
35
.

T
he ship should comply with the
instructions issued by those
responding to the
security incident or threat ther
eof.

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

6.35.1.

S
uspending the loading or unloading of cargo; and

6.35.2.

V
erifying the inventory of dangerous g
oods and hazardous
substances
carrie
d 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.

E
nsure checking of ship’s stores and package integrity;

6.36.2.

P
revent ship’s stores from being accepte
d without inspection;

6.36.3.

P
revent tampering; and
,

6.36.4.

P
revent 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 t
he 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 LEVE
L
1

6.
38
.

T
he SSP should establish the security measures to be applied during delivery of
ship’s stores, which may include:

24

6.38.1.

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

6.38.2.

E
nsuring immediate secure stowage of
ship’s stores.

AT SECURITY LEVEL 2

6
.39
.

T
he 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
.

T
he 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 fa
cility, which may include:

6
.40.1
.

S
ubjecting ship’s stores to more extensive checking;

6
.40.2
.

P
reparation for restriction or suspension of handling the ship’s
stores; and
,

6
.40.3
.

R
efusal to accept ship’s stores on board the ship.

H
ANDLING 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 sea
rch) 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 a
re 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 SECURI
TY LEVEL 1

6.
42
.

T
he 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
.

T
he

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.

25

AT SECURITY LEVEL

3

6
.44
.

T
he 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.

S
ubjecting such bag
gage to more extensive screening, for
examp
le
X
-
raying it from at least two
(2)
different angles;

6.44.2.

P
reparation for restriction or suspension of handling of
unaccompanied baggage; and
,

6.44.3.

R
efusal 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

L
ighting;

6.45.2.

W
atch keepers
, sec
uring guards and deck watches, including
patrols; and
,


6.45.3.

A
utomatic 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 co
ntinuously attended or monitored.

6
.4
7.

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 eff
ects of weather
conditions or of power disruptions.

AT SECURITY LEVEL

1

6
.49
.

T
he 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 condu
cting 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
26

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.

T
he ship’s personnel should be able to detect activities beyond
the ship, on both th
e shore side and the water side;

6.50.2.

C
overage should include the area on and around the ship;

6.50.2.

C
overage should facilitate personnel identification at access
points; and
,

6.50.3.

Coverage
may be provided through co
-
ordination with the port
facili
ty.

AT SECURITY LEVEL
2

6.
51
.

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

6.51.1

I
ncreasing the frequency and detail of security patrols;

6.51.2.

I
ncrea
sing the coverage and intensity of lighting or the use of
security and surveillance equipment;

6.51.3.

As
signing

additional personnel as security look
-
outs; and
,

6.51.4.

E
nsuring co
-
ordination with water
-
side boat patrols, and foot or
vehicle patrols on th
e 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
.

T
he 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.

S
witching on of all lighting on, or illuminating the vicinity of, the
ship;

6.53.2.

S
witching on of all on
-
board surveillance equipment capable of
recording activiti
es on, or in the vicinity of, the ship
;


6.53.3.

M
aximizing the length of time such surveillance equipment can
continue to record;

27

6.53.4.

P
reparation for underwater inspection of the hull of the ship; and
,

6.53.5.

I
nitiation of measures, including the slo
w 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 hig
her 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 Contrac
ting Government;

6.55.2.

I
t is interfacing with a ship to which the ISPS Code does not apply;

6.55.3.

I
t is interfacing with fixed or floating platforms or a mobile drilling
unit on location; or

6.55.4.

I
t 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 an
d 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 subjec
t to document
control procedure and disclosure agreement in case the SSP is
transferred/transmitted from one location to another.


28


Chapter
7.

VERIFICATION AND CERTIFICATION OF SHIPS

VERIFICATION

7.
1.

Each ship to which the ISPS Code applies shall be subje
ct to the verifications
specified below:

7.
1.1
.

A
n 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 co
mpl
ies

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 Administra
tion,
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
.

A
t least
one intermediate verification.

If only one intermediate
verification is carried out it shall take place between the seco
nd
and third anniversary date of the
C
ertificate 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
satis
factory for the service for which the ship is intended.

Such
intermediate verification shall be endorsed on the
C
ertificate; and
,

1.4

A
ny 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
-
29

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 appro
val
of the

OTS
.

ISSUANCE O
R

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
MAR
INA
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 Co
de 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
C
ertificate
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 Int
ernational 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 C
er
tificate, the new
C
ertificate shall be valid from the
date of completion of the renewal verification to a date not exceeding five
(5)
years f
r
om the date of expiry of the existing
C
ertificate.

7.
10.1

When the renewal verification is completed after the exp
iry date of
the existing
C
ertificate, the new
C
ertificate 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 verificatio
n is completed
more that
three
(3)
months before the expiry date of the existing
C
ertificate, the new
30

C
ertificate 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 t
he renewal verification.

7.
11.

If a
C
ertificate is issued for a period of less than five years, the
OTS
may extend
the validity of the
C
ertificate beyond the expiry date to the maximum period,
provided that the verifications
,

as applicable when a
C
ertifica
te 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
C
ertificate 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
C
ertificate and such a
C
ertificate 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 t
ime when a
C
ertificate expires is not in a port in which it is to be
verified, the
OTS
may extend the period of validity of the
C
ertificate b
ut

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
C
ertificate 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
C
ertificate.
When the renewal verification is completed, the new
C
ertificate shall be valid to a
date not exceeding five
(5)
years from the
expiry date of the existing
C
ertificate
before the extension was granted.

7.
14.

A
C
ertificate 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
C
ertificate shall be valid to a
date not exceeding five
(5)
years from the date of expiry of the existing
C
ertificate
before the extension was grant
ed.

7.
15.

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

7.
15.1

T
he 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 intermediat
e verification was
completed;

7.
15.2

T
he 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 v
alid in any of the following cases:

7.
16.1
.

I
f the relevant verifications are not completed within the periods
specified;

31

7.
16.2

I
f the certificate is not endorsed, if applicable;

7.
16.3
.

W
hen a Company assumes the responsibility for the operation of
a shi
p not previously operated by that Company; and
,

7.
16.4
.

U
pon 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 t
he 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 ope
ration 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 d
escribed 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 th
e
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

T
ransfer of a ship to the Philippine Registry from the flag of
another Contracting Government;

7.
17.3

T
ransfer 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 onl
y be issued when the
OTS
or Recognized Security Organization, on behalf of the

OTS
, has verified
that:

7.
18.1
.

T
he 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 p
art A of the ISPS Code is provided on board,
32

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

7.
18.3
.

T
he ship is provided with a ship security alert system meeting the
requirements of regulation XI
-
2/6 of SOLAS 1974, if re
quired,

7.
18.4
.

T
he company security
officer

has ensured:

1
.

T
he review of the ship security plan for compliance,

2
.

T
hat the plan has been submitted for approval, and

3
.

T
hat the plan is being implemented on the ship, and

4
.

T
he 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
.

A
rrangements have been mad
e for carrying out the required
verifications

7.
18.6
.

T
he 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
pl
an 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
.

T
he ship security officer meets the requirements as specified.

7.
19.

An Interim International Ship Sec
urity 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 fo
r 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 recognize
d
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 i
n para
graph

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.

33

Chapter
8
.

PORT FACIL
ITY 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 o
f 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 fo
llowing
components:

8
.
1.1
.

T
he determination of the perceived threats to port installations and
infrastructures;

8
.
1.2
.

I
dentification of potential vulnerabilities; and

8
.
1.3
.

C
alculation of the consequences of possible incidents.

8
.
2.

The PFSA shall be ma
de 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 verif
ied by
the
OTS p
rior to approval.

8
.
4.

If the OT
S

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
.

K
nowledge of current security threats and patterns;

8
.
5.2
.

R
ecognition and detection of
weapons, dangerous substances
and devices;

8
.
5.3
.

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

8
.
5.4
.

T
echniques used to circumvent security measures
;

8
.
5.5
.

M
ethods
used to cause a security incident;

8
.
5.6
.

E
ffects of explosives on structures and port facility services;

8
.
5.7
.

P
ort facility security;

34

8.5
.8
.

P
ort business practices
;

8
.
5.9
.

C
ontingency planning, emergency preparedness and response;