Port Facility Security Officers (PFSO)

Course

Module 2
ISPS CODE AND THE NATIONAL
TRANSPORT SECURITY
PROGRAMME
Lesson Objectives

• To provide participants with an

understanding of the ISPS Code
• To brief you on the NSPSTMI
• To discuss the security responsibilities of
various stakeholders in the maritime
transport security environment
INTERNATIONAL SHIP AND PORT
FACILITY SECURITY (ISPS)
CODE
September 11….
ISPS Code
• Short Title – ISPS Code
• IMO Publication
• Adopted 12 December 2002
• In force 1st July 2004
• Incorporated into SOLAS – Chapter XI-2
The International Maritime
Organisation (IMO)
• IMO
– What does it do?
Works to improve maritime safety in the
world and to prevent pollution of the
environment from shipping accidents.

“Safer shipping, cleaner oceans”

The International Maritime
Organisation (IMO)
• IMO
– What power does it have?
– None
- Enforcement of conventions by national
legislation and Port State Inspections
ISPS Code

PART A PART B

Mandatory Guidance

1 to 18 1 to 18
Section
Numbers
match
ISPS - What’s in it?
Part A Part B
1. General 1. Introduction
2. Definitions 2. Definitions
3. Application 3. Application
4. Responsibilities of 4. Responsibilities of
contracting governments contracting governments
5. Declaration Security – 5. Declaration Security –
ship/port interface ship/port interface
6. to 13. applies to companies 6. to 13. applies to
and ships companies and ships
14. to 18. applies to port facilities 14. to 18. applies to port
19. Applies to ships – facilities
International Ship Security No section 19
Certificate
ISPS - What’s in it?
Part A
Appendix 1 – Form of the International Ship
Security Certificate (ISSC)
Appendix 2 – Form of Interim ISSC

Part B
Appendix 1 – Form of Declaration of Security (DoS)
between a ship and a Port Facility
Appendix 2 – Form of Statement of Compliance of
a Port Facility
ISPS Code
Objectives - Part A 1.2

 Establish an international framework between

governments and the maritime industry to
detect security threats and take preventative
measures affecting ships and port facilities used
in international trade
ISPS Code
Objectives - Part A 1.2

 Establish respective roles and

responsibilities
 Exchange security related information
ISPS Code
Objectives - Part A 1.2
 Provide a methodology for security
assessments
 Ensure confidence that adequate
maritime security measures are in place
ISPS Code
Definitions - include:

Part A Section 2
• Ship Security Plan (SSP)
• Port Facility Security Plan (PFSP)
• Ship Security Officer (SSO)
• Company Security Officer (CSO)
• Port Facility Security Officer (PFSO)
• Security Levels 1, 2, 3

See also Part B

Security Level 1

• “the level for which minimum appropriate protective

security measures shall be maintained at all times”
Security Level 2

• “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”
Security Level 3

“the level for which further specific protective security

measures shall be maintained for a limited period of
time when a security incident is probable or imminent,
although it may not be possible to identify the specific
target”
ISPS Code
Declaration of Security (DoS)
• Parts A & B Section 5, Appendix 1 Part B

• A documentary agreement on security measures to be

adopted between a port/port facility and a ship, or two
interfacing ships.

• Those who may initiate a DoS are:

• Contracting Governments
• Ships SSO
• Port Facilities PFSO

See also Part B

ISPS Code
Declaration of Security (DoS)
Parts A & B Section 5, Appendix 1 Part B

Part A Section 5.2

A ship can request a DoS when:
• it is operating at a higher security level than the Port
and/or
• there is a DoS agreement between Contracting
Governments covering the voyage
• there has been a security incident involving the ship or
the Port and/or Port Facility
• it is in a Port Facility without a PFSP

See also Part B

ISPS Code

Declaration of Security (DoS)

• If the ship/Port Facility interface has been identified
in the
• PFSA as being of particular concern e.g.;
- Passenger embarking/disembarking
- Handling dangerous goods
- Close to highly populated areas
- Economically significant operations

See also Part B

ISPS Code
Application:

Part A Section 3

• Passenger ships (including High Speed Craft (HSC))

• Cargo ships (including HSC) over 500 gt
• Mobile offshore drilling units

engaged on international voyages, and

• Port Facilities serving the above

See also Part B
ISPS Code
Responsibilities of Contracting Governments

Part A Section 4
• Set security levels
• Provide guidance for protection from security
incidents
• Issue instructions and provide security related
information at Security Level 3

See also Part B

Responsibilities of Contracting
Governments
• Part A Section 4.3
• Contracting Governments may not delegate
the following security-related duties to a
Recognized Security Organization (RSO):
1. Setting security levels;
2. Approving port facility security assessments;
3. Determining which port facilities require a PFSO;
4. Approving PFSPs;
5. The exercise of ISPS control and compliance
measures; and
6. Establishing the requirements for a Declaration of
Security (DOS).
ISPS Code

Sections 6, 7, 8 , 9, 10, 11, 12 & 13

• Deal with ship security
Note: Guidance at Part B 1.3 (page 37)
ISPS Code
Ship Security
• Section 6 - Obligations of the Company
• Section 7 - Ship Security
• Section 8 - Ship Security Assessment
• Section 9 - Ship Security Plan
• Section 10 - Records
• Section 11 - Company Security Officer
• Section 12 - Ship Security Officer
• Section 13 - Training drills & Exercises
• Section 19 - Verification and Certification for ships
• Part A Appendices 1 & 2 - Ship Security Certificate
ISPS Code
Port Facility Security

Part A Section 14
• Act on security levels set by government
• Actions required at levels 1, 2 & 3
• Liaise with government
• Liaise with SSO on necessary actions if ship and

port facility are at different security levels

ISPS Code
Port Facility Security
Part A Section 14.2
Security measures and procedures for:
.1 ensuring performance of all security duties
.2 controlling access to port facility
.3 monitoring of port facility
.4 monitoring restricted areas
.5 supervise handling of cargo
.6 supervise handling of ship’s stores
.7 ensuring security communications

At all Security levels

ISPS Code
Port Facility Security Assessment
Part A Section 15
• Essential and integral part of the process of developing
and updating the port facility security plan (PFSP)
• Carried out by government or RSO
• Must address at least:
 Identification of important assets & infrastructure
 Possible threats
 Countermeasures (Risk Treatments)
 Weaknesses(Vulnerabilities)
ISPS Code
Port Facility Security Plan
Part A Section 16

• Approved by the Contracting Government (OTS)

• May be prepared by an RSO
• Make provisions for the three Security Levels
• Take into account guidance at Part B and shall
address at least: 16.3.1 to 16.3.15
• Note 16.3.14 Security Alert System
ISPS Code

Port Facility Security Officer

Part A Section 17

• Responsibilities: 17.2.1 to 17.2.13

• Shall be given necessary support to fulfil

duties and responsibilities
ISPS Code
Training, Drills and Exercises
Part A Section 18
• Personnel have necessary knowledge
and training
 PFSO
 Personnel with security duties
 All other personnel
• Drills to be carried out at appropriate intervals
• PFSO to participate
Ship Security Alert System– (SSAS)
Continuous Synopsis Record
Regulation 5
Log of ship’s history shall contain:

• Flag State • Registered owner

• Port of Registry • Charterers
• Date of Registry • Company Name (Ch IX)
• ID Number • Class Society
• Name • Issuers of ISM and ISSC
IMO
Publicly accessible website at:

http://www2.imo.org/ISPSCode/ISPSInformation.aspx

provides details on current compliance status

of port facilities worldwide
 ISPS Code
Implementation in
Philippines
Department of Transportation and
Communications (DOTC)

MISSION
The DOTC shall lead in the creation of an
environment for the establishment and
development of an integrated transportation and
communications system that will foster the
attainment of national development goals.
Department of Transportation and
Communications (DOTC)

MANDATE
To develop, promote, implement or cause
to implement and maintain integrated and strategic
transportation and communications systems that will
ensure safe, reliable, responsive and viable services to
enhance the socio-political integration and to help
accelerate the economic development of the country.
Executive Order 311 (23 Apr 04)

Designating the Office for Transportation

Security (OTS) 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 the Department of
Transportation and Communications.
Philippine Organisation

IMO
OTS – Designated Authority,
Administration and Coordination Roles
• OTS undertakes the following roles with
regard to ISPS Code:
– Designated Authority for port facilities
– Administration for shipping
– Primary office for co-ordination and
communication with IMO.
Need for ISPS Code
Ship Security Officer of an
Australian Flagged Vessel

Common language with

respect to security

Port Facility Security

Officer of a facility in
Davao
Documents
Ship Security Port Facility Security
Assessment Assessment

Ship Security Plan Port Facility Security Plan

Port Facility Security Plan
Flag State Port State 1 Port State 2
Security of ship and Security of ship and Ship coming is not
personnel personnel a floating bomb

Illegal cargo will not Security of port Ship coming does

be loaded facility personnel not carry illegal cargo
and operation or passengers
Unauthorized Port is not a source
personnel will not of illegal cargoes
board & or passengers
 ISPS Code Implementation
Methodology

• Assessments and plans for international port

facilities and ships mandated by IMO
 ISPS Code Implementation
Methodology

• Security assessments and plans produced for

all ships and port facilities covered by the
ISPS Code
 ISPS Code Implementation
Methodology

• Plans verified and ISSC/SoCPF issued by OTS

 ISPS Code Implementation
Methodology
• OTS and port facility stakeholders identify a
requirement for port level assessments and
plans
ISPS Implementation Methodology

• Concept of a Security Regulated Port (SRP)

adopted and assessments and plans produced
for 14 major Philippine ports assessed as high
risk
 ISPS Code Implementation
Methodology

• If a SRP is already defined for a specific

geographic area there is no requirement to define
a domestic SRP - domestic port facilities in that
area will become part of the current SRP
 ISPS Implementation Methodology

• Threats to domestic ships and port facilities

assessed as higher than international environment
 ISPS Code Implementation
Methodology

• National Security Programme introduced

which incorporates ISPS Code requirements
and requires the same level of security for
nominated domestic ships, ports and port
facilities
 ISPS Code Implementation
Methodology

• Domestic security assessments and plans

being developed and informed by the SRP
assessments and plans
 ISPS Code Implementation
Methodology

• Ongoing audit and inspection programme

 IMO
ISPS (SOLAS)

PHILIPPINE
ISPS IMPLEMENTATION GOVERNMENT

PHILIPPINES
EXECUTIVE ORDER
311

NSPSTMI
“Programme”
Questions?
Maritime Transport Security Officers
Course

Component 03
Book 2 of ‘The Programme’
Module Objectives

• To provide participants with an understanding

of the domestic component of the Programme
• To provide participants with an understanding
of how security will be implemented in the
maritime transportation environment
 Programme Structure
Book I (International)
Part 1 Authority
Part 2 General Principles
Part 3 Objectives of the Programme
Part 4 Definition of Terms
Part 5 Application
Part 6 Responsibilities
Part 7 Ship
Part 8 Port Facility
Programme Structure
Book II (Domestic)
1. Authority
2. General Principles
3. Objectives of the Programme
4. Definition of Terms
5. Application
6. Responsibilities
7. Ship
8. Port Facility
9. Security Regulated Port
10. Phased Implementation of the Programme
Application (Domestic)
1. The following types of ships engaged on domestic voyages:
a. Passenger ships (ro-ro, cargo-passenger, high speed craft), of
50 gross tonnage and above; 200GT for wooden hulled
passenger ships
b. Cargo ships such as tankers, bulk carriers, and high speed
cargo craft of 300 gross tonnage and above;
c. Cargo ships carrying highly flammable materials of 100 gross
tonnage and above;
d. Mobile offshore drilling units.
2. Port facilities, including offshore production platforms and drilling
units attached to the seabed, and shipyards, serving such ships
aforementioned above.
3. Security Regulated Ports (SRP).
General Principles
• The continuous, unhampered and free movement
of goods and people to, from, and around the
country using the maritime transportation
system is vital to the development and economic
well being of the country.
General Principles
• Security of the maritime transportation system, including
cargoes and passengers using the system, is a shared
responsibility of the ship operator, port facility operator
and the government.
General Principles
• The port facility operator is responsible for ensuring
that all cargoes and persons going aboard a ship
within the facility are properly checked to ensure that
only authorized persons are allowed to board and
that no unauthorized materials are brought on board.
General Principles
• The ship operator is responsible for ensuring that all
persons going aboard ship are properly checked for
identity, purpose and authority and that only
authorized people and cargoes are allowed aboard
ship.
General Principles
• The Office for Transportation Security (OTS) will
ensure that appropriate security measures are in
place both in the port facility and aboard the ship in
order to prevent access to the ship by unauthorized
people and cargoes.
General Principles
• Implementation of security measures by ships and
port facilities should not hamper the performance of
official functions by authorized personnel of
government agencies.
General Principles
• Security plans prepared in compliance with
the Programme must provide for security
measures to be implemented at Security
Levels 1, 2 and 3.
Maritime Security Objectives
• The Philippines’s obligation under Chapter XI-2
of the SOLAS convention and the ISPS Code,
including those with regard to the welfare of
seafarers, are met.
Maritime Security Objectives
• The vulnerability of ships, ports and port
facilities to terrorist attack is reduced without
undue disruption to trade.
Maritime Security Objectives

• The risk that maritime transport is used to

facilitate terrorist or other unlawful activities is
reduced.
Maritime Security Objectives

• Security information is communicated

effectively among maritime industry
participants, stakeholders and government
agencies with maritime transport security
responsibilities.
Ship Security – Process for
issuing ISSC/NSSC
• Appoint a Company Security Officer
• Train the Company Security Officer
• Carry out a ship security assessment
• Produce a Ship Security Plan
• Submit the Ship Security Plan to OTS for approval
• Obtain verification and ISSC/NSSC
SSP – Implementation

• Ensure copy of SSP held on board ship

• Designate a Ship Security Officer on each ship
• Train the Ship Security Officer
• Train those crew who have specific security
responsibilities – as detailed in the SSP
SSP – Implementation

• Train the remainder of the crew

• Implement the SSP on the ship

• Exercise the SSP
• Ensure adequate security resources
Documents

Documents to be carried on board:

• Ship Security Plan
• ISSC/NSSC
• Continuous Synopsis Record
• Security activities at last ten port calls
 Stages in Port Facility Security

• Port Facility Security Officer appointed;

• Port Facility Security Officer trained;
Stages in Port Facility Security

• Contracting Government (or RSO) carries

out the Port Facility Security Assessment
(PFSA);
• Port Facility Security Plan based on the
PFSA is developed;
Stages in Port Facility Security
• All port facility employees with specific
security responsibilities are trained;
• Remainder of the employees are trained;
• PFSP is implemented;
Stages in Port Facility Security

• Assessment and plan are submitted to

(OTS) to obtain a statement of
compliance (SCPF); and
• Plan is periodically tested.
Security Regulated Port (SRP)
• Consists of two(2) or more Port Facilities
• Area may differ from one security level
to another
• Port Manager usually Port Security Officer
• Provides additional security measures on
the water side
• Created based on geographic and security
considerations
Responsibilities of OTS

• Setting the applicable security level;

• Approving the ship security plan (SSP) and
relevant amendments to a previously approved
plan;
Responsibilities of OTS

• Verifying the compliance of ship security plans

and issuing to ships the ISSC;
• Determining which of the port facilities located
within RP territory are required to designate a
PFSO who will be responsible for the preparation
of the PFSP;
Responsibilities of OTS

• Approving the PFSP/PSP and any subsequent

amendments to a previously plan;
• Ensuring completion and approval of the
PFSA/PSA and of any subsequent amendments to
a previously approved assessment;
Responsibilities of OTS

• Verifying/auditing the compliance of SRP/port

facilities of their PFSP/PSP and issuing
subsequent SCPF certificate;
• Exercising control and compliance measures;
Responsibilities of OTS

• Testing approved plans; and

• Communicating information to the IMO and

to the shipping and port industries.

( www.ots.gov.ph) (www2.imo.org/ISPSCode)
Delegation of OTS Responsibilities

• OTS may delegate some of these

responsibilities to other government
agencies, such as:
- PCG
- Port Authorities
- MARINA
- Other relevant agencies (Ex. AFP/PNP)
Delegation of OTS Responsibilities

May allow RSOs to carry out, on its behalf, certain works or

specific functions with respect to SRP/port facilities and
ships and monitoring qualification of their works
as follows:
- Preparing PFSA and PFSP
- Preparing SSA and SSP
- Approving SSA and SSP for ships engaged on
international voyages
Delegation of OTS Responsibilities

May allow RSOs to carry out, on its behalf, certain works or

specific functions with respect to SRP/port facilities and
ships and monitoring qualification of their works
as follows:
- Conducting security audit and review of port
facilities and ships
- Conducting ISPS Code related training to port/ship personnel
Other Responsibilities

• Company Security Officer

• Ship Security Officer
• Port Facility Security Officer
• Port Security Officer
Port Authorities (PPA, CPA, RPMA,
SBMA, Municipal and other port
authorities)
• Ensure that all port facilities covered by this
Programme and under their administrative or
operational control or supervision shall comply
with the provisions of this Programme; and
• Ensure that ships visiting their ports and port
facilities comply with the provisions of the
Programme.
Responsibilities – Ship Operators

• Ensure that their ships covered by this

Programme have approved SSPs which were
developed using risk-based security
assessment process.
Responsibilities – Port Facility
Operators
• Ensure that their port facilities covered by
this Programme have approved PFSPs which
were developed using risk-based security
assessment process.
Philippine Coast Guard (PCG)

• Respond to maritime security threats in

coordination with Port Authorities, Port
Facility Operators and Ship Operators, as
applicable; and
• As directed by OTS, implement control and
compliance measures.
Responsibilities of CSO/SSO (1)
• Ship security
assessment (SSA)
• Ship security
plan(s) (SSP)
Responsibilities of CSO/SSO (2)

• International Ship Security Certificate (ISSC) or

NSSC
• Automatic identification system (AIS)
• Ship security alert system (SSAS)
• Declaration of Security (DoS)
• Training
CSO and SSO

The CSO and SSO should have knowledge

of, and receive training, in some or all of
the following, as appropriate:
• security administration;
• relevant international conventions, codes and
recommendations;
• relevant Government legislation and
regulations;
• responsibilities and functions of other security
organizations;
CSO and SSO . . .
• methodology of ship security assessment;
• methods of ship security surveys and
inspections;
• ship and port operations and conditions;
• ship and port facility security measures;
• emergency preparedness and response
and contingency planning;
CSO and SSO
• instruction techniques for security
training and education, including
security measures and procedures;
• handling sensitive security-related
information and security-related
communications;
• knowledge of current security threats and
patterns;
CSO and SSO
• recognition and detection of weapons,
dangerous substances and devices;
• recognition, on a non-discriminatory
basis, of characteristics and behavioural
patterns of persons who are likely to
threaten security;
CSO and SSO
• techniques used to circumvent security
measures;
• security equipment and systems and their
operational limita­tions;
• methods of conducting audits, inspection,
control and monitoring;
CSO and SSO
• methods of physical searches and non-
intrusive inspections;
• security drills and exercises, including
drills and exercises with port facilities;
and
• assessment of security drills and
exercises.
SSO
In addition, the SSO should have
adequate knowledge of, and
receive training in, some or all of
the following, as appropriate:
• the layout of the ship;
• the ship security plan (SSP) and related
procedures (including scenario-based
training on how to respond);
SSO
• crowd management and control
techniques;
• operations of security equipment and
systems; and
• testing, calibration and at sea
maintenance of security equipment and
systems.
Responsibilities of PFSO (1)

- Port Facility Security

Assessment (PFSA)
- Port Facility Security
Plan (PFSP)
Responsibilities of PFSO (2)

- Operational and physical

security measures
- Respond to security level
- Declaration of security (DoS)
- Training, Drills and Exercises
PFSO
The PFSO should have knowledge and
receive training, in some or all of the
following, as appropriate:
• security administration;
• relevant international conventions, codes
and recommendations;
PFSO
• relevant Government legislation and
regulations;
• responsibilities and functions of other
security organizations;
PFSO

• methodology of port facility security

assessment;
• methods of ship and port facility security
surveys and inspections;
PFSO

• ship and port operations and conditions;

• ship and port facility security measures;
• emergency preparedness and response
and contingency plan­ning;
PFSO
• instruction techniques for security
training and education, including security
measures and procedures;
• handling sensitive security-related
information and security-related
communications;
• knowledge of current security threats and
patterns;
PFSO
• recognition and detection of weapons,
dangerous substances and devices;
• recognition, on a non-discriminatory
basis, of characteristics and behavioural
patterns of persons who are likely to
threaten the security;
PFSO
• techniques used to circumvent security
measures;
• security equipment and systems, and
their operational limitations;
• methods of conducting audits, inspection,
control and monitoring;
PFSO
• methods of physical searches and non-
intrusive inspections;
• security drills and exercises, including
drills and exercises with ships; and
• assessment of security drills and
exercises.
Update on the ‘Programme’
• Issuance of OTS Transport Security
Regulation Nr. 011-2007
Mandatory for all ships and port/shipyard
facilities covered by the ‘Programme’ to
prepare, develop and implement
PFSA/SSA and PFSP/SSP subject to
approval by OTS
Effective 15 March 2008