16 Port facility security plan

General

16.1 Preparation of the port facility security plan (PFSP) is the responsibility of the port facility security officer (PFSO). While the PFSO need not necessarily personally undertake all the duties associated with the post the ultimate responsibility for ensuring that they are properly performed remains with the individual PFSO.

16.2 The content of each individual PFSP should vary depending on the particular circumstances of the port facility, or facilities, it covers. The port facility security assessment (PFSA) will have identified the particular features of the port facility, and of the potential security risks, that have led to the need to appoint a PFSO and to prepare a PFSP. The preparation of the PFSP will require these features, and other local or national security considerations, to be addressed in the PFSP and for appropriate security measures to be established so as to minimise the likelihood of a breach of security and the consequences of potential risks. Contracting Governments may prepare advice on the preparation and content of a PFSP.

16.3 All PFSPs should:

.1 detail the security organization of the port facility,
.2 detail the organization's links with other relevant authorities and the necessary communication systems to allow the effective continuous operation of the organization and its links with others, including ships in port;
.3 detail the basic security level 1 measures, both operational and physical, that will be in place;
.4 detail the additional security measures that will allow the port facility to progress without delay to security level 2 and, when necessary, to security level 3;
.5 provide for regular review, or audit, of the PFSP and for its amendments in response to experience or changing circumstances; and
.6 detail reporting procedures to the appropriate Contracting Governments contact points.

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

16.5 Contracting Government should approve the PFSPs of the port facilities under their jurisdiction. Contracting Governments should develop procedures to assess the continuing effectiveness of each PFSP and may require amendment of the PFSP prior to its initial approval or subsequent to its approval. The PFSP should make provision for the retention of records of security incidents and threats, reviews, audits, training, drills and exercises as evidence of compliance with those requirements.

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

16.7 The use of firearms on or near ships and in port facilities may pose particular and significant safety risks, in particular in connection with certain dangerous or hazardous substances and should be considered very carefully. In the event that a Contracting Government decides that it is necessary to use armed personnel in these areas, that Contracting Government should ensure that these personnel are duly authorized and trained in the use of their weapons and that they are aware of the specific risks to safety that are present in these areas. If a Contracting Government authorizes the use of firearms they should issue specific safety guidelines on their use.The PFSP should contain specific guidance on this matter in particular with regard its application to ships carrying dangerous goods or hazardous substances.

Organization and performance of port facility security duties

16.8 In addition to the guidance given under section 16.3, the PFSP should establish the following which relate to all security levels:

.1 the role and structure of the port facility security organization;
.2 the duties, responsibilities and training requirements of all port facility personnel with a security role and the performance measures needed to allow their individual effectiveness to be assessed;
.3 the port facility security organization's links with other national or local authorities with security responsibilities;
.4 the communication systems provided to allow effective and continuous communication between port facility security personnel, ships in port and, when appropriate, with national or local authorities with security responsibilities;
.5 the procedures or safeguards necessary to allow such continuous communications to be maintained at all times;
.6 the procedures and practices to protect security–sensitive information held in paper or electronic format;
.7 the procedures to assess the continuing effectiveness of security measures, procedures and equipment, including identification of, and response to, equipment failure or malfunction;
.8 the procedures to allow the submission, and assessment, of reports relating to possible breaches of security or security concerns;
.9 procedures relating to cargo handling;
.10 procedures covering the delivery of ship's stores;
.11 the procedures to maintain, and update, records of dangerous goods and hazardous substances and their location within the port facility;
.12 the means of alerting and obtaining the services of waterside patrols and specialist search teams, including bomb searches and underwater searches;
.13 the procedures for assisting ship security officers in confirming the identity of those seeking to board the ship when requested; and
.14 the procedures for facilitating shore leave for ship's personnel or personnel changes, as well as access of visitors to the ship including representatives of seafarers' welfare and labour organizations.

16.9 The remainder of this section addresses specifically the security measures that could be taken at each security level covering:

.1 access to the port facility;
.2 restricted areas within the port facility;
.3 handling of cargo;
.4 delivery of ship's stores;
.5 handling unaccompanied baggage; and
.6 monitoring the security of the port facility.

Access to the port facility

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

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

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

16.13 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 port facility and their attempt to obtain access should be reported to the PFSO and to the national or local authorities with security responsibilities.

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

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

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

Security level 1

16.17 At security level 1, the PFSP should establish the control points where the following security measures may be applied:

.1 restricted areas, which should be bound by fencing or other barriers to a standard which should be approved by the Contracting Government;
.2 checking identity of all persons seeking entry to the port facility in connection with a ship, including passengers, ship's personnel and visitors and confirming their reasons for doing so by checking, for example, joining instructions, passenger tickets, boarding passes, work orders, etc;
.3 checking vehicles used by those seeking entry to the port facility in connection with a ship;
.4 verification of the identity of port facility personnel and those employed within the port facility and their vehicles;
.5 restricting access to exclude those not employed by the port facility or working within it, if they are unable to establish their identity;
.6 undertaking searches of persons, personal effects, vehicles and their contents; and
.7 identification of any access points not in regular use which should be permanently closed and locked.

16.18 At security level 1, all those seeking access to the port facility should be liable to search. The frequency of such searches, including random searches, should be specified in the approved PFSP and should be specifically approved by the Contracting Government. Unless there are clear security grounds for doing so, members of the ship's personnel should not be required to search their colleagues or their personal effects. Any such search shall be undertaken in a manner which fully takes into account the human rights of the individual and preserves their basic human dignity.

Security level 2

16.19 At security level 2, the PFSP should establish the additional security measures to be applied, which may include:

.1 assigning additional personnel to guard access points and patrol perimeter barriers;
.2 limiting the number of access points to the port facility, and identify those to be closed and the means of adequately securing them;
.3 providing for means of impeding movement through the remaining access points, e.g. security barriers;
.4 increasing the frequency of searches of persons, personal effects, and vehicle;
.5 deny access to visitors who are unable to provide a verifiable justification for seeking access to the port facility; and
.6 using of patrol vessels to enhance water-side security.

Security level 3

16.20 At security level 3, the port facility should comply with instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include:

.1 suspension of access to all, or part of, the port facility;
.2 granting access only to those responding to the security incident or threat thereof;
.3 suspension of pedestrian or vehicular movement within all, or part, of the port facility;
.4 increased security patrols within the port facility, if appropriate;
.5 suspension of port operations within all, or part, of the port facility;
.6 direction of vessel movements relating to all, or part, of the port facility; and
.7 evacuation of all, or part of, the port facility.

Restricted areas within the port facility

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

.1 protect passengers, ship's personnel, port facility personnel and visitors, including those visiting in connection with a ship;
.2 protect the port facility;
.3 protect ships using, and serving, the port facility;
.4 protect sensitive security locations and areas within the port facility;
.5 to protect security and surveillance equipment and systems; and
.6 protect cargo and ship's stores from tampering.

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

.1 access by individuals;
.2 the entry, parking, loading and unloading of vehicles;
.3 movement and storage of cargo and ship's stores; and
.4 unaccompanied baggage or personal effects.

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

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

16.25 Restricted areas may include:

.1 shore–and water-side areas immediately adjacent to the ship;
.2 embarkation and disembarkation areas, passenger and ship's personnel holding and processing areas including search points;
.3 areas where loading, unloading or storage of cargo and stores is undertaken;
.4 locations where security– sensitive information, including cargo documentation, is held;
.5 areas where dangerous goods and hazardous substances are held;
.6 vessel traffic management system control rooms, aids to navigation and port control buildings, including security and surveillance control rooms;
.7 areas where security and surveillance equipment are stored or located;
.8 essential electrical, radio and telecommunication, water and other utility installations; and
.9 other locations in the port facility where access by vessels, vehicles and individuals should be restricted.

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

Security level 1

16.27 At security level 1, the PFSP should establish the security measures to be applied to restricted areas, which may include:

.1 provision of permanent or temporary barriers to surround the restricted area whose standard should be accepted by the Contracting Government;
.2 provision of access points where access can be controlled by security guards when in operation and which can be effectively locked or barred when not in use;
.3 providing passes which must be displayed to identify individual's entitlement to be within the restricted area;
.4 clearly marking vehicles allowed access to restricted areas;
.5 providing guards and patrols;
.6 providing automatic intrusion–detection devices, or surveillance equipment or systems to detect unauthorized access into, or movement within restricted areas; and
.7 control of the movement of vessels in the vicinity of ships using the port facility.

Security level 2

16.28 At security level 2, the PFSP should establish the enhancement of the frequency and intensity of the monitoring of, and control of access to, restricted areas. The PFSP should establish the additional security measures, which may include:

.1 enhancing the effectiveness of the barriers or fencing surrounding restricted areas, including the use of patrols or automatic intrusion–detection devices;
.2 reducing the number of access points to restricted areas and enhancing the controls applied at the remaining accesses;
.3 restrictions on parking adjacent to berthed ships;
.4 further restricting access to the restricted areas and movements and storage within them;
.5 use of continuously monitored and recording surveillance equipment;
.6 enhancing the number and frequency of patrols including water-side patrols undertaken on the boundaries of the restricted areas and within the areas;
.7 establishing and restricting access to areas adjacent to the restricted areas; and
.8 enforcing restrictions on access by unauthorized craft to the waters adjacent to ships using the port facility.

Security level 3

16.29 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include:

.1 setting up of additional restricted areas within the port facility in proximity to the security incident, or the believed location of the security threat, to which access is denied; and
.2 preparing for the searching of restricted areas as part of a search of all, or part, of the port facility.

Handling of cargo

16.30 The security measures relating to cargo handling should:

.1 prevent tampering; and
.2 prevent cargo that is not meant for carriage from being accepted and stored within the port facility.

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

Security level 1

16.32 At security level 1, the PFSP should establish the security measures to be applied during cargo handling, which may include:

.1 routine checking of cargo, cargo transport units and cargo storage areas within the port facility prior to, and during, cargo handling operations;
.2 checks to ensure that cargo entering the port facility matches the delivery note or equivalent cargo documentation;
.3 searches of vehicles; and
.4 checking of seals and other methods used to prevent tampering upon entering the port facility and upon storage within the port facility.

16.33 Checking of cargo may be accomplished by some or all of the following means:

.1 visual and physical examination; and
.2 using scanning/detection equipment, mechanical devices, or dogs.

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

Security level 2

16.35 At security level 2, the PFSP should establish the additional security measures to be applied during cargo handling to enhance control, which may include:

.1 detailed checking of cargo, cargo transport units and cargo storage areas within the port facility;
.2 intensified checks, as appropriate, to ensure that only the documented cargo enters the port facility, is temporarily stored there and then loaded onto the ship;
.3 intensified searches of vehicles; and
.4 increased frequency and detail in checking of seals and other methods used to prevent tampering.

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

.1 increasing the frequency and detail of checking of cargo, cargo transport units and cargo storage areas within the port facility (visual and physical examination);
.2 increasing the frequency of the use of scanning/detection equipment, mechanical devices, or dogs; and
.3 co-ordinating enhanced security measures with the shipper or other responsible party in addition to an established agreement and procedures.

Security level 3

16.37 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include:

.1 restriction or suspension of cargo movements or operations within all, or part, of the port facility or specific ships; and
.2 verifying the inventory of dangerous goods and hazardous substances held within the port facility and their location.

Delivery of ship's stores

16.38 The security measures relating to the delivery of ship's stores should:

.1 ensure checking of ship's stores and package integrity;
.2 prevent ship's stores from being accepted without inspection;
.3 prevent tampering;
.4 prevent ship's stores from being accepted unless ordered;
.5 ensure searching the delivery vehicle; and
.6 ensure escorting delivery vehicles within the port facility.

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

Security level 1

16.40 At security level 1, the PFSP should establish the security measures to be applied to control the delivery of ship's stores, which may include:

.1 checking of ship's stores;
.2 advance notification as to composition of load, driver details and vehicle registration; and
.3 searching the delivery vehicle.

16.41 Checking of ship's stores may be accomplished by some or all of the following means:

.1 visual and physical examination; and
.2 using scanning/detection equipment, mechanical devices or dogs.

Security level 2

16.42 At security level 2, the PFSP should establish the additional security measures to be applied to enhance the control of the delivery of ship's stores, which may include:

.1 detailed checking of ship's stores;
.2 detailed searches of the delivery vehicles;
.3 co-ordination with ship personnel to check the order against the delivery note prior to entry to the port facility; and
.4 escorting the delivery vehicle within the port facility.

16.43 Detailed checking of ship's stores may be accomplished by some or all of the following means:

.1 increasing the frequency and detail of searches of delivery vehicles;
.2 increasing the use of scanning/detection equipment, mechanical devices, or dogs; and
.3 restricting, or prohibiting, entry of stores that will not leave the port facility within a specified period.

Security level 3

16.44 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility which may include preparation for restriction, or suspension, of the delivery of ship's stores within all, or part, of the port facility.

Handling unaccompanied baggage

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

Security level 1

16.46 At security level 1, the PFSP should establish the security measures to be applied when handling unaccompanied baggage to ensure that unaccompanied baggage is screened or searched up to and including 100%, which may include use of x-ray screening.

Security level 2

16.47 At security level 2, the PFSP should establish the additional security measures to be applied when handling unaccompanied baggage which should include 100% x-ray screening of all unaccompanied baggage.

Security level 3

16.48 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facilityn which may include:

.1 subjecting such baggage to more extensive screening, for example x-raying it from at least two different angles;
.2 preparations for restriction or suspension of handling or unaccompanied baggage; and
.3 refusal to accept unaccompanied baggage into the port facility.

Monitoring the security of the port facility

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

.1 lighting;
.2 security guards, including foot, vehicle and waterborne patrols; and
.3 automatic intrusion–detection devices and surveillance equipment.

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

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

Security level 1

16.52 At security level 1, the PFSP should establish the security measures to be applied which may be a combination of lighting, security guards or use of security and surveillance equipment to allow port facility security personnel to:

.1 observe the general port facility area, including shore–and water-side accesses to it;
.2 observe access points, barriers and restricted areas; and
.3 allow port facility security personnel to monitor areas and movements adjacent to ships using the port facility, including augmentation of lighting provided by the ship itself.

Security level 2

16.53 At security level 2, the PFSP should establish the additional security measures to be applied to enhance the monitoring and surveillance capability, which may include:

.1 increasing the coverage and intensity of lighting and surveillance equipment, including the provision of additional lighting and surveillance coverage;
.2 increasing the frequency of foot, vehicle or waterborne patrols; and
.3 assigning additional security personnel to monitor and patrol.

Security level 3

16.54 At security level 3, the port facility should comply with the instructions issued by those responding to the security incident or threat thereof. The PFSP should detail the security measures which could be taken by the port facility, in close co-operation with those responding and the ships at the port facility, which may include:

.1 switching on all lighting within, or illuminating the vicinity of, the port facility;
.2 switching on all surveillance equipment capable of recording activities within, or adjacent to, the port facility; and
.3 maximising the length of time such surveillance equipment can continue to record.

Differing security levels

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

Activities not covered by the Code

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

.1 it is interfacing with a ship which has been at a port of a State which not a Contracting Government;
.2 it is interfacing with a ship to which this Code does not apply; and
.3 it is interfacing with fixed or floating platforms or mobile offshore drilling units on location.

Declarations of Security

16.57 The PFSP should establish the procedures to be followed when, on the instructions of the Contracting Government, the PFSO requests a DoS or when a DoS is requested by a ship.

Audit, review and amendment

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

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

.1 if the PFSA relating to the port facility is altered;
.2 if an independent audit of the PFSP or the Contracting Government's testing of the port facility security organization identifies failings in the organization or questions the continuing relevance of significant element of the approved PFSP;
.3 following security incidents or threats thereof involving the port facility; and
.4 following changes in ownership or operational control of the port facility.

16.60 The PFSO can recommend appropriate amendments to the approved plan following any review of the plan. Amendments to the PFSP relating to:

.1 proposed changes which could fundamentally alter the approach adopted to maintaining the security of the port facility; and
.2 the removal, alteration or replacement of permanent barriers, security and surveillance equipment and systems etc., previously considered essential in maintaining the security of the port facility;

should be submitted to the Contracting Government that approved the original PFSP for their consideration and approval. Such approval can be given by, or on behalf of, the Contracting Government with, or without, amendments to the proposed changes. On approval of the PFSP the Contracting Government should indicate which procedural or physical alterations have to be submitted to it for approval.

Approval of port facility security plans

16.61 PFSPs have to be approved by the relevant Contracting Government which should establish appropriate procedures to provide for:

.1 the submission of PFSPs to them;
.2 the consideration of PFSPs;
.3 the approval of PFSPs, with or without amendments;
.4 consideration of amendments submitted after approval; and
.5 procedures for inspecting or auditing the continuing relevance of the approved PFSP.

At all stages, steps should be taken to ensure that the contents of the PFSP remains confidential.

Statement of Compliance of a Port Facility

16.62 The Contracting Government within whose territory a port facility is located may issue an appropriate Statement of Compliance of a Port Facility (SoCPF) indicating:

.1 the port facility;
.2 that the port facility complies with the provisions of chapter XI-2 and part A of the Code;
.3 the period of validity of the SoCPF which should be specified by the Contracting Governments but should not exceed five years; and
.4 the subsequent verification arrangements established by the Contracting Government and a confirmation when these are carried out.

16.63 The Statement of Compliance of a Port Facility should be in the form set out in the appendix to this Part of the Code. If the language used is not Spanish, French or English, the Contracting Government, if it considers it appropriate, may also include a translation into one of these languages.