Policies and Guidelines in the Grant of Authorization to Registered Security Organization (RSO) for Domestic Maritime Security

October 19, 2017

DOTr-OTS MEMORANDUM CIRCULAR NO. 004-17

 

Pursuant to the Executive Order No. 277 (January 2004) as amended by Executive Order No. 311 (26 April 2004); National Security Programme for Sea Transport and Maritime Infrastructure (NSPSTMI); DOTC Department Order No. 29, dated 28 May 2004; Transportation Security Regulation (OTS-TSR) No. 011-2007, dated 1 October 2007; and Memorandum Circular (MC) Nos. 03-2013 and 05 Series 2016.

I. RATIONALE

The delegation of certain security duties to Registered Security Organization (RSO) requires appropriate grant of authority from the Designated Authority. The grant of authority shall be expressed through formal written authorization.

II. OBJECTIVE

This MC provides for the guidelines and procedures for the request and granting of such authority in order for the RSO to legally exercise the delegated authority.

III. SCOPE AND APPLICATION

These MC applies to RSO duly accredited pursuant to MC 05, Series 2016; provided, the remaining validity period of accreditation of the said RSO is not less than three months.

IV. STATEMENT OF POLICY

It is the policy of the Designated Authority for Registered Security Organization to seek prior authorization before the exercise of delegated authority and conduct of delegated functions. aScITE

V. GUIDELINES

1. A Registered Security Organization (RSO) desiring to exercise delegated authority specified in Items 1 and 2 of Paragraph C. Issuance of and Validity of the Certificate of Accreditation under V. Guidelines in the Accreditation of RSO, MC 05, Ser. 2016 1 shall submit a Letter of Intent (Annex B) to and seek conformity from an Auditee for the conduct of any of the said delegated functions.

2. Upon grant of Conformity (Annex C) by the Auditee, the RSO shall request Letter of Authority (Annex D), attaching therewith the Conformity and further specifying the names of the certified auditors, from OTS before proceeding with the conduct of delegated functions.

 An auditor who is a former employee of the Auditee shall be disqualified to audit the said Auditee. Further, an RSO which was previously involved in the development of the Auditee's Security Plan shall also be disqualified to audit the said Auditee.

3. The Letter of Authority shall be signed by the Administrator himself or, in his absence, the OIC or the designated representative in writing.

4. The RSO shall coordinate and make the necessary arrangements with the Auditee on the schedule and conduct of the maritime delegated functions;

5. The RSO shall submit initial After Audit Report (Annex E) to OTS seven (7) days after the completion of the audit and full Audit Report within thirty (30) days.

VII. EFFECTIVITY

This circular shall take effect after fifteen (15) days following its complete publication in newspaper of general circulation. A copy of this circular shall be deposited with the University of the Philippines Law Center, in compliance with the Revised Administrative Code.

VIII. ANNEX

Annex A — Definition of Terms

Annex B — Letter of Intent Template

Annex C — Letter of Conformity Template

Annex D — Letter of Authority Template

Annex E — After Audit Report Template

(SGD.) USEC. ARTURO M. EVANGELISTAAdministrator

ANNEX A

Definition of Terms

Auditee — refers to coastwise ships, port facilities, shipyards serving such ships which are subject to verification, intermediate and renewal audit HEITAD

Authorized Registered Security Organization (ARSO) — refers to a duly accredited Registered Security Organization (RSO) granted with the Authority to perform delegated functions as herein specified

Registered Security Organization (RSO) — refers to registered security organization before the Securities and Exchange Commission (SEC) providing maritime security services, with expertise in security matters and appropriate knowledge in ship and port operation authorized security related duties and/or responsibilities such as assessment, verification or certification

ANNEX B

Letter of Intent Template

<DATE>

ADDRESSEEDesignation

Dear Mr./Ms. _______________:

AAA Company is an accredited Registered Security Organization (RSO) of the Office for Transportation Security. As such, the company is qualified to conduct security audits on the effective implementation of maritime security measures for both ships and port facilities. In this regard, we would like to offer our services to conduct intermediate/renewal audit on <name of port facility/ship>.

Should your company avail our services, please be informed that tariffs would be paid depending on the size and type of the facility/ship, the classification of audit and the timeframe to accomplish the activity.

Please feel free to contact the undersigned at telephone number (02) 888-8888 or email us at [email protected]

Respectfully yours,

MR. JUAN DELA CRUZMarketing Director

ANNEX C

Letter of Conformity Template

<DATE>

MR./MS. ADDRESSEEDesignation ATICcS

Dear Mr./Ms. Addressee:

We are pleased to inform you that we are in conformity with your proposal to conduct intermediate/renewal audit of <name of port facility/vessel> on <date>.

As agreed and prescribed by the designated authority, Office for Transportation Security (OTS), the following will be the scope of the audit process:

• The current version of your PFSP/SSP.

• Procedures in responding the security threats/incidents.

• Procedures for testing the effectiveness of the PFSP/SSP.

• Measures of preventing unauthorized access to the facility/ship.

• Procedures of monitoring the security of the facility's/ship's restricted area.

• Measures to prevent unauthorized cargo and ships stores from entering the facility/ship.

• Process for training security personnel.

• Conduct of Drills and Exercises.

• Links to other port facilities/ship and other government agencies.

For good order and proper coordination of administrative and other requirements, you may contact __________ who shall act as the focal person for this activity at telephone number (02) 888-8888.

Very truly yours,

MR./MS. AUDITEEDesignation

ANNEX D

Letter of Authorization Template

<DATE>

AUTHORIZATION LETTER

This is to authorize AAA COMPANY, in behalf of the Officer for Transportation Security (OTS), to conduct intermediate/renewal audit at <name of port facility>/aboard vessel "name of vessel" on <agreed date/schedule>. TIADCc

In this regard, we are respectfully hoping for your full cooperation and assistance during the conduct of audit by our accredited RSO.

Very truly yours,

<NAME>Administrator

ANNEX E

After Verification/Audit Report of

I. AUTHORITY: Travel Authority being issued by the Organization/Agency

II. MEMBERS OF THE VERIFICATION/INSPECTION TEAM: Composition of the Audit Team (Lead Auditors and Members)

III. PORT FACILITY VERIFIED: The name of the Port Facility

IV. DATE OF VERIFICATION: The date or schedule of the audit verification

V. NATURE OF THE TRAVEL: The type of audit verification to be conducted whether INITIAL, INTERMEDIATE or RENEWAL

VI. BACKGROUND: It entails the history of the Port Facility (Summary/Brief background)

VII. IMPLEMENTATION OF THE PFSP:

Per verification audit conducted on the security measures of the aforementioned port facility hereunder are the findings/observations by the verification audit team:

1. Role and Structure of the Port Facility

2. Security links of the port facility security organization with National or Local Authorities

3. Knowledge and Training of Security Personnel

4. Drills and Exercise

5. Guarding system of the Port Facility

6. Access control for staff, Employees, Visitors, Ship's Personnel and their Visitors.

7. Monitoring Access to Restricted Areas

8. Supervising the Handling of Cargo HTcADC

9. Supervising the Handling of Ship's stores

10. Handling of Unaccompanied Baggage

11. Monitoring of the port facility, including anchoring and berthing area(s)

12. Contingency Procedures

13. PFSO

14. Duties and Responsibilities of PFSO

15. Procedures in the Conduct of DOS

VIII. RECOMMENDATION:

Submitted by:

(Name of Auditor)	(Name of Auditor)
Maritime Security Auditor	Maritime Security Auditor
Audit Team Leader	Member

 

Footnotes

1. Policies and Guidelines in the Accreditation of Recognized/Registered Security Organization for Domestic Maritime Security.