Manual Of Maritime Security Drills And Exercises For Port Facilities

APEC Manual of Maritime Security Drills and Exercises(c)Recently identified weakness or lapses in securityFor exampleThe local police may have recently seized contraband goods that arereputed to have passed through port facilities in the immediate area.The drill can focus on materials scanning to reinforce the securityconcerns.(d)drillRevision and testing of lessons learnt from the previousFor exampleIn the previous drill, it was determined that a security procedure wasdeficient, and that some equipment, and a minor change inprocedure would rectify this. With the equipment now acquired, it isopportune to test the new procedure and equipment.(2)Drills may be selected from the menu provided in Section 2 of thisManual.c.Form the “control team”(1)Every drill, simple or complex, must have someone take charge ofthe events and be responsible for the outcomes. Simple drills may bemanaged by one individual, but he will require assistance to provide the“threat”. More complex drills may require a fairly large team to managethe different aspects of the scenario. These persons are all part of the“control team” or “controllers”. The person managing the scenario is theChief Controller. The persons providing inputs for the participants to reactto (e.g. by acting as the “threat”) are known as “Lower Controllers”. Inlarge organizations with several tiers in the hierarchy, Lower Controllersmay be the subordinates of participants. These employees may form partof the Control Team and are cued to provide the inputs for theparticipants’ action. “Participants” or “players”, who are the subject of thedrill, are generally personnel performing their normal employment task,such as security guards. As all Port Facilities need to conduct the drills, itmay be possible for Port Facilities to assist each other by providing theirstaff as controllers. Other sources of “adversary” personnel may besuppliers and contractors with business interests at the Port Facility.4Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and ExercisesFor exampleControl ersary 1Communications,resources and safetyControllerAdversary 2“Bomb”builder/supplierThis example is for a relatively complex drill. Drills may beconducted with far fewer resources, even just the principal controllerassisted by one simulated adversary. Examples of theresponsibilities and tasks of the controllers are given in Appendix 2(2)Briefing – The control team must be briefed on the aim andobjectives of the drill so that they may contribute effectively to theplanning process that follows.d.Draft the scenarioA credible “cops-and-robbers” tale lends realism and a sense of excitement to thedrill. The storyboard will set the scene and focus all participants on the events asthey unfold.For exampleIntelligence passed on by the local authorities suggests that theremay be the threat of a bomb being brought into a port facility by avendor or contractor servicing the facility. Further details such as thetype of vehicle being used or the suspicious person may be included.e.Draft the InjectsThe Master Events List is a list of events associated with the scenario that, wheninitiated in turn, may reasonably be expected to elicit a response from theparticipants that will generate a specific outcome or learning point. Thus, theywill be based on the Drill Objectives. The Injects may be time-based or eventbased, i.e. the next event on the list will be initiated by a specific assigned time, or5Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and Exercisesby the occurrence of a particular event e.g. the reaction of a participant. TheInjects list may be managed by the principal controller as if directing a movie.The Master Events List should not be regarded as being cast in stone. Whererequired, especially during the conduct of the drill, injects may be modified inorder to meet the objectives set.For exampleA Master Events List is a table usually incorporating columns forthe time, event number, details of the event, anticipated responsefrom the participants, and any special notes. An example of a MasterEvents List is given in Appendix 3.f.TerminationThe plan must include instructions for the actions and activities relating to the endof the drill.For example Assembly or re-deployment of personnel. Return, accounting or disposal of materials and equipment. Restoration and making-good of property.5.Communicationsa.Plan the communications needs and channels that will be employed duringthe drill. Controllers will require an independent means of communicationsamong themselves. The established communications means and channels shouldbe employed by the participants, unless a new communications arrangement isbeing tested during the drill. These communications means should be checked andverified prior to the conduct of the drill.For exampleControllers may use their personal mobile phones to communicate,or in some cases where quick reactions are expected, walkie-talkiesmay be required. These should operate on a different circuit fromthose used by security staff.6Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and Exercisesb.Codewords should be generated and made known to all participants.Codewords serve to make anticipated announcements clear and brief.For exampleDrill CommenceDrill SuspendDrill GoDrill StopDrill End6.: The drill is to start: The drill is temporarily suspended: The drill is to resume from where it wassuspended: The drill is to be terminated (prematurely): The drill is completedResourcesPlan the resources that are needed for the drill. The scenario will also dictate theresources to be employed for the drill. These will include equipment and materials, aswell as on-site refreshments and even meals if the drill duration requires it.For exampleIf an “adversary” controller is expected to bring a simulated bombinto the Port Facility by a van, the vehicle must be provided, and asimulated “bomb” has to be constructed that will pass muster assuch in screening devices.7.BudgetSome expenditure may be expected for the conduct of drills. These may include outsourcing of the conduct to a Recognised Security Organisation. Drills should therefore bebudgeted for in the annual budget exercise of the Port Facility.8.Safetya.Have an independent body oversee the safety aspects of the drill. Heshould consider the scenario, the Master Events List and all equipment to be usedin his safety review, then endorse the drill for safe conduct. All activity involves ameasure of risk – the risk of choking when having a meal does not mean that oneshould forgo meals. When all reasonable safety precautions have been observed,unforeseen accidents should not be occasions for the laying of blame, rather forvaluable lessons to be drawn.For exampleIn the excitement of the drill, enthusiasm can get the better of some personnel.A special advisory may be promulgated to warn participants againstmistreatment of simulated “adversaries” when caught. Participants should bereminded of the local laws, rules and regulations pertaining to citizens’authority, rights and liabilities.7Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and Exercisesb.The roles and functions of a drills safety officer are given in Appendix 4.ENDORSEMENT9.If the management so desires, approval should be sought at this stage for theconduct of the drill, elaborating on the details from the planning process outlined above,including the budgetary and other resource requirements.CONDUCT THE DRILL10.Briefinga.The “controllers” must be briefed prior to the conduct of the drill to ensureconsistency in the delivery of injects, and providing guidance to participants asthe drill unfolds. Participants receiving conflicting instructions or erroneousreports or poorly timed inputs will be at least distracted, or worse, becomedisinterested.b.Participants should be briefed just before the conduct of the drill. Whileparticipants are for the most part expected to perform their regular tasks, drillsshould be conducted primarily as a learning experience for all, rather than as acompetition between the controllers and the participants. Thus, while participantsneed not be told the exact details of the drill, they should be aware of theobjectives and especially the required attainments. The lessons learnt fromprevious drills of the same nature should also be reviewed during the briefing.11.Conducta.All personnel, controllers and participants, should be at their work stationsbefore the specified commencement time. Generally, drills should commence onthe specified time, as this will minimize the need for communications. The firstevent from the Injects List may also be used to commence the drill. As the drillprogresses, events or “injects” from the Injects List are initiated to keep thescenario in motion. If necessary, injects and scenario may be modified as the drillprogresses to ensure that the objectives can be met.b.Drills may be temporarily halted facility-wide or at a specific location fora number of reasons:(1)Safety is compromised – Where the controller(s) observe thatsafety has become a concern, they should halt the drill to address theconcerns, and re-commence only when they are satisfied that the issueshave been resolved satisfactorily. If necessary, the drill can be ended.(2)A particular lesson needs to be demonstrated or reinforced Controllers and/or participants may spot a point or a lesson that is of8Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and Exercisesspecial interest. It may be necessary to highlight the point immediately toreinforce the lessons to be derived from it. If this requires that “play” onthe drill be suspended temporarily, then it certainly would be worthwhileto do so.(3)Difficulties faced by controllers and/or participants in the conductof the drill – Any number of concerns or difficulties may arise during theconduct of the drill to warrant its suspension or termination. This would bedetermined on the spot by the principal controller.c.Upon termination of the drill, some time should be allocated for thecontrollers and participants to gather their thoughts on the events, in preparationfor the debrief. The duration would be dependent on the nature/complexity of thedrill. Time should also be provided for housekeeping i.e. recovery, accountingand stowage of materials, restoration of services, etc.12.Performance IndicatorsResponse times, among others such as correctness of procedures and processes, areimportant elements of operational success. Therefore, primary performance indicatorssuch as standard operating procedures (SOP) and response times achieved by theparticipants in the drill for the various activities expected of them would be gauged. Agood record of such performances including response times achieved at various stages ofthe drill should be maintained for benchmarking and future reference.For exampleFROMTODURATION(mins)From activation of aneventResponse by securitystaffxxDEBRIEF13.The primary purpose of debrief is to consolidate the lessons learnt from theconduct of the drill. Thus, debrief is an essential part of the drill and must not be omitted.Debriefs are generally conducted immediately after the drill, when the lessons are fresh inthe participants’ memory. A note-taker should be appointed so that the lessons arerecorded for future reference. Guidance during the course of the debrief should beprovided to the note taker as to what is to be recorded, such that all in attendance are ableto listen in on that guidance if they wish to. A good guide would be to use the Aim,Objectives and more so, the Specific Objectives and Required Attainments of the DrillThese will also allow all in attendance to be fully cognizant of the records.9Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and Exercises14.Guidance to individuals in preparing for the debrief:a.b.c.d.e.What was performed well?What was clarified by the drill?What take-away of significant value was derived?What should have been done differently?Were the objectives and required attainments achieved?REPORTS15.Each conduct of a drill should be followed up by a report. Depending on theorganization culture, the report may be verbal or it may be written, but it is recommendedthat a written report be submitted to management as it serves as a record of the event andthe lessons learnt therefrom.For exampleThe report can cover the following: Title and objectives Date, time and duration Controllers and participants Significant events Lessons learnt Follow-up action16.In addition to the written report, a briefing on the drill should be given at amanagement meeting to apprise top management of the proceedings. This will allowissues requiring management intervention to be given due attention, especially thoseinvolving financial needs for actions required as a result of lessons learnt during the drill.RECORDS17.The ISPS Code requires that drills be conducted by Port Facilities at least once inevery three months. A simple record of the conduct of the drill may be kept as evidenceof compliance.For exampleThe record can note the following: Type of drill conducted Date and time of conduct18.An example format for an ISPS Drills and Exercises Record Book is given inAppendix 5.10Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and ExercisesAppendix 1TIME-TABLE FOR PLANNINGDAYS TODRILLD -30D -29D -28D -28D -28D -27D -25D -5D -2D -2D -1D dayD dayD 1D 2DATE(calendardates tobeinserted)EVENTCHECKPropose the type of drill to be conductedPlan the scenario for the drillConfirm budget availability for items and/orservices to be employed during the drillIdentify the primary objectivesIdentify the drill control teamObtain management endorsement if it is requiredPlan the master injects listIdentify the participantsBrief the control teamSet up items if necessaryBrief the participantsConduct the drillPerform the debrief and record the lessons learntRecord the conduct of the drillReport the conduct of the drill to management1-1Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and ExercisesAppendix 2RESPONSIBILITIES AND TASKS OF CONTROLLERSAny activity benefits from good management, and a drill is no different – in order toensure success, it must be properly managed. Therefore a manager or team of managersmust be assigned to plan and conduct the drill. In training parlance, they are generallyknown as Controllers, and the head is known as the Chief Controller.Controllers are responsible to undertake the following: Plan the scenario for the drillIdentify the control team members and the participantsWork out the time-table for the drillList the injects or events that will take place during the drill, relating each injector event to a specific objective to be achieved or the development of the scenariofor the drillArrange for the materials and other resources such as transport, etc for theconduct of the drillBrief the participants on the nature, objectives and required attainments for thedrillConduct the drill by initiating and developing the scenario using the injects so thatparticipants may respondIdentify areas for improvement in procedures, materials or resources for theperformance of the security task that is the subject of the drillIdentify initiatives, good work and deficiencies in the performance of theparticipantsTerminate the drill at the end of the scenario or when the objectives have beenachievedArrange for the stowage or disposal of materials and resources used during thedrill as appropriateConduct the debrief to gather feedback on the lessons learnt from the drillWrite the report to management on the conduct of the drillEnter a record on the drill in the organization’s official record of events2-1Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and ExercisesAppendix 3EXAMPLE MASTER EVENTS LISTVehicle bomb threat to port facilitySERIALNO.Date:001002003TIME17 Oct ECTED RESPONSEController briefingParticipant briefingAll controllers and participants atrespective positionsDrill commenceVan with legitimate package to makedelivery to ship alongside the portfacilityVan with bomb in package to attemptentry, ostensibly to make delivery toship alongside the port facility.Deliveryman has invalid documentation.007If the deception is not detected,controller shall prompt participants.Drill terminated008DebriefLOCATIONConference roomStaff recreation roomAs appropriateScreening to be undertaken by security Goods vehicle entrystaffpointScreening to be undertaken by security Goods vehicle entrystaff. Screening should detect falsified pointdocumentation and thorough check ofvan should reveal bomb.Bomb threat response procedureshould be activated by participantsDispersal of personnel and equipmentas plannedControllers and participants to reportfindings and lessons learnt3-1Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and ExercisesNotes:Serial NumbersSerial numbers serve to identify an inject. Identification of an inject by a serial number allows it to be quickly and accuratelyreferenced while communicating. There are several different ways to treat serial numbers, as follows: Simple serial number: This uses a two to four digit number e.g. 01, 001 or 0001. The number of digits used depends on theexpected number of injects. With date: This prefixes the date to the number. In the unlikely event a drill runs over more than one day, such a serial numbercan be useful e.g. 17001 With date and time: This uses the date and time as the serial number, and dispenses with a separate TIME column e.g. 170930means 17th day of the month at 9.30 a.m. (24 hr clock)3-2Draft Version 1 - April 2008

APEC Manual of Maritime Security Drills and ExercisesAppendix 4ROLES AND FUNCTIONS OF A DRILLS SAFETY OFFICER To examine the plans for the drills and check on the safety aspects of theproposed events, injects and probable actions and their outcomes. To endorse the plans after having been satisfied of their safety To be present at the respective scene of action during the conduct of the drills tomonitor the safety situation To advise the Chief Controller of any potential breaches of safety To intervene immediately if it assessed that safety is likely to be compromised byany of the ensuing action4-1Draft Version 1 - April 20

2. The primary objectives in conducting maritime security drills are to practice the skills, test the equipment and validate the procedures relating to the detection and deterrence of maritime security threats. Drills are targeted at the operative level of a Port Facility's organization and develop personnel to maintain a high level of readiness