1. Regional Training Centres
ISM – International Safety Management Code
&
ISPS – International Ship and Port Facility Security Code
General Information
Roberto Nahon
FEB 2011

2. Video: Security at Sea (17’)
PROGRAM
General presentation
Video: The ISM Code (19’)
Video: Security at Sea (17’)

3. International Safety Management Code
ISM CODE
International Safety Management Code
Means the International Management Code for Safe operation of Ships and for Pollution Prevention
The Code’s origins go back to the late 1980s, when there was mounting concern about poor management standards in shipping. Investigations into accidents revealed major errors on part of management.
SOLAS Chapter IX

4. ISM CODE – MAIN DEFINITIONS & REFERENCES
MMSA – Marine Management Systems Auditor – BV procedures based in the IAPS PR 10 – must be a full employee of BV – authorised to perform any type of ISM audit
RO – Recognised Organisation - authorised by a Flag Administration to perform the whole or part of the certification process
DP – Designated Person – designated by the company to ensure the safe operation of each ship and to provide a link between the company and those on board.
References:
SOLAS Ch IX, ISM Code & IMO Resolutions
BV TNS 31, 34 and 35 & TNS 18-Flag
IACS PR 9, 10, 17 and 18

5. ISM CODE - APPLICATION
Passenger ships, including passenger high-speed craft,
Oil tankers,
Chemical tankers,
Gas carriers,
Bulk carriers and
Cargo high-speed craft
Other cargo ships and
Mobile offshore drilling units
of 500 GT and upwards engaged on international voyages (“SOLAS” vessels)
This Code applies to ships as listed above and for companies responsible for the operation of those ships

6. ISM CODE – CERTIFICATES
DOC – “Document of Compliance” issued for a company. Is specific for each Flag Administration and for all ship’s type related to that Flag.
SMC – “Safety Management Certificate” issued for a ship obo of its Flag, including information as ship’s type and company name and address
Interim certificates MAY be issued to a ship when it changes the company (management), for a new ship on delivery and when it changes flag (specific instructions can be considered from flags).

7. SMC or DOC

8. ISM CODE – CERTIFICATES
You may find three different types of certificates in a company and on board a ship:
INTERIM valid for 12 months for companies and for 6 months for ships issued by the auditor after a satisfactory interim audit, or
“DEFINITIVE” (LIMITED) valid for 5 months issued by the auditor after initial audits, or
DEFINITIVE valid for 5 years, issued by the auditor after renewal audits or by the BV Marine Centre, after report monitoring of initial audits.
Note: for specific cases the PNS is to be checked.

9. ISM CODE – CERTIFICATES
During any statutory survey on board a ship the original valid SMC and a copy of the valid DOC may be requested to be produced in order to checking their validities and consistency.
After a periodical audit in a company and an intermediate audit on board a ship the DOC and the SMC must be endorsed by the auditor.
Note: Issuance and endorsement of certificates and performance of company and/or ship’s audits authorisations vary from Flag to Flag (TNS 18)

10. Company Internal Audits
ISM CODE – COMPANY’S AUDITS
External Audits
Initial
Audit
Periodical
Audit
(+/- 3 m)
Renewal
Audit 1 2 3 4 5
Company Internal Audits
Normally performed
before the external audit

11. before the external audit
ISM CODE – SHIP’S AUDITS
External Audits
Initial
Audit
Intermediate
Audit
Between
Renewal
Audit 1 2 3 4 5
Ship Internal Audits
Normally performed
before the external audit

12. SOLAS Chapter XI-2 International Ship & Port Facility Security Code
ISPS CODE
International Ship & Port
Facility Security Code
The objectives of this Code are to establish an international framework involving co-operation between Contract Governments, Governments agencies, local administrations and the shipping and port industries to detect/assess security threats and take preventive measures against security incidents affecting ships or port facilities used in international trade; to establish the respective roles and responsibilities of all these parties concerned, at the national and international level, for ensuring maritime security; to ensure the early and efficient collation and exchange of security-related information; to provide a methodology for security levels; and to ensure confidence that adequate and proportionate maritime security measures are in place.
SOLAS Chapter XI-2

13. ISPS CODE – THREATS FOR THE MARINE INDUSTRY
TERRORISM - Political motivation
PIRACY – Money motivation
SMUGGLING – Parallel economy (drugs and arms)
STOWAWAY – Illegal citizen

14. ISPS CODE – MAIN DEFINITIONS & REFERENCES
MMSA – Marine Management Systems Auditor – BV procedures based in the IACS PR 10 – ISM Auditor as a pre-requisite – must be a full employee and pass through a vetting process
RSO – Recognise Security Organisation - authorised by a Flag Administration to perform the whole or part of the certification process
CSO – Company Security Officer – designated by the company
SSO – Ship Security Officer – designated by the company – one for each ship – may be the Master
References:
SOLAS Ch. XI-2 & ISPS Code
BV TNS 41, 44 and 45 & TNS 18-Flag
IACS PR 24, 25 and 27

15. ISPS CODE – MAIN STEPS FOR SHIPS TO COMPLY
Code part A and part B – the code was developed in two parts: the part A as mandatory and the part B as a guidance.
Many Flags (USA, European Flags, etc) have decided to take the part B partially mandatory
SSA – Ship Security Assessment – may be carried out by a RSO – shall include an on-scene security survey – shall be reviewed by the company
SSP – Ship Security Plan – one to each ship – to be prepared based on the results of the SSA – can be also prepared by a RSO - to be approved by the Flag/RSO
If a SSA and/or a SSP is/are carried our by one RSO, this RSO shall not approve the SSP nor certify the ship.

16. ISPS CODE - APPLICATION
Passenger ships, including passenger high-speed craft,
Oil tankers,
Chemical tankers,
Gas carriers,
Bulk carriers and
Other cargo ships, including high-speed craft
of 500 GT and upwards engaged on international voyages (SOLAS vessels / same types as for the ISM Code) from 01/07/2004
This Code applies to the ships as listed above and for port facilities serving such ships engaged on international voyages.

17. before the external audit
ISPS CODE – SHIP’S AUDITS
External Audits
Initial
Audit
Intermediate
Audit
Between
Renewal
Audit 1 2 3 4 5
Ship Internal Audits
Normally performed
before the external audit
A-M CHAUVEL - DNS - BUREAU VERITAS

18. ISPS CODE – CERTIFICATES
ISSC – “International Ship Security Certificate” issued for a ship obo of its Flag, including information as ship’s type and company name and address.
Interim certificates MAY be issued to a ship when it changes the company (management), for a new ship on delivery and when it changes flag (specific instructions can be considered from flags).

19. ISPS CODE – CERTIFICATES
You may find three different types of certificates on board a ship:
INTERIM valid for 6 months and issued by the auditor after a satisfactory interim audit, or
DEFINITIVE (LIMITED) valid for 5 months issued by the auditor after initial audits, or
DEFINITIVE valid for 5 years, issued by the auditor after renewal audits or by the BV Marine Centre, after report monitoring of initial audits.
Note: for specific cases the PNS is to be checked.

20. ISPS CODE – CERTIFICATES
During a statutory survey a valid original ISSC may be requested to be produced in order to checking their validity and consistency.
After an intermediate audit the ISSC must be endorsed by the auditor.
Notes:
1 - Issuance and endorsement of certificates, performance of audits and security plan approval authorisations vary from Flag to Flag
2 – A ship can be class/statutory certified, ISM certified and/or ISPS certified by different organisations

21. AUDIT X SURVEY
An audit is not a survey as it is related to a system and not only to a fact.
As an example:
Defective
emergency
Fire pump
Repairs &
test before
departure
SURVEYOR
Downgrade
to NC
when CS
is informed
Check the system
Maintenance plan
Training
Communication with company
Spare parts available
Workshop called on board
Classification Society informed
etc
AUDITOR
Issue
MNC NO
Request AA
YES No
Action

22. AUDIT PROCESS An audit is performed in a sampling basis
Three different types of findings can be raised:
Major Non Conformity - MNC – serious threat to the safety of personnel or the ship or a serious risk to the environment  MUST be downgraded into a NC  an Additional audit MUST be required
Non Conformity - NC – a non fulfilment of a specified requirement
Observation - OBS – a statement of fact referring to a weakness or potential deficiency that may lead to a NC
One NC requires one or more Corrective Action (s) – CA (s)  Curative Action (s) + Preventive Action (s) – to be proposed by the Company and/or the ship and that MUST address the root cause (s) of the NC.

23. ISM FROM CLASSIFICATION PERSPECTIVE
IACS PR17 - applicable from 1st December 2006
“Reporting by Surveyors of Deficiencies relating to Possible Safety Management System Failures”
The purpose of this procedure is to ensure that the organisation responsible for the issue of a SMC is notified when deficiencies relating to possible safety management system failure are identified by a surveyor.
BV Rules May 2006 Pt A, Ch 3, Sec 4.1 – Safety management system
4.1.1 – For all ships to which the ISM Code applies, the Society may have to report possible SMS shortcomings, on the occasion of Annual Surveys, to the organisation that has issued the SMC
TNS 002 Rev Reporting by Surveyors of Deficiencies relating to Possible Safety Management System (SMS) Shortcomings
3.1 When deficiencies relating to possible SMS shortcomings are identified by the Surveyor during a periodical (Annual/Intermediate/renewal) Class Survey or occasional Class Survey, Statutory Surveys, additional surveys relevant to Port State Control, Flag State Inspections or any other occasional survey, a Report is to be completed by the Surveyor.

24. WHAT TO REPORT? Deficiencies relating to:
TECHNICAL CONDITIONS OF THE SHIP, such as
A combination of deficiencies that together indicates that the maintenance system is not effectively implemented
Poor condition of hull, main deck, closing appliances, railings and ladders;
Defective/missing fire fighting and life saving appliances, oil pollution prevention equipment;
Leaks and oil in ER, pump rooms, etc
Deficiencies should not be reported, when
They are considered normal wear and tear for the ship type and age, and
There is evidence that deficiencies are being dealt with adequately by the company including the personnel working on board

25. ISM FROM CLASSIFICATION PERSPECTIVE
DOCUMENTATION DEFICIENCIES, such as
Expired classification or statutory certificates or certificates not endorsed as required
Overdue surveys, overdue audits or overdue conditions of class
Ship’s copy of DOC not valid or not relevant to the ship type or flag
Original SMC has incorrect data or endorsement missing
ERP (emergency response plan) and relevant SOPEP manual not available (contact points ashore should be current and corresponding with company name/address on DOC and SMC)
Entries for relevant drills etc. in log book not complete in accordance with mandatory requirements
Incorrect or missing entries in the Oil Record Book
Fire Plan not up to date

26. ISM FROM CLASSIFICATION PERSPECTIVE
OPERATIONAL REQUIREMENTS
Accident and hazardous occurrences not reported to the company
Crew not able to satisfactorily conduct practical demonstrations of shipboard operations, such as starting the fire pump, emergency generator, lifeboat engine, etc
Crew not able to communicate effectively in the execution of their duties
Inability of crew to perform satisfactorily mandatory drills such as fire drills, LSA drills, pollution prevention drills, etc
OTHER DEFICIENCIES THAT MAY AFFECT THE SAFETY OF THE SHIP, PERSONNEL OR ENVIRONMENT
Ship’s complement not complying with the Minimum Manning Certificate
Master, officers and ratings not certified as required by the STCW Convention
Serious deficiencies, in respect to housekeeping and maintenance of galley, crew accommodation and provisions stores
Port State or flag state detentions

27. ISM FROM CLASSIFICATION PERSPECTIVE
QUALITY OF THE FLEET – ISM
ISM FROM CLASSIFICATION PERSPECTIVE
Surveyor
PR.17 Report
Are deficiencies related to SMS possible failures ? Y N
File MO
RO = BV Y N
Send to RO
Request investigation / CA / Additional audit