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

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

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

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

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

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).

SMC or DOC

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.

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)

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

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

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

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

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

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.

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.

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

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).

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.

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

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

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.

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 19 2.14 - 2.14 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.

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

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

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

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