INTEGRATED MANAGEMENT SYSTEMS (IMS) OCT 2011 R. Nahon

2 Integrated Management Systems - IMS Possible combinations Possible combinations of integrated and harmonised schemes: ► ISM Code ► ISO 9001 : 2000 ► ISO : 2004 ► OHSAS : 2007 ► ISPS (Harmonised Management Systems) ► IPSEM (International Port Safety and Environmental Protection Management Scheme) ► ISO (Energy Management Systems)??????

3 Integrated Management Systems - IMS General ► The PNS 4910 “Qualification of auditors performing integrated systems” was revised in accordance with the agreement between BV and BV Certification. ► The operational procedures are described in the PNSs series 4000: 4030, 4071, 4151, 4450, 4513 and ► BV has developed an intensive training material (see the respective training brochure and training material for a 2 days training session in the Veristar Training Solution database)

INTEGRATED AUDITOR’S QUALIFICATION

5 Integrated Management Systems - IMS Qualified auditors on AUG11

6 Integrated Management Systems - IMS Qualified auditors on AUG11

7 Integrated Management Systems - IMS Integrated Auditor Qualification “Qualification of auditors performing Integrated Systems Audits” Detailed instructions found on PNS 4910 ► BV ISM Auditor (with some audits already performed) has to undertake, at least, 3 further initial or renewal audits (at least, one as a participating auditor and another as a lead auditor) on ISO 9001 and/or ISO and/or HSAS standards (BV Cert had simplified the process for ISM auditors) ► Those 3 audits must be carried out under the supervision of a registered BV Cert lead auditor and are not restricted to shipping companies and their ships ► The qualification of BV Cert auditors is registered on the BV Cert website

8 Integrated Management Systems - IMS Integrated Auditor Qualification ► The CSOM shall attach a Form Plan and Follow-Up Sheet (PNS008) in Qualif to DNS for review. ► BV Cert issue a certificate and send to the CSOM/auditor. ► The experience in “marine transportation”, or similar, shall be evidenced in the “technical code” of the BV Cert website. ► Each CSOM shall contact the BV Cert Local Technical Manager to ensure fully understanding of this process. The BV Cert management does not have the same geographical distribution as Marine (regions/countries/etc). ► In case of any problem in this issue contact: DNS_CTD

INTEGRATED SYSTEMS’ CONTRACT AND INVOICING

10 Integrated Management Systems - IMS Contracts IMS CONTRACTS PNS 4071 ► The Certification Conditions + the Form I* “Application & Quotation” shall be used). The Certification Conditions (with the last version of the Marine General Conditions) must be signed by the client. ► The Form S* “ISO Audit Sampling Plan” shall be agreed and attached to the contract. The company’s fleet shall be considered to define the auditing periodicity of the ISO audits during the ISM audits. Both forms are found in the PNS 4810 Copy of contract to be provided for BV Certification

11 Integrated Management Systems - IMS Contracts PROPOSED TIMING How many days to provide for integrated systems? ► Minimum time duration for ISO Standards are defined in the BV Cert intranet website in BV Portal/BMS ► The minimum audit duration shall be increased of 25% for integrated audits.

12 Integrated Management Systems - IMS Contracts ► Sufficient “Stop over time” to be clearly specified to owner when signing a contract. ► There shall be a clause in the contract considering the possibility of ISO standard audits separated from ISM audits in case of lack of auditor during scheduled call or insufficient stop over time. In this case it may be provided 0,5 day more than provided on previous slide.

13 Integrated Management Systems - IMS Invoicing GUIDE B (next version will specify) B14 ISM / ISO Integrated Systems (IMS) B14.19 ISM / ISO Audits ► When an integrated scheme is contracted a specific criteria of repartition of incomes was agreed between BV and BV Cert., considering: One ISM certification and one ISO certification (ISO 9001 or 14001) One ISM certification and two ISO certifications (ISO 9001 & 14001) ► Additional time, travelling time, overtime and additional audits refers to Guide B to

14 Integrated Management Systems - IMS Invoicing ► One single invoice shall be issued by BV to the client. BV Cert will send an internal invoice to the CSOM of the ship’s Connecting District (CD) for its share, which already considers report, contract reviews, ISO certificate issuance and any additional service required for completion of the process. ► The invoice shall be issued considering the product code of ISM (SM2). No particular disposition provided in SM2 to date. The integrated system shall be mentioned in the invoice. ► An workflow is described in the Guide B with all detail steps to be followed in case of local jobs and international jobs.

INTEGRATED SYSTEMS’ AUDIT

16 Integrated Management Systems - IMS IMS Audits “How to perform an ISM/ISO audit in an IMS” Detailed instructions found on PNS 4151 ► Report forms for ISO audits may be downloaded from BV Cert website (BV considered as a subcontractor from BV cert) - PNS 4810 Rev. 1 - and attached to the ASMS report. The information about an IMS audit shall be mentioned in the “report comment”; ► The ISO reports shall include the: “Surveillance Visit Planning” (SF17) “Audit Plan” (PNS 4151 item 9) “ISO Audit Sampling Plan” (see PNS 4071 and 4810) The report check list found in the BV Cert website

17 Integrated Management Systems - IMS IMS Audits – Audit Plan ► The audit plan in the ASMS shall be used for both audits and must reflect the considered ISO standard (s). The audit plan created in the ASMS by default, allows as much new lines to be inserted as required by the auditor. ► The audit plan shall be communicated in advance

18 Integrated Management Systems - IMS IMS Audits – Company audits ► The “ISO Audit Sampling Plan” (Form S* – PNS 4810) must be updated imperatively during periodical Company audits and annexed to BV Cert. report. ► Company branch offices: ► ISO certification only for the HO - same criteria as for ISM companies’ audits, a sampling program to be established. ► ISO certification for the HO and BOs - a sampling program based on the square root process has to be established If not annexed, the time for the BV Cert. review will be increased until this plan is received, the issuance of the correspondent ISO certificate will be delayed and client complains may be expected.

19 Integrated Management Systems - IMS IMS Certificates “How to issue Integrated System Certificates” Detailed instructions found on PNS 4450 ISM CERTIFICATES ► BV auditors issues SMC/DOC definitive or limited and CM issues definitive after monitoring (same for simple ISM audits).

20 Integrated Management Systems - IMS IMS Certificates ISO CERTIFICATES ► ISO certificates are issued by BV Cert. after satisfactory review of the complete file and report by BV Cert. committee (Company + ship audits) in an average delay of 1 to 2 months if no NC issued and 4 to 5 months when NCs are issued. ► ISO certificates are renewed at each 3 years (after evidence of a minimum of 20 days of audit and 45 hrs of self-study). ► Report shall be submitted to BV Cert. after satisfactory review of corrective action by auditor or the CSOM of the CD (maximum 3 month). ► BV Cert. process requires its specific full report that can be downloaded from the INTERNATIONAL DATA BASE : WebAACS ->

21 Integrated Management Systems - IMS ISO Sampling Process “How to sample ships for ISO audits on an IMS” Detailed instructions found on PNS 4513 ► To cope with the differences in BV and BV Cert schemes in relation to the quantity of ships to be sampled. ► It is of the CSOM responsibility to prepare a plan to be attached to the contract. This plan shall be documented in the “ISO Audit Sampling Plan” (PNS4810) and may be adjusted according with fleet and auditors’ availabilities. ► New ship to the company shall be ISO audited during next ISM audit.

22 Integrated Management Systems - IMS IMS Audits Details in the PNS 4153

23 Integrated Management Systems - IMS IMS Audits General scheme for the first period of certification of a Company (for reference)

INTEGRATED MANAGEMENT SYSTEMS’ REPORT

25 Integrated Management Systems - IMS Integrated Management Systems Reports FINDINGS The NCs are reported in the Form K found in the ASMS. The NCs related to the ISO standards shall be referred on the right side named “Other ref” (§7 PNS 4151). NC/MNC only related to ISO – use ref of the ISM Code. For a MNC only related to the ISO Std, besides a warning will appear in the ASMS reminding about an additional audit to be requested, it is not mandatory but recommended by BV Cert.

INTEGRATED SYSTEMS FROM BV CERTIFICATION

27 Integrated Management Systems - IMS Bv Cert database

28 Integrated Management Systems - IMS Bv Cert database