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

Regional Training Centres

ISM – International Safety Management Code&

ISPS – International Ship and Port Facility Security CodeGeneral Information

Roberto Nahon

FEB 2011

2Regional Training Centres – ISM & ISPS Codes - General Information

PROGRAM

General presentation

Video: The ISM Code (19’)

Video: Security at Sea (17’)


ISM CODE

International Safety Management CodeMeans 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.


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



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.



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)


0 1 2 3 4 5

RenewalAudit

InitialAudit

ExternalExternal AuditsAudits

PeriodicalAudit

(+/- 3 m)

Company InternalCompany Internal AuditsAudits

ISM CODE – COMPANY’S AUDITS

Normally performed before the external audit


0 1 2 3 4 5

RenewalAudit

InitialAudit


IntermediateAudit

Between

Ship Internal AuditsShip Internal Audits

ISM CODE – SHIP’S AUDITS



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.


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.

17Regional Training Centres – ISM & ISPS Codes - General InformationA-M CHAUVEL - DNS - BUREAU VERITAS

0 1 2 3 4 5

RenewalAudit

InitialAudit


IntermediateAudit

Between

Ship Internal AuditsShip Internal Audits

ISPS CODE – SHIP’S AUDITS



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).



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.



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

SURVEYORRepairs &

test before

departure

Issue

MNC

Downgrade

to NC

when CS

is informed

AU

DIT

OR

Check the system

•Maintenance plan

•Training

•Communication with company

•Spare parts available

•Workshop called on board

•Classification Society informed

•etcRequest

AA

NO

No

Action

YES


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.

•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.

•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


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



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



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


QUALITY OF THE FLEET – ISM

PR.17 Report

Are deficiencies related to SMS possible

failures ?File

RO = BV

Request investigation / CA / Additional audit

Send to RO

Y

N

Y

N

Surveyor

MO


Documents

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