ISM & ISPS

ISM
Q: What is the proper name and purpose of ISM code?
A: International Management Code for the Safe Operation of Ships and for Pollution Prevention.
Purpose
• to provide an international standard for the safe management and operation of ships and for
pollution prevention.

Q: What is the objectives of ISM code?

A: - to ensure safety at sea,
- prevention of human injury or loss of life, and
- avoidance of damage to the marine environment, and to property.

Q: History of ISM code?

A: - introduced as a response to a series of maritime disasters and incidents in the late 20th century
- Upon the sinking of the Herald of Free Enterprise in 1987 and the Exxon Valdez oil spill in 1989,
discussions among international maritime organizations about the development of a safety
management system for ships.
- in 1992, adopted the ISM Code and as mandatory compliance code under SOLAS -chapter IX.
- entered into force on 1st July, 1998

Q: ISM code as per which convention and Chapter?

A: SOLAS -chapter IX : "Management for the Safe Operation of Ships."
 ISM
Q: Which certificate are required as per ISM code?
A: Document of Compliance (DOC)
✓ Issued for the company
✓ by the Administration/ Flag State or R.O
✓ Validity – not exceeding 5 years
✓ Annual / Renewal Verification are required
✓ Copy of DOC shall be carried on fleet ships.
✓ Before full term certificate, Interim DOC is issued – interval not exceeding 12 months

Safety Management Certificate (SMC)

✓ Issued to ship
✓ by the Administration/ Flag State or R.O
✓ Validity – not exceeding 5 years
✓ One intermediate verification / Renewal Verification are required
✓ Before full term certificate, Interim SMC is issued – interval not exceeding 6 months
✓ After renewal verification but before issue the New certificate – existing certificate can endorse,
with interval not exceeding 5 months from expiry date
Q: Certificate (not DOC) , like as “DoS” by Company as per ISM code?
A: Declaration of Company (ISM code declaration) & Declaration of Designated Person
Under the ISM Code, a Company must be declared to the Administration, organization or person to
take over all the duties and responsibility imposed by the ISM code.
Q: Who does carried out the External Audit?
A: - Flag State Authorities (or)
- Recognized Organizations (ROs) (or)
- Independent third-party auditing organizations - authorized by flag states or Ros.

Q: Difference between Survey and Verification (Audit)?

A: Survey – mostly as per conventions and for issue/ endorse of their certificates
- check and ensure the concerned construction, arrangement and equipment are fitted to
use until to next survey.
- if any defect or malfunction – impose as Deficiency

Verification (Audit)
- conduct for ISM, ISPS ( DOC/SMC/ISSC)
- check software, i.e., previous history, records, and implementation of procedures.
- If any deviation or not fulfill – impose as NC/ Major NC/ Observation with objective
evidence (not proper entry/ record in log / record books)
Q: NC and Major NC?
A: Non-conformity means an observed situation where objective evidence indicates the non-fulfilment
of a specified requirement.
(e.g., Labeling on fire-fighting equipment, such as type of fire extinguisher or instructions for use, are
partially obscured or faded.)

Major non-conformity means an identifiable deviation that poses a serious threat to the safety of
personnel or the ship or a serious risk to the environment that requires immediate corrective action or
the lack of effective and systematic implementation of a requirement of this Code.
(e.g., failure to maintain firefighting equipment in proper working order)

Q: Near miss report?

A: A Near-Miss Report is a formal document used to report incidents or situations where an unsafe
condition or event occurred but did not result in injury, damage, or loss.
This helps identify potential hazards and prevent future accidents.
Near-miss report shall include the following as a minimum;
• Who and what was involved?
• What happened, where, when, and in what sequence?
• What were the potential losses and their potential severity?
• What was the likelihood of a loss being realized?
• What is the likelihood of a recurrence of the chain of events and/or conditions that led to the
near-miss?
Q: NC? NC examples?
A: Non-conformity means an observed situation where objective evidence indicates the non-fulfilment
of a specified requirement.
NC examples
▪ Lack of Document control Procedures
▪ Inadequate appropriate safety training for crew
▪ Operating with expired certificates or documents
▪ A lack of reporting or proper investigation of incidents, near misses, and hazardous
occurrences as required by the SMS.
▪ Violation of the company's own safety policies and procedures
▪ Failure to conduct proper risk assessments for shipboard operations having potential safety
hazards.
▪ Non-compliance with environmental regulations, such as MARPOL , BWMC
▪ Not properly make the entries in log books and record books
Q: Root cause? Direct cause? Indirect cause?
A: Root cause: A fundamental reason or source of a problem or initial nonconformity to happen the
issue/ incident. Root cause is essential to identify and eliminate root causes to prevent the
recurrence of issues.
A factor that caused a nonconformance and should be permanently eliminated through process
improvement. Type of Root causes are;
The technical causes – technical causes of the problem, often components and/or manufacturing
process.
The human – The human causes of the problem.
The system – The systematic causes of the root causes.

Direct Cause (proximate cause): The cause that directly resulted in the event.(The first cause in the
chain.)

Indirect cause (Contributing cause): a cause that contributed to the occurrence, but by itself would
not have caused the occurrence.

***In the case of broken ladder which testing the smoke detector sensor.
Direct cause - The ladder breaks due to faulty.
Indirect cause – The ladder was not inspected before use.
Root cause – The shipboard personal did not have maintenance and inspection regularly.
Q: What contents include in Safety Management Manual? Composition of SMM?
A: - Policy
- Procedures
- Instructions (Checklists, Forms)

Q: How to conduct Safety Meeting onboard? What topics to be discussed?

A: - Usually conducted once a month.
- Whenever there is an incident or near miss, it's essential to conduct an immediate safety meeting.
- If any changes in operations, equipment, or personnel that could affect safety, or if seasonal
changes or specific hazards for ship operation are anticipated, additional safety meeting shall be
conducted.
✓ Review action items resulting from the previous safety meeting.
✓ discussing recent incidents or near misses, if any
✓ ship's current operations and any safety concerns that have arisen.
✓ the importance of safety and the potential consequences of not following safety manners.
✓ Discuss safety officer’s report and broader safety issues.
✓ Encourage feedback from crew members regarding safety concerns, suggestions for
improvement, and issues they encounter in their daily tasks.
✓ Ensure that all crew members are in compliance with relevant maritime regulations and
company’s SMS procedure.
Q: Safety Committee?
A: The safety committee is established onboard for the sole goal of enhancing the safety standard on
board ships by ensuring that all safety procedures and practices are followed by the ship’s crew
members.
Safety committee Chairman – Master
Safety Officer – C/O
Safety representative – Any crew : at least 2 years experience

Q: Who is Safety Representative on your ship?

A: Safety Representative may vary depending on the ship's size, type, and company policies.
Mostly two safety representatives are appointed onboard, one (Bosun) for Deck Department and
one (Fitter) for Engine department.
Some ships, representatives are assigned on a rotating basic each month.
Q: C/O duty under ISM?
A: - C/O has a crucial role in ensuring compliance with the ISM Code.
- Usually C/O is safety officer and responsible for the safety of the ship.
- Implement and maintain the ship’s SMS.
- Ensure that SMS is effectively implemented by all members of the ship's crew.
- Assist the Master in the safe navigation and operation of the ship.
- in charge of the ship's emergency response procedures and plans.
-Conduct regular safety inspections of the ship's equipment, systems, and operations.
- to identify and address potential hazards or non-conformities.
- Maintain records related to the ship's safety, including incident reports, near misses, safety drills,
and inspections.
- Prepare for and participate in internal and external safety audits.
- ensure that cargo operation is conducted safely and in compliance with relevant regulations.
- navigation watch keeping, monitoring ship traffic, and ensuring compliance with international
navigation rules.
- Ensure that crew members are trained and familiarized with safety procedures and equipment,
including life-saving appliances and firefighting equipment.
- Take measures to prevent pollution of the marine environment,
- Implement and maintain ship security plans as required by the ISPS Code
- Report any near miss, non-conformities, and safety deficiencies to the Master.
- Promote continuous improvement in safety practices and procedures.
Q: What is risk assessment?
A: Risk assessment is a systematic process of identifying, analyzing, and evaluating potential risks and
hazards associated with shipboard operations, with the goal of minimizing or mitigating those risks to
ensure the safety of the vessel, crew, passengers, cargo, and the marine environment.
Elements of RA
1. Hazard Identification: identify all potential hazards
2. Risk Analysis: to determine the LIKELIHOOD (FREQUENCY) and SEVERITY (CONSEQUENCES).
3. Risk Mitigation and Control: developing strategies/ measures to reduce, control, or eliminate
identified risks.
4. Reassessment the risk: deciding risk is tolerable or not
5. Monitoring and Review: monitoring and update as necessary.

Q: RA formula?
A: Severity of Hazard X Likelihood of Harm = Risk Factor (Risk level)
Q: Five R.A factors./ likelihood and severity?
A: Five Risk Factors ( Five Risk Levels)
1. Very Low → Trivial - no further action required
2. Low → Tolerable - Monitoring required
3. Medium → Moderate - Efforts to reduce risk and amount of time required
4. High → Substantial - cannot proceed until risk is reduced
5. Very high → Intolerable - Unacceptable, shall not continue the task.

Likelihood: the probability or chance that a specific event or hazard will occur.

Severity: impact or consequences of a specific risk event or hazard.

Q: Risk assessment - enclosed space ?
A: RA for Enclosed space
1. Identify the Hazard and Risk
( Hazard – Death, unconsciousness or asphyxiation, Risk - Oxygen Deficiency, Toxic gases, Slippery)

2. Risk Assessment / Calculate Risk factor (Risk Level)

( Severity of Hazard X Likelihood of Harm = Risk Factor (Risk level) --------factor 4

3. Evaluate the risk and Control Measures

( Plan all control measures and implement the Permit to Work system to mitigate the risk as low as
reasonably practicable (ALARP) such as gas freeing, Gas measurement, BA set, personal oxygen
analyzer, well illumination, etc. )

4. Re-assessment of Risk with Control Measures

( Consider again if the risk can really be reduced to acceptable and achieved as low as reasonably
practicable (ALARP)) ------factor 3 or 2

5. Monitoring and Review while proceeding the task

( Monitor the proceeding in accordance with control measures and update if necessary.
Q: Before working aloft, What will you do?
A: Carried out Risk Assessment and Implement the Permit to Work system.

If necessary to explain RA for Working aloft, answer based on before RA- Enclosed space.

Q: How do you understand “Permit to Work”?

A: A Permit to Work system is a safety management process to ensure that specific tasks or activities
are carried out safely and under controlled conditions.
It is an essential part of the safety management system to prevent accidents, protect the
environment, and ensure the safety of the crew and vessel.
✓ Before perform a potential hazards work, permit to work shall be requested to the ship's safety
officer or designated person.
✓ The safety officer or a designated person conducts a risk assessment and take steps to perform
with safety precautions and measures for safe operation.
✓ Then, permit to work is approved and issued to authorize the work.
✓ While performing the work, the safety officer or designated personnel monitors the progress of the
work to ensure compliance with the permit conditions and safety measures.
✓ Once the work is completed and verified as safe, the PTW is closed.
✓ The permit to work should be issued with time validity.
Q: Critical items?
A: essential components, systems, and equipment, that are crucial for the safe and efficient operation
of the vessel, the safety of the crew and passengers, and the protection of the environment.
The following includes, but not be limited to,
• Navigation and Communication Equipment:
• Propulsion and Engine Systems:
• Steering and Control Systems:
• Safety Equipment:
• Firefighting equipment (fire extinguishers, hoses, hydrants), Fire detection and alarm systems
• Emergency evacuation systems
• Stability and Ballast Systems:
• Load lines and drafts
• Cargo Handling and Stowage Equipment:
• Tanker-specific equipment for liquid cargo
• Anchor and mooring system
 ISPS
Q: ISPS code is mandatory under which convention?
A: SOLAS chapter XI-2 - "Special Measures to Enhance Maritime Security."

Q: What is the purpose of ISPS code?

A: - To enhance the maritime security.
- to provide a standardized, consistent framework for evaluating risk, enabling Governments to
offset changes in threat levels with changes in vulnerability for ships and port facilities.

Q: Which certificated and documents are required ISPS code?

A: For Ship;
1. International Ship Security Certificate (ISSC)
2. SSP
3. Continuous Synopsis Record (CSR)
4. Declaration of Security (DoS)
For Port Facility;
1. Port Facility Security Certificate (PFSC)
2. Port Facility Security Plan (PFSP)
3. Declaration of Security (DoS)
 ISPS
Q: What items/ contents shall include in SSP?
A: 1. measures designed to prevent threats against persons, ships or ports from being taken on board;
2. restricted areas and measures for the prevention of unauthorized access to them;
3. measures and equipment for the prevention of unauthorized access to the ship, including
boarding of a ship when in port or at sea;
4. procedures for responding to security threats or breaches of security, including provisions for
maintaining critical operations of the ship or ship/port interface;
5. the minimum operational and physical security measures the ship shall take at all times, when
operating at security level 1;
6. the additional or intensified security measures the ship itself can take when moving to security
level 2;
7. procedures for promptly responding to any security instructions at security level 3;
8. procedures for evacuation in case of security threats or breaches of security;
9. security-related duties of shipboard personnel assigned security responsibilities and other
shipboard personnel;
10. procedures for auditing the security activities;
11. procedures for training, drills and exercises associated with the plan;
12. procedures for interfacing with port facility security activities;
13. procedures for the periodic review of the plan and updating;
14. procedures for reporting security incidents;
15. the SSO and CSO, including 24-hour contact details; →→→→
 16. procedures to ensure the inspection, testing, calibration and maintenance of any security
equipment provided on board;
17. frequency of testing or calibrating any security equipment provided on board;
18. procedures, instructions and guidance on SSAS usage, including the testing, activation,
deactivation, resetting and limitation of false alerts.
In addition, SSPs should detail:
1. the organizational structure of security for the ship;
2. the ship's relationship with the Company, port facilities, other ships and relevant authorities with
security responsibility;
3. the communication systems to allow effective continuous communication within the ship and
between the ship and others, including port facilities;
4. the basic security measures for security level 1, both operational and physical, that will always
be in place;
5. the additional security measures that will allow the ship to progress without delay to security
level 2 and, when necessary, to security level 3;
6. provision for regular review, or audit, of the SSP and for its amendment in response to
experience
or to changing circumstances; and
7. reporting procedures to the appropriate Contacting Government's contact points.
Q: What is “DoS”? When will DoS request?
A: A Declaration of Security (DoS) is an agreement between a port or port facility and a ship or
between a ship and another ship.
It confirms the security responsibilities of each party during a ship/port interface or a ship-to-ship
activity.
The circumstances warranting a DoS can include the following scenarios:
.1 a ship is operating at a higher security level than the port facility with which it is interfacing;
.2 there has been a security threat or a security incident involving a port facility or a ship with
which it is interfacing;
.3 a port facility or ship is operating at security level 3;
.4 there has been a change to the security level applying to a port facility or a ship with which it is
interfacing;
.5 a specific ship/port interface could endanger local facilities or residents;
.6 a specific ship/port interface could pose a significant pollution risk;
.7 a ship/port interface involves embarking or disembarking passengers or handling of dangerous
cargo;
.8 a ship is using a non-SOLAS port facility;
.9 a ship is undertaking a ship-to-ship activity while operating at a higher security level than the
other ship;
.10 a ship is undertaking a ship-to-ship activity with a non-SOLAS ship;
.11 a ship-to-ship activity involves the transfer of passengers or dangerous cargo at sea; →
 .12 a ship-to-ship activity could involve the risk of significant marine pollution;
.13 there is a Government-to-Government agreement requiring a DoS covering specified
international
voyages and the ships engaged on such voyages or ship-to-ship activities during such voyages;
.14 a non-SOLAS ship proposes to use a SOLAS port facility.
.15 the need to do so is indicated by a port facility’s Designated Authority or ship’s Administration;
.16 a ship is not compliant with the Maritime Security Measures (e.g. without a valid ISSC).

Q: Security Level 1, 2 , 3?
A: Security level 1 means the level for which minimum appropriate protective security measures
shall be implemented at all times.
Security level 2 means the level for which appropriate additional protective security measures
shall be maintained for a period of time as a result of the heightened risk of a security incident.
Security level 3 means the level for which further specific protective security measures shall
be maintained for a limited period of time when a security incident is probable or imminent,
although it may not be possible to identify a specific target.
Q: Actions and activities in Security Level 1, 2, 3?
A: At security level 1, the security measures and procedures in port security plans (PSPs), PFSPs or
SSPs should be sufficient to counter most forms of criminality associated with ports and ships, in
particular trespass, pilferage and stowaways. The priority is to allow normal commercial operations.
At security level 2, the priority is also to allow the continued commercial operation of the port, port
facility or ship but with increased security restrictions.
At security level 3, the strictest security restrictions will be in place and could lead to the eventual
suspension of commercial activities, with control of the security response transferred to the Government
organizations responding to a significant incident.

Q: SSO/ CSO / PFSO?

A:SSO means the person on board the ship, accountable to the master, who is designated by the
Company as responsible for the security of the ship, including implementation and maintenance of the
ship security plan, and for liaison with the company security officer and port facility security officers.
CSO means the person designated by the Company for ensuring that a ship security assessment is
carried out; that a ship security plan is developed, submitted for approval, and thereafter implemented
and maintained; and for liaison with port facility security officers and the ship security officer.
PFSO means the person designated as responsible for the development, implementation, revision and
maintenance of the port facility security plan and for liaison with the ship security officers and company
security officers.
Q: Duties of CSO?
A: The duties and responsibilities of the CSO shall also include, but are not limited to:
.1 advising the level of threats likely to be encountered by the ship, using appropriate security
assessments and other relevant information;
.2 ensuring that ship security assessments are carried out;
.3 ensuring the development, the submission for approval, and thereafter the implementation and
maintenance of the ship security plan;
.4 ensuring that the ship security plan is modified, as appropriate, to correct deficiencies and satisfy
the security requirements of the individual ship;
.5 arranging for internal audits and reviews of security activities;
.6 arranging for the initial and subsequent verifications of the ship by the Administration or the
recognized security organization;
.7 ensuring that deficiencies and non-conformities identified during internal audits, periodic
reviews, security inspections and verifications of compliance are promptly addressed and dealt with;
.8 enhancing security awareness and vigilance;
.9 ensuring adequate training for personnel responsible for the security of the ship;
.10 ensuring effective communication and cooperation between the Ship Security Officer and the
relevant port facility security officers;
.11 ensuring consistency between security requirements and safety requirements;
.12 ensuring that, if sister-ship or fleet security plans are used, the plan for each ship reflects the
ship-specific information accurately; and
.13 ensuring that any alternative or equivalent arrangements approved for a particular ship or group
of ships are implemented and maintained.
Q: Duties of SSO?
A: The duties and responsibilities of the Ship Security Officer shall include, but are not limited to:
.1 undertaking regular security inspections of the ship to ensure that appropriate security measures
are maintained;
.2 maintaining and supervising the implementation of the Ship Security Plan, including any
amendments to the plan;
.3 coordinating the security aspects of the handling of cargo and ship’s stores with other shipboard
personnel and with the relevant port facility security officers;
.4 proposing modifications to the ship security plan;
.5 reporting to the Company Security Officer any deficiencies and non-conformities identified
during internal audits, periodic reviews, security inspections and verifications of compliance and
implementing any corrective actions;
.6 enhancing security awareness and vigilance on board;
.7 ensuring that adequate training has been provided to shipboard personnel, as appropriate;
.8 reporting all security incidents;
.9 coordinating implementation of the ship security plan with the Company Security Officer and
the relevant port facility security officer; and
.10 ensuring that security equipment is properly operated, tested, calibrated and maintained, if any.
Q: How to conduct Security Exercise?
A: - Exercises which may include the participation of Port Facility Security Officers, and other relevant
Authorities, company security officers, or ship security officers, if available,
- should be carried out at least once each calendar year with no more than 18 months between the
exercises. These exercises may be:
.1 full scale or live;
.2 table top simulation or seminar; or
.3 combined with other exercises held such as emergency response or other port State authority
exercises.

Q: Who approve SSP?

A: the Administration of contracting goverment or the recognized security organization;
Q: Citadel?
A: A "Citadel"
✓ a designated space that is secured to provide a safe haven for the crew in the event of piracy, armed
robbery, or other hostile activities at sea.
✓ a citadel as part of security measures.
✓ typically equipped with communication systems, food, water, and other essential supplies that would
allow the crew to remain safe and in communication with authorities until assistance arrives.

Q: Safety and security conflict?

A: If, in the professional judgement of the master, a conflict between any safety and security
requirements applicable to the ship arises during its operations, the master shall give effect to those
requirements necessary to maintain the safety of the ship. In such cases, the master may implement
temporary security measures and shall forthwith inform the Administration and, if appropriate, the
Contracting Government in whose port the ship is operating or intends to enter.
Any such temporary security measiJres under this regulation shall, to the highest possible
degree, be commensurate with the prevailing security level. When such cases are identified,
the Administration shall ensure that such conflicts are resolved and that the possibility of recurrence is
minimized.
Q: Visit card lost? If found onboard? If not found onboard?

Q: Stowaway search?
THANKS