PORT STATE CONTROL GUIDELINES FOR THE ENFORCEMENT OF MANAGEMENT FOR THE SAFE OPERATION OF SHIPS (ISM CODE)

Transcription

1 U.S. Department f Hmeland securityllilb United States Cast Guard Cmmandant United States Cast Guard 2100 Secnd Street, SW. Washingtn, DC Staff Symbl: G-MOC Phne: (202) COMDTPUB P NVIC NAVIGATION AND VESSEL INSPECTION CIRCULAR NO Subj: Ref: PORT STATE CONTROL GUIDELINES FOR THE ENFORCEMENT OF MANAGEMENT FOR THE SAFE OPERATION OF SHIPS (ISM CODE) (a) Chapter IX, Management fr the Safe Operatin f Ships, Internatinal Cnventin fr the Safety f Life at Sea, 1974 (SOLAS) (b) Internatinal Maritime Organizatin Assembly Reslutin A.741 (18), Internatinal Safety Management (ISM) Cde (c) Internatinal Maritime Organizatin Assembly Reslutin A.913(22), Guidelines n the Implementatin f the Internatinal Safety Management (ISM) Cde by Administratins (d) Internatinal Maritime Organizatin Assembly Reslutin A.882(21), Amendments t the Prcedures fr Prt State Cntrl (e) Internatinal Maritime Organizatin Assembly Reslutin A.787(19), Prcedures fr Prt State Cntrl (f) Marine Safety Manual, Vlume II, Materiel Inspectin, Chapter 1, COMDTINST M (series) (g) Title 46, United States Cde, Chapter 32, "Management f Vessels" (h) Title 33 Cde f Federal Regulatins (CFR) Part 96, "Rules fr the Safe Operatin f Vessels and Safety Management Systems" 1. PURPOSE. This Navigatin and Vessel Inspectin Circular (NVIC) prvides guidance fr U.S. Cast Guard Sectr Cmmanders, Captains f the Prt (COTPs), Officers in Charge, Marine Inspectin (OCMIs), and Prt State Cntrl Officers (PSCOs), and fr vessel wners, peratrs, flag States, and Recgnized Organizatins (ROs) cncerning enfrcement f and cmpliance with the requirements f Chapter IX f the Internatinal Cnventin fr the Safety f Life at Sea, 1974 (SOLAS), under the U.S. Cast Guard's Prt State Cntrl (PSC) Prgram. A B C D E F G H a 1 DISTRIBUTION SDL N 143 b c d e f g h i i k m n 0 p q r s t u v w x y z 5

2 2. ACTION. a. U.S. Cast Guard Sectr Cmmanders I, COTPs 2 and OCMIs 3 shuld refer t the enclsed guidance t ensure freign vessel cmpliance with the requirements f SOLAS Chapter IX. A cpy f the Addendum t the Freign Vessel Examinatin Bks fr the ISM Cde (enclsure 2) cntains a check-list that PSCOs shuld use as the supplement t the inspectin bks. b. Because f the general and nn-prescriptive nature f these requirements, PSCOs shuld use discretin when evaluating cmpliance and cnsidering enfrcement actin. The COTP shuld nt delay a ship andlr take civil penalty actins unless shelhe identifies majr nn-cnfrmities. Requirements fr crrective actin shuld ffer adequate time t allw fr full cmpliance. c. The Cjrcular will be distributed by electrnic means nly. It's available n the Wrld Wide Web at 3. DIRECTIVES AFFECTED. This NVIC cancels NVIC 4-98, "Prt State Cntrl Guidelines fr the Enfrcement f and Cmpliance with Chapter IX f the Internatinal Cnventin fr the Safety f Life at Sea 1974 (SOLAS), Management fr the Safe Operatins f Ships", COMDTPUB P16700A and G-MOC Plicy Letter N BACKGROUND. On Nvember 4, 1993, the Internatinal Maritime Organizatin (IMO) adpted Reslutin A.741(18), entitled "Internatinal Management Cde fr the Safe Operatin f Ships andfr Pllutin Preventin (Internatinal Safety Management [ISM] Cde}." In 1995, the IMO Assembly adpted "Guidelines n the Implementatin f the ISM Cde by Administratins" Reslutin A. 788(19). In 1997, the Cast Guard published regulatins t enfrce these ISM requirements. On July 1, 2002, Reslutin A788(19) was then replaced by Reslutin A.913(22), expanding the requirements in ISM t all carg ships and mbile ffshre drilling units prpelled by mechanical means f 500 grss tns r mre. T further enhance the safety f ships and pllutin preventin, the IMO amended the Cnventin fr the Safety f Life at Sea (SOLAS) 1974, by adpting Chapter IX, Managementfr the Safe Operatin f Ships, which established that a cmpany and ship shuld cmply with the requirements f the ISM Cde. SOLAS Chapter IX was amended by IMO reslutin MSC.99(73) which was accepted n January 1,2002 and entered I Sectr Cmmander - Serves as the principal agent and representative f the District Cmmander, respnsible fr the cmmand f all staff and Sectr units and accmplishment f all Cast Guard missin bjectives within the Sectr Area f Respnsibility (AOR). Serves as the designated Captain f the Prt (COTP) and Federal Maritime Security Crdinatr (FMSC), Officer In Charge Marine Inspectins (OCMI) and Federal On-Scene Crdinatr (FOSC) unless therwise delegated r assigned. 2 COTP - Exercises cntrl f vessel's mvement and peratin thrugh the issuance f a COTP Order pursuant t tw authrities, the PWSA and the Magnusn Act. The COTP authrity may be (and ften is) a necessary adjunct t the OCMI's exercise f his traditinal prt state cntrl (PSC) rle, as described belw. Hwever, if the PSC measure that is sught t be impsed invlves an rder t the vessel t mve r perate in a particular fashin fr the safety r security f the vessel, the prt, r the navigable waters f the United States, because that authrity is based upn the PWSA r Magnusn Act, it is exercised by the COTP, nt the OCM!. 3 OCMI _ Has the technical and prcess expertise t carry ut PSC examinatins and measures as authrized by 46 U.S. Cde Sectin 3303 and SOLAS Regulatin 1/19. This includes necessary flag state ntificatins and fficial dcumentatin f detentin and/r interventin actins. When the OCMI makes a judgment abut cmpliance with SOLAS safety, equipment, cnstructin, r manning requirements, and apprpriate cntrl measures that are necessary t achieve cmpliance and these d nt invlve an rder requiring the ship t mve, r nt t mve, the OCMI may exercise such cntrl withut using the authrity f the COTP. 2

3 int frce n July 1,2002. References (d) and (e) prvide guidelines and prcedures fr Prt State Cntrl. 5. DISCLAIMER. While the guidance cntained in this dcument may assist the industry, the public, the United States Cast Guard and ther Federal and State regulatrs in applying statutry and regulatry requirements, this guidance is nt a substitute fr applicable legal requirements, nr is it in itself a rule. Thus, this plicy des nt impse legally binding requirements n any party including the United States Cast Guard, ther Federal agencies, the States, r the regulated cmmunity. 6. CHANGES. Cmmandant (G-MOC) has psted this NVIC n the web at G-MOC will issue changes t this circular as necessary. Fr time sensitive amendments, G-MOC will issue ''urgent change" messages by ALCOAST and pst these changes n the website fr the benefit f industry. These urgent changes will be included in the next revisin f this circular. 7. DISCUSSION. a. The bjectives f SOL AS Chapter IX and the ISM Cde are t ensure safety at sea, prevent the ccurrence f human injury r lss flife, and avid envirnmental and prperty damage. ISM Cde requirements utline prcesses f cmmunicatin, training, and actins t cntinuusly maintain the ship in a state f cmpliance with safety and envirnmental prtectin regulatins. Specifically, the ISM Cde seeks t develp a "safety culture" which addresses the issues f human errr and human missins. T accmplish its bjectives, the ISM Cde requires wners f ships, r ther rganizatins such as the managers r barebat charterers wh have assumed respnsibility fr ship peratins, t implement Safety Management Systems (SMS) fr their cmpanies and ships. b. SOLAS Chapter IX, the ISM Cde and the requirements f a SMS apply t vessels engaged n a freign vyage that call in U.S. prts and which: (1) transprt mre than 12 passengers; r are (2) 500 grss tns r mre and are a tanker; bulk freight vessel; high-speed freight vessels, r ther freight vessel; high speed craft; r self-prpelled mbile ffshre drilling units (MODU)s. c. A freign vyage invlves a vessel: (1) arriving at a place under the jurisdictin f the United States frm a place in a freign cuntry; (2) making a vyage between places utside f the United States; (3) departing frm a place under the jurisdictin f the United States fr a place in a freign cuntry; r (4) making a vyage between a place within a territry r pssessin f the United States and anther place under the jurisdictin fthe United States nt within that territry r pssession. 3

4 d. Key elements f the SMS include dcumented cmpany guidelines establishing: (1) a cmpany safety and envirnmental prtectin plicy; (2) instructins and prcedures t ensure cmpanies perate ships in accrdance with relevant Flag State and internatinal regulatins; (3) defined levels f authrity and lines f cmmunicatin between, and amngst, shre and shipbard persnnel; (4) prcedures fr reprting accidents and nn-cnfrmities with the prvisins f the ISM Cde; (5) prcedures fr preparing fr and respnding t emergencies; and (6) prcedures fr internal audits and management reviews. e. T implement a SMS, a cmpany shuld dcument its management prcedures t ensure that cnditins, activities, and tasks, bth ashre and n bard, affecting safety and envirnmental prtectin are planned, rganized, executed, and checked in accrdance with statutry and cmpany requirements. f. The management dcumentatin describes and implements the SMS. Cmpanies are nt required t put the SMS int a manual frm but may instead chse t maintain the dcumentatin in sme ther frm cnsidered mre effective. Cmpanies shuld establish and maintain prcedures fr the cntrl f their SMS dcumentatin. These cntrls shuld ensure that: (1) valid dcuments are available at all relevant lcatins (including the ships); (2) changes t dcuments are reviewed and apprved by authrized persnnel; and (3) bslete dcuments are prmptly remved. g. T clarify the SMS fr a ship, the Administratin r RO's shuld determine that the cmpany respnsible fr the ship has implemented a SMS that cmplies with the requirements f the ISM Cde and that the cmpany perates the ship in accrdance with the apprved SMS. Upn apprval, the Administratin r RO issues the cmpany a Dcument f Cmpliance (DOC) and t each f its ships a Safety Management Certificate (SMC) cvered by the DOC. With respect t dcumentatin, a ship cmplies with SOLAS Chapter IX and the ISM Cde when its peratr hlds a valid DOC cvering that ship, and it hlds a valid SMC. (1) Dcument f Cmpliance (DOC). The Administratin r RO issues a DOC t an wner, manager, r barebat charterer fllwing an audit f their cmpany's SMS. The audit verifies whether the SMS cmplies with the requirements f the ISM Cde and that the cmpany effectively implements SMS prcedures and plicies. The DOC is valid fr the types f ships n which the cmpany's initial verificatin was based and addressed by that SMS. The Administratin r RO shuld issue the DOC fr n mre than five years and perfrm annual verificatins f the cmpany's DOC. Upn satisfactry annual verificatin, the Administratin r RO shuld endrse the cmpany's DOC. 4

5 (2) Safety Management Certificate (SMC). The Administratin r RO issues a SMC t a ship fr a perid which shuld nt exceed five years. The Administratin r RO issues the SMC after verifying that the cmpany and its shipbard management perate in accrdance with the apprved SMS. The Administratin r RO shuld perfrm at least ne intermediate-verificatin f ship's SMS. If the Administratin r RO cnducts nly ne intermediate-verificatin, it shuld take place between the secnd and third anniversary dates fthe SMC. (3) Interim Certificates. 8. PROCEDURES. (a) An interim DOC is valid fr n mre than twelve mnths (ISM Cde 14). The Administratin r RO may issue a DOC t facilitate implementatin f the ISM Cde when a cmpany is newly established r when the cmpany adds new ship types t an existing DOC. The Administratin r RO shuld issue an interim DOC certificate nly after the cmpany has demnstrated that it has an SMS that, at a minimum, meets the bjectives fr an SMS prvided in Sectin f the ISM Cde. The Administratin r RO shuld als ensure that the cmpany plans t implement an SMS meeting the full requirements f the ISM Cde within the perid f validity f the interim DOC certificate. (b) An interim SMC is valid fr n mre than six mnths (ISM Cde 14.2). The Administratin r RO may issue an interim SMC t new ships n delivery, when a cmpany takes respnsibility fr an existing ship which is new t the cmpany, r when the ship changes flag. In special cases, the flag Administratin may extend the validity f an interim SMC fr an additinal six mnths. The flag Administratin issues the interim SMC after verifying the fllwing: 1. The respnsible cmpany's DOC r interim DOC is relevant t that ship; 2. The SMS includes all key elements f the ISM Cde; 3. The master and relevant senir fficers are familiar with the SMS and the plans fr its implementatin; 4. The cmpany prvides essential instructins r training t the ship's crew identified by the SMS prir t sailing; 5. The respnsible cmpany plans an internal audit f the ship within three mnths; and 6. The relevant infrmatin f the SMS is in a wrking language r languages understd by the ship's crew. a. Cmpliance with SOLAS Chapter IX and ISM Cde Requirements. 5

6 (1) Pre-Arrival Screening. Freign ships must prvide the date f issuance f their DOC/SMC and the name f the Flag Administratin r the RO acting n its behalf, wh issued thse certificates prir t entry int the U.S. n the ship's Advance Ntice f Arrival (ANOA) (33 CFR ). If the COTP/OCMI cannt cnfirm that the ship hlds a valid SMCIDOC by verifying its ANOA, the COTP/OCMI shuld assign the ship Pririty I barding status and deny the vessel entry int prt. (2) Including ISM Cde Cmpliance in the PSC Examinatin. As part f all PSC examinatins cnducted in accrdance with reference (d), PSCOs shuld check t verify cmpliance with SOLAS Chapter IX and the ISM Cde. PSCOs shuld be alert fr any indicatins that majr nn-cnfrmities exist with the ship's SMS (i.e. the SMS nt implemented r nt used by the ship's persnnel). The identificatin f a majr SMS nn-cnfrmity by the PSCO is sufficient grunds fr the COTP/OCMI t take apprpriate enfrcement actins. Be advised that a majr nn-cnfrmity is a key indicatr f an invalid SMS. (a) Substantial nn-cmpliance fa ship's SMS t the requirements f the ISM Cde is indicative f a majr nn-cnfrmity (ISM Cde ). By definitin, a majr nn-cnfrmity is a deviatin frm SMS requirements that pses a serius threat t persnnel r ship safety, r a serius risk t the envirnment and requires an immediate crrective actin. (b) Als cnsidered a majr nn-cnfrmity is the lack f an effective and systematic implementatin f a requirement f the ISM Cde. It may take several bardings t identify a pr SMS. Accrdingly, PSCO's shuld review the ship's histry in rder t track repeated deficiencies. Fr example, an inperable fire pump repaired prir t departure is nt usually grunds t questin effective implementatin f the ship's SMS. Hwever, the deficiency taken with ther material deficiencies frm this and previus PSC examinatins, and evidence that the ship and/r cmpany is nt meeting SMS requirements fr reprting and crrecting deficiencies may lead t the determinatin that majr SMS nncnfrmities exist. The PSCO shuld t be able t distinguish between deficiencies that result frm nrmal vessel peratins (e.g. wear-and-tear, weather, peratinal envirnment) and thse deficiencies that exist due t systemic failure f the ship t implement its SMS. It is pssible fr wear-and-tear in the extreme (Le. lng-standing deficient cnditins), r in multiple systems, t be indicatrs fa failure f the SMS. Examples f such indicatrs are as fllws. 1. Evidence that the ship was nt taking crrective actin fr lng-standing nncnfrmities in accrdance with the cmpany's established preventative maintenance system, and 2. Evidence that the cmpany failed t address utstanding nn-cnfrmities reprted by the ship t the cmpany in accrdance with the ship's SMS. 6

7 (3) Clear Grunds and the Expanded Examinatin. PSCOs shuld cnduct an expanded examinatin when clear grunds lead the PSCO t believe that the ship has nt effectively implemented its SMS. Examples f cnditins that result in clear grunds fr an expanded exam include, but are nt limited t: (a) imprperly endrsed r expired ISM certificates; (b) lack f SMS dcumentatin; (c) crewmembers having insufficient knwledge f their required duties under the SMS; and/r (d) serius, lng-standing material deficiencies r systemic lack f maintenance f critical equipment/systems as identified in the ship's SMS. (4) Cnducting an Expanded Examinatin f the SMS. During the expanded SMS examinatin, the PSCO verifies the basic cmpnents f a SMS related t the bserved nn-cnfrmities. The PSCO als cnfirms that the Master and crew have a basic understanding f the SMS and their respnsibilities. The PSCO shuld verify relevant items frm the list belw using Part B f the Addendum t the Freign Vessel Examinatin Bk: (a) SMS dcumentatin (may be in the frm f a "Safety Management Manual") written in the wrking language f the ship, is n bard and includes r identifies: 1. cntrlled dcuments with revisin and/r issue dates r ther means f cntrl (ISM Cde 11.1); 2. safety and envirnmental prtectin plicy (ISM Cde 2); 3. the authrity f the master (ISM Cde 5); 4. essential r critical equipment (ISM Cde 10.3); 5. the name(s) r title(s) fthe cmpany's designated persn(s) (ISM Cde 4); and 6. prcedures fr reprting and analyzing nn-cnfrmities, accidents and hazardus ccurrences (ISM Cde 9). (b) The Master is familiar with the SMS (ISM Cde 6.1.2) ( c) Shipbard persnnel invlved with the SMS have an adequate understanding f the prcess. The ship's fficers shuld: 1. have knwledge f dcumented prcedures t be fllwed; 2. be familiar with dcumented preventative prcedures fr essential equipment; and 3. have knwledge f reprting requirements f a nn-cnfrmity. 7

8 (d) The cmpany's training prgram is in place fr all persnnel, including newly assigned r transferred persns, t enable all persnnel t be familiar with their duties. (e) The Master and Chief Engineer are familiar with the cmpany's internal audit prcedures. (f) The ship has an established maintenance system in which: 1. prcedures are dcumented in writing; 2. prcedures are readily available, in a wrking language(s) understd by thse wh must use them; and 3. prcedures are fllwed and recrds f maintenance are maintained. (g) The ship fllws established prcedures fr shipbard peratins cvering the fllwing areas as apprpriate. 1. Preventative Maintenance; 2. Navigatin Prcedures; 3. Bunkering Operatins; 4. Emergency Preparedness; 5. Pllutin Preventin Prcedures; 6. Technical Systems Operatins; and 7. Cmmunicatins Prcedures. (h) Audits cnducted as required by the ISM Cde. 1. Internal Audit. The cmpany cnducts internal audits t verify safety and pllutin preventin activities cmply with the SMS. These audits demnstrate the level f implementatin in assessing if the SMS is effective. The PSCO shuld nly seek evidence that the cmpany is cnducting internal audits at intervals specified in the cmpany's SMS dcumentatin. The PSCO shuld nt examine the recrds which result frm the audits fr specific nn-cnfrmities. Evidence f a prperly used SMS shuld shw that the cmpany r the ship's crew have identified these nn-cnfrmities and evaluated each fr crrective actin. These recrds are bjective evidence that the cmpany is cmplying with the ISM Cde and is finding, crrecting, and preventing the reccurrence f any deficiencies. The PSCO may ask the master if identified nn-cnfrmities were SOLAS-related. 2. External Audit. Althugh the ISM Cde des nt define external audits, they are literally the extensive undertakings invlved with the initial, renewal, intermediate, r fllw-up verificatins cmpleted by the Administratin r RO. If pssible, the PSCO shuld review the results f such external audits during an expanded examinatin nly. The gal f this audit is t prvide a systematic and independent examinatin t determine whether the ship effectively implements arrangements suitable t achieve the bjectives f the cmpany's SMS. When wrking with Flag Administratins r RO's t rectify ISM related nn-cnfrmities, the COTP/OCMI can nly 8

9 recmmend. but nt require an external audit. Althugh the Flag Administratin r RO auditr makes the final dispsitin fr the external audit, the Cast Guard (as a representative f the Prt State administratin) reserves the right f the COTP/OCMI t either accept r reject the audit findings and t take independent actin with regard t any restrictins placed n the ship. b. Enfrcement Actins fr Nn-Cnfrmities with the ISM Cde. (1) IMO-Related Detentins. An IMO related detentin cnsistent with SOLAS Chapter I, Regulatin 19 shuld be the primary curse f actin when there are clear grunds that a vessel subject t SOLAS is substandard and crrective measures are necessary. In such cases, an OCMI shuld cnsider revking r placing cnditins n the vessel's Certificate f Cmpliance (COC) relevant t the substandard cnditins identified. (2) COTP Orders. A COTP Order is an imprtant tl used when it is necessary t cntrl r restrict the vessel's mvement r peratins fr safety r security reasns. Only the COTP may use such an rder t implement a variety f cntrl actins, including cntrlling the vessel's mvement as it enters r departs a prt. The COTP may als use such an rder t expel a vessel frm prt. The COTP may initiate enfrcement actin if a ship fails t cmply with a COTP Order. A COTP Order may be used in additin t r in lieu f revcatin f a vessel's COC. Althugh, it is nt a substitute fr pursuing and prcessing a detentin and cmpleting the assciated ntificatins and administrative requirements under the applicable prvisins f SOLAS, the ISPS Cde, MARPOL, STCW, r the Lad Line Cnventin. (3) IMO Ntificatin Requirements. Whenever a freign vessel is denied entry int a prt r ffshre terminal, r is detained, the unit taking that actin must ntify the vessel's flag State as sn as pssible. The unit must als ntify the lcal ffice f the classificatin scieties r Recgnized Organizatin that issued the relevant certificates f the related detentin. The table entitled "IMO Detentin Ntificatin Respnsibility Chart," lcated in sectin C f NVIC 06-03, summarizes unit ntificatin respnsibilities and can be accessed at The G-MOC PSC Website at prvides pint f cntact infrmatin. (4) Ship Discvered in Prt withut valid ISM Cde Certificates. The COTP/OCMI shuld take the fllwing enfrcement actins if the COTP/OCMI discvers ships in prt withut the certificates required by SOLAS Chapter IX and the ISM Cde. (a) Ships Detained HMO-related Detentin) due t Missing ISM Certificates. 1. If the ship cannt transit safely t sea the COTP/OCMI shuld detain the ship and carefully cntrl the ship's mvement cmmensurate with the identified risks. 2. The COTP/OCMI shuld detain the ship under SOLAS Regulatin I119 fr nn-cmpliance with SOLAS Chapter IX and wrk with the Flag Administratin frthwith t rectify the situatin. Vilatin f SOLAS 9

10 Chapter IX subjects ships t cntrl measures by the COTP/OCMI, in accrdance with the prvisins f SOLAS Chapter I, Regulatin 19 and assciated guidelines fr prt state cntrl related t the ISM Cde cntained in sectin 3.7 fimo Reslutin A.882(21). 3. The COTP/OCMI shuld issue USCG Prt State Cntrl Reprt f Inspectin, Frm A (CG-5437 A) and USCG Prt State Cntrl Reprt f Inspectin, Frm B (CG-5437B) t the ship's master, citing the ship fr nt having a SMC and/r cpy f the DOC per SOLAS Regulatin IXl4. COTP/OCMls shuld scan and then bth Frms A and B and any related COTP Orders r dcuments t G-MOC-2 at fldr-g-mc@cmdt.uscg.mil via the chain-f-cmmand. 4. Ships fund in substantial nn-cmpliance with the ISM Cde may pse a serius threat t passengers and crew, be unable t cnduct safe carg peratins, r pse an unreasnable risk t the marine envirnment r ship safety. The COTP/OCMI must evaluate these risks and make a determinatin as t the apprpriateness f the ship retaining its Cast Guard issued COC until the ship crrects the unsafe cnditins. 5. If the COTP/OCMI finds that the ship des nt pssess an riginal f the SMC r a cpy f the DOC, then the COTP/OCMI may cmmence civil penalty actin (See 33 CFR (c) and 46 USC 3205(d)). The COTP /OCMI can release the ship nce the cmpany has addressed all deficiencies and nn-cnfrmities and has psted a bnd r ther surety t cver the amunt equal t the maximum civil penalty. (b) Ships Expelled frm Prt HMO-related Detentin) due t Invalid r N ISM Certificates. 1. If the ship can transit safely t sea, the COTP may nly expel the ship frm prt under the authrities in the Prts and Waterways Safety Act (PWSA), 33 U.S. Cde The PWSA prvides authrity fr the COTP t rder a ship frm prt when the ship pses a hazard t navigatin r the marine envirnment, r when a ship in prt is in vilatin f any regulatin, law, r treaty (See 33 USC 1223 (b)(1) and 33 CFR (a)). 2. The COTP shuld nt expel a ship if the ISM vilatins d nt cnstitute a hazard t navigatin in the prt f such a nature and severity that pses a serius threat t persnnel r ship safety, r a serius risk t the envirnment. 3. If the COTP expels the ship frm prt, the written COTP Order shuld indicate that the COTP will deny entry f the ship until the ship pssesses a valid SMC and a cpy f the cmpany's DOC and has implemented an effective SMS. COTP/OCMls shuld enter a Special Nte in MISLE indicating that the COTP/OCMI discvered the ship withut certificatin and has targeted the vessel as nn-cmpliant with ISM and the vessel must 10

11 prvide evidence f cmpliance with the ISM Cde prir t entering U.S. waters. COTP authrity nly applies t the COTP AOR and des nt extend t all U.S. waters. 4. The COTP/OCMI may allw the ship t leave prt if the cnditins established in 33 CFR (b) are satisfied. (5) Ship Discvered With Majr Nn-Cnfrmities During Expanded Examinatin. The COTP/OCMI shuld take the fllwing enfrcement actins if the PSCO identifies majr nn-cnfrmities during an expanded examinatin f a ship's SMS. (a) Ships Detained OMO-related Detentin) due t ISM Majr Nn-Cnfrmities. 1. If the PSCO identifies majr nn-cnfrmities during an expanded examinatin f a ship's SMS that indicate that the cmpany has nt implemented the SMS, the COTP /OCMI shuld detain the ship and ntify the flag immediately. 2. The COTP/OCMI shuld ntify the ship's Flag State r RO nting that the implementatin f the ship's SMS is in questin and shuld request that the Flag Administratin r RO attend the ship t determine if the ship is perating in cmpliance with the ISM Cde. 3. The COTP/OCMI shuld issue a USCG Prt State Cntrl Reprt 0/ Inspectin, Frm A (CG-5437 A) and the USCG Prt State Cntrl Reprt a/inspectin, Frm B (CG-5437B), citing specific ISM nn-cnfrmities. Nte that Frm A and Frm B are sufficient dcumentatin authrizing an IMO detentin; hwever, the COTP may execute a COTP Order under the authrity fpwsa, referring t SOLAS Regulatin 1119 t utline specific instructins related t the detentin and cnditins fr lifting the detentin. COTP/OCMIs shuld scan and then bth Frms A and B and related COTP Orders r dcuments t G-MOC-2 at fldr-g-mc@cmdt.uscg.mil via the chain-f-cmmand. 4. The COTP/OCMI may prhibit/suspend/restrict ship peratins, as apprpriate. The COTP/OCMI may place restrictins n carg/passenger peratins nly if the nn-cnfrmities make these peratins hazardus. If the COTP/OCMI detains a passenger ship due t majr ISM nncnfrmities, the COTP/OCMI shuld permit passengers t disembark. 5. The COTP/OCMI may release the ship after receiving a reprt frm the Flag State, r its RO, indicating that the ship cmplies with the ISM Cde. Furthermre, the COTP /OCMI may release the ship frm detentin after the cmpany has addressed all deficiencies and nn-cnfrmities. In additin, the respnsible cmpany shuld establish a set curse f actin fr updating r crrecting the ship's SMS in accrdance with its dcumented prcedures. The cmpany, nt the Prt State, sets crrective actin deadlines fr nn-cnfrmities. 11

12 6. If the COTP/OCMI verifies that the ship has a valid SMS, but has detained the ship due t deficiencies assciated with ther internatinal requirements (i.e. STCW, MARPOL, ICLL, r SOLAS), the PSCO shuld ensure that the ship used the prcedures as utlined in the SMS t crrect the material deficiencies. Prir t releasing the ship frm detentin, the COTP /OCMI shuld require the ship t crrect the material deficiencies that led t detentin. If the PSCO identifies any nn-cnfrmity in the ship's SMS, the COTP/OCMI shuld require the ship t initiate steps t crrect these deficiencies. (b) Ships Expelled frm Prt due t ISM Majr Nn-cnfrmities. 1. The COTP may nt expel a ship frm prt slely fr nn-cmpliance with the ISM Cde. The law des nt give the Cast Guard the authrity t expel a ship slely fr a vilatin f the ISM Cde. When there are instances where a nn-cmpliant ship pses a danger t the prt and its infrastructure (33 USC 1223), then the Cast Guard may expel the ship under the PWSA authrity. Additinally, the ship's cmpany shuld sufficiently address any existing cnditins that pse a threat t the ship, crew, r envirnment befre the COTP expels the ship frm prt. 2. Expulsin rders must cite the apprpriate PWSA authrity articulating the reasns the ship's peratin pses an unreasnable threat t the safety f the prt, ship r the marine envirnment. ( c) Ships Denied Entry due t ISM Majr Nn-cnfrmities. 1. When ships arriving are in substantial nn-cmpliance with the ISM Cde, the COTP shuld ntify the master and require adequate prf f cmpliance with the ISM Cde and deny the ship entry int the prt. Upn acceptable verificatin f the ship's cmpliance with the ISM Cde, the COTP shuld allw the vessel entry. Dcuments fr cnsideratin may include prviding cpies f the ships SMC, DOC, r evidence that the cmpany dwngraded majr nn-cnfrmities t nn-cnfrmities r cnducted additinal audits/reviews indicating a prcess f cntinued imprvement fthe ship's SMS. 2. Shuld the ship's management nt be able t prvide acceptable verificatin f ISM Cde cmpliance, the lcal COTP shuld issue an rder denying the ship entry and with all apprpriate ntificatins made in accrdance with NVIC (series). The COTP/OCMI shuld make the earliest ntificatin f denied entry t G-MOC-2 t facilitate cnsistency f the enfrcement plicy, ensure all infrmatin is available fr internal and utside agency briefings, and dcument apprpriate MISLE entries. 3. COTP/OCMIs shuld enter a Special Nte in MISLE describing the ship's nn-cmpliance with the ISM Cde. The COTP/OCMI shuld ensure the ship has taken acceptable measures t crrect the ship's nn-cmpliance with the ISM Cde prir t the ship entering U.S. waters. 12

13 4. COTPs may allw a freign vessel entry int U.S. waters if the vessel is under frce majeure as cntained in 33 CFR (6) Vessel Targeting Related t IMO related Detentins due t ISM Majr Nn Cnfrmities. (a) If the COTP denies a vessel entry, expels a vessel frm prt (when permitted), r detains a vessel due t nn-cmpliance with the ISM Cde, the COTP/OCMI shuld dcument these vessel peratinal cntrls int MISLE t ensure accurate targeting and evaluatin f individual ships. (b) Whenever a freign vessel has an interventin leading t IMO-related detentin, the COTP/OCMI must cnduct several ntificatins. The table entitled "IMO Detentin Ntificatin Respnsibility Chart," lcated in sectin C fnvic 06-03, summarizes unit ntificatin respnsibilities and can be accessed at The G-MOC PSC Website at prvides pint f cntact infrmatin. (c) G-MOC reprts all detentins f ships due t ISM Cde deficiencies t the IMO in accrdance with SOLAS Chapter I, Regulatin FORM AVAILABILITY. CG-840 inspectin bks can be retrieved at and reprduced lcally. The ISM Cmpliance Assessment Tl (CG-840G addendum) can be retrieved at g-mlpscweb/publicatin.htm and reprduced lcally. :J1I-:~ T. H. GILMOUR REAR ADMIRAL, U.S. COAST GUARD ASSISTANT COMMANDANT FOR MARINE SAFETY, SECURITY AND ENVIRONMENTAL PROTECTION Enc1: (1) Sample COTP Order (2) ISM Cmpliance Assessment Tl (CG-840G addendum) 13

14 Enclsure (1) t NVIC [Insert apprpriate letterhead] Master/Owners MN: IMO#: Dear Sir r Madam: 1. The wners, r ther cmpanies respnsible fr the ship's peratin, are required t implement a safety management system n bard their ships certified by their Administratin r Recgnized Organizatin acting n the Administratin's behalf. Evidence f cmpliance with the ISM Cde shuld be in the frm f a Dcument f Cmpliance (DOC) issued t the cmpany respnsible fr the ship's peratin and a Safety Management Certificate (SMC) certifying that the cmpany has prperly implemented the safety management system n bard. 2. On (date), yur ship was subject t a Prt State Cntrl (PSC) examinatin which included a check fr cmpliance with the ISM Cde. At that time, the ship had nt yet achieved the necessary certificatin t indicate cmpliance with the ISM Cde. 3. If yur ship attempts t enter a U.S. prt withut being in cmpliance with the ISM Cde, the Cast Guard will deny the ship entry t all U.S. prts. If the ship is fund in prt withut being in cmpliance, it will be detained and prhibited frm cnducting carg/passenger peratins [Fr passenger vessels, COTP may allw passenger disembarkatin]. In additin, civil penalty actin will be initiated against yur ship and yur Flag Administratin will be ntified. Upn cmpletin f a thrugh PSC examinatin t attest t the vessel's material cnditin, absent evidence f cmpliance with the ISM Cde, the U.S. Cast Guard will rder the ship t leave prt, withut lading r unlading f carg/passengers, and will prhibit the ship frm further U.S. prt calls. 4. The U.S. Cast Guard will dcument yur ship's present lack fism Cde certificatin int the U.S. Cast Guard's cmputer database and will share this infrmatin with ther internatinal PSC authrities. If yu have any questins regarding the U.S. Cast Guard's enfrcement plicy fr the ISM Cde yu may cntact the U.S. Cast Guard's Office f Cmpliance (G-MOC) at: Cmmandant (G-MOC) 2100 Secnd Street, SW Washingtn, DC Sincerely, [Insert Signature]

15 Enclsure (2) t NVIC ISM COMPLIANCE ASSESSMENT TOOL (CG-840G addendum) When elevating a PSC Exam t an Expanded Examinatin f the Safety Management System, the PSCO may use this ISM Cmpliance Assessment Tl. ISM Cde Reference ISM Guidelines ISM Guidelines ISM Cde 1.4 ISM Cde 4 ISM Cde 5 ISM Cde 6 ISM Cmpliance Assessment Tl Descriptin f Nn-Cnfrmity (NC) Are deficiencies present that pse a serius threat t persnnel, the ship, r serius risk t the envirnment, and that require immediate crrective actin? Is there an apparent lack f effective and systematic implementatin f a requirement f the ISM Cde? If s, des such apparent failure apply t: The adherence t the ship's apprved, self-develped Safety Management System? The respnsiveness f the Cmpany's Designated Persn(s) t the ship's nn-cnfrmity reprting and requests fr assistance/crrective actin? The Master's defined respnsibilities, authrity, and his perfrmance f thse respnsibilities? Critical crewmember's knwledge and familiarity with the shipspecific SMS? Prblem Apparent ISM Cde Are the SMS-specified reprting and dcumentatin prcedures 1.4, 7, 8, 9, being fllwed? (Nte: This is a brad, catchall tpic. Use 10,11,12 judiciusly when hard dcumentatin fncs psing serius threat are apparent due t the lack f adherence t the reprting and / dcumentatin requirements thrughut the Cde. Cite the specific ISM Cde Cde ref jr the evidence discvered.) 10 D the maintenance prcedures fr the ship systems identified in f-i-s-m-c--d-e---1 the SMS; include frequency, scpe, and dcumentatin fr the 6 maintenance and necessary crrective actin(s)? Des the verall perfrmance f the crew indicate that they have been trained t perfrm their assigned tasks in accrdance with the training needs identified in the SMS? Familiarity with the Cde is critical t the identificatin f specific SMS breakdwns. The PSCO must dcument n the barding reprt (Frm B) thse items suspected t be ISM-related deficiencies, citing the ISM Cde element(s) assciated with the nn-cnfrmity (deficiency). The thrughness f the explained nn-cnfrmity will play an essential rle in the external audit, enabling the Auditr fr the RO t fcus n the nn-cnfrmities identified by the PSCO as the impetus fr the external audit. Yes N

16 Enclsure (2) t NVIC Cnducting the Expanded Exam The purpse f the expanded exam is t identify the weak r neglected areas f the ship's SMS. The PSCO can take a clear snapsht f the system by fcusing n six key elements f the SMS: Designated Persn, Sectin 4, ISM Cde Master's Respnsibilities, Sectin 5, ISM Cde Resurces and Persnnel, Sectin 6, ISM Cde Nn-Cnfrmities, Accidents and Hazardus Occurrences, Sectin 9, ISM Cde Maintenance, Sectin 10, ISM Cde Dcumentatin, Sectin 11, ISM Cde The fllwing tables list a series f questins the PSCO may ask during an Expanded Exam: ISM Element Designated Persn, Sectin 4, ISM Cde Master's Respnsibilities, Sectin 5, ISM Cde Captain, wh is yur Designated Persn Ashre (DP A)? Are yu in regular cntact with this Hw d yu cntact this persn? Captain, may I please see yur SMS manual? and Safety Plicy in yur wn wrds? Did yu receive training fr yur SMS duties prir t taking cmmand? May I see the dcumentatin fr that training? persn? Questin Can yu explain the cmpany's Quality D yu feel that yu can take all necessary actin t prtect the ship, crew and envirnment in the case f emergency withut apprval frm the cmpany? Hw ften are yu required t cnduct a Master's review fthe SMS? Can yu shw me the prcedures fr this review and dcumentatin f yur last review? Hw ften is the cmpany required t cnduct an internal audit? Can yu shw me the prcedures fr internal audits and dcumentatin fr the last internal audit? Remarks Cautin, d nt make this an interrgatin prcess. Use cmmn sense and a nn-judgmental attitude. Review the SMS manual and any dcumentatin presented. If it appears the Captain has a gd grasp f the prgram mre alng and d nt belabr the prcess. 2

17 Enclsure (2) t NVIC Resurces and Captain, can yu shw me the prcedures As abve Persnnel, fr change f cmmand? D yu have Sectin 6, ISM dcumentatin f this activity? Cde Captain, are yu required t familiarize new jining crew with there duties when they jin the ship? Can yu shw me the prcedures and dcumentatin f this activity? Ask the fllwing questin Captain, may I interview yur crew? t key crewmembers. Questins fr the Chief Officer Mate, did yu receive training in yur SMS duties by the cmpany prir t reprting nbard the ship? D yu have dcumentatin fthis activity? IOPP, Certificate f What certificate indicates the types f Fitness, Sub 0 carg this ship may lad? Endrsement What publicatin wuld assist yu in knwing the prper handling prcedures fr these cargs? Can yu shw me the prcedures fr drafting a stwage plan? Can yu explain the ship's stability calculatins? What shipbard manual wuld assist yu in develping these calculatins? Can yu shw me the prcedures in yur SMS fr making a tank safe fr entry? Can I see the dcumentatin fr the last such tank entry? What are the requirements fr the use f persnal prtective equipment in yur SMS? Can yu shw me the prcedures in yur manual? Questins fr the Secnd Mate Secnd, did yu receive training in yur SMS duties prir t assuming them nbard the ship? Are yu respnsible fr vyage planning? Can yu shw me the prcedures in yur SMS fr drafting a vyage plan? Can yu shw me the mst recent vyage plan? BCH Cde, ISGOTT, etc. Stability Bk 3

18 Enclsure (2) t NVIC Are yu respnsible fr chart crrectins? Can yu shw me dcumentatin f this activity? Can yu shw me the prcedures fr making the ship ready t get underway? Can yu shw me dcumentatin f this activity? What nautical publicatins are yu required t maintain nbard the ship? Questins fr the Chief Engineer Chief, did yu receive training in yur SMS duties frm the cmpany prir t assuming them nbard? D yu have dcumentatin f that training? Can yu shw me the prcedures fr bunkering the ship? D yu have dcumentatin f this activity? Can yu shw me the prcedures fr reprting damage t machinery and assciated systems in yur SMS? Can yu shw me yur last damage reprts? What equipment nbard is critical equipment in yur SMS? Can yu shw me the prcedures fr perfrming preventive maintenance in yur SMS? Can yu shw me when the last PM was dne t the OWS (r any ther identified critical piece f equipment)? Chief, des yur SMS require yu t issue night rders? May I see yur last set f night rders? NOTE: At this pint in the expanded exam, the PSCO shuld have a clear idea f the senir fficers knwledge and cmpliance with SMS requirements. 4

19 Enclsure (2) t NVIC The fllwing line f questining deals mre specifically with the deficiencies identified during the barding. ISM Element Questin Remarks Nn- Captain, what is the definitin f a The PSCO shuld determine cnfrmities, nn-cnfrmity in yur SMS? thrugh this line f questining Accidents and Can yu give me sme examples f if any f the deficiencies nted Hazardus issues yu wuld raise a nn- are cnsidered nn- Occurrences, cnfrmity? cnfrmities in the ship's Sectin 9, ISM Are damages t equipment and ship SMS. Cde structure cnsidered nn-cnfrmities Deficiencies with critical in yur system? equipment will always be nn- Wh is authrized t raise a nn- cnfrmities. Maintenance, Sectin 1O, ISM Cde: cnfrmity in yur SMS? Can yu shw me the prcedures fr reprting nn-cnfrmities t the cmpany? I see here in yur prcedures that several f the deficiencies I have nted are cnsidered nn-cnfrmities in yur SMS. Can yu shw me dcumentatin n reprting these deficiencies t yur cmpany in accrdance with yur SMS prcedures? Captain, may I interview yur Chief (Mate/Engineer based n the department with deficiencies)? Chief Mate, culd yu shw me yur maintenance prcedures related t maintaining cmpliance with yur Lad Line certificate? Chief Mate, I see here yur maintenance prcedure requires inspectin f the carg hld hatch cvers, camings and hlds prir t lading, d yu have dcumentatin f this activity? NOTE: (1) Inspectin rutines carried ut and dcumented in the SMS shuld reflect the true cnditin f the equipment r ship structure. (2) Cntinued n next page 5

20 Enclsure (2) t NVIC NOTE (cntinued): (2) Nn-cnfrmity may exist if: The dcumented inspectin activity identifies the equipment r structure as "OK" and the PSCO finds it damaged The maintenance prcedures exist but are nt carried ut, Maintenance prcedures d nt exist fr the equipment r Structure fund damaged and damage was sufficient enugh t render the ship nn-cmpliant with the related certificate. The PSCO shuld cntinue questining the individual respnsible fr the related maintenance f deficient equipment r structure until he/she has a clear understanding f why deficiencies exists. In general, maintenance prblems will fit int fur categries: Lack f training in prper inspectin and maintenance rutines. Lack f prcedures n specific items r areas requiring inspectin and maintenance. Lack f implementatin f cmpany maintenance prcedures. Lack f supprt frm the cmpany One r all f these categries may cntribute t the cnditins fund nbard. ISM Element Questin Remarks Dcumentatin, Captain, can yu explain t me hw All prcedures, frms, Sectin 11, ISM yur cmpany maintains cntrl f schedules and checklists Cde SMS dcuments? identified in the SMS must be Can yu shw me the list f cntrlled. This means they cntrlled dcuments (May als be shuld have a cntrl number called a frms list)? and revisin date n the I see here n yur cntrl list a dcument and be registered n Damage Reprt Frm N.xxxxx, a cntrl list. can yu shw this frm in yur SMS? Verify prper frm Hw are bslete dcuments identificatin number and dispsed f? revisin date, matching the cntrl list. Check several ther frms. Typically the cmpany wants them sent back s they knw they have been remved. 6