67S - 2M - INTRODUCTION TO SOLAS, ETC.pptx

INTRODUCTION TO SOLAS, LOAD LINES, MARPOL, ISM, ISPS AND STCW
NOTES BY:
CAPT. PARVINDER SINGH
BHATIA
UPDATED: 12 SEP 2020

IMPORTANT INSTRUMENTS OF IMO CONVENTIONS
• CONVENTIONS:
• A Convention is formal agreement between States and is usually an instrument
negotiated under an International Organisation.
• For example, Shipping has many conventions that were negotiated under
International Maritime organisation (IMO).
• Some of these are:
• International convention on safety of life at sea (SOLAS).
• International convention for prevention of pollution at sea (MARPOL).
• International convention on Load Lines.
• Conventions generally have several sub-parts, which would describe in details
various aspects of the subject defined by that particular convention.
• For e.g. MARPOL convention has six parts which are known as annexes.
• Each of this annex deals with different aspect of marine pollution.
• It is also possible that details given within a convention are put under an
associated code which provides further technical details of that aspect.
• For e.g. the Life saving appliances (LSA) code gives details for minimum
requirements for safety equipment used on board ships.

• PROTOCOLS:
• Protocol is an important instrument used by the IMO to introduce changes to
conventions, which are already adopted but not yet entered into force.
• For e.g. SOLAS convention 1973 was amended twice using protocols – by 1978
SOLAS protocol which entered into force in 1st
May 1981 and by 1988 SOLAS
protocol which entered into force on 3rd
Feb 2000.
• Both the protocols are now known as SOLAS 74/78 and SOLAS 74/88.
• AMENDMENTS:
• Amendments are major changes that are brought into action using protocols.
• Amendments are the reforms that are needed in a convention and are backed by
the protocols.
• For e.g. Because of several accidents at sea, there was an urgent need to change
the MARPOL 1973 convention in 1970s.
• These changes or amendments were brought into action by the combined
convention-protocol instrument called MARPOL 73/78 on 2nd
October 1983.
• TREATY: It is a formal agreement between two states signed by official
representatives of each state.

• RECOMMENDATIONS, CODES AND GUIDELINES:
• Recommendations are mainly guidelines which are not legally
accepted.
• They are not formal documents like Convention or Protocol but
are a list of recommended practices that are closely linked to
conventions. For e.g. timber Deck Cargo Code.
• Recommendations can also be guidelines which are waiting to be
accepted by the IMO.
• Recommendations are not legally binding, some Governments
might apply them in whole or in part.
• Codes and Guidelines can be both mandatory and non
mandatory.
• Codes such as ISM and IBC codes are mandatory and are a part of
a parent Convention or Protocol.
• MSC- Maritime Safety Committee Circulars are Non Mandatory.

• RESOLUTIONS:
• Resolutions are the finalized documents which are accepted by the
IMO or any of the main body under IMO.
• They generally result from an agreement on a Recommendation or
Amendment.
• Resolution passed by the assembly is denoted in a peculiar manner.
• E.g. Resolution A. 586 (XIV)
• A = Assembly.
• 586 = Serial number of Resolution.
• XIV = Made by the 14th session of the Assembly.
• E.g. MEPC. 54 (32)
• MEPC = Marine Environment Protection Committee.
• 54 = Serial number.
• 32 = 32nd Session of the Committee.

The International Convention for the Safety of Life at Sea (SOLAS)
• Objectives:
• To specify minimum standards for the construction, equipment
and operation of ships, compatible with their safety.
• Flag States are responsible for ensuring that ships under their flag
comply with its requirements and a number of certificates are
prescribed in the Convention as proof that this has been done.
• Contracting Governments can inspect ships of other Contracting
States if there are clear grounds for believing that the ship and its
equipment do not substantially comply with the requirements of
the Convention and this procedure is known as Port State Control.
• Thecurrent SOLAS Convention includes Articles setting out general
obligations, amendment procedure and so on, followed by an
Annex divided into 14 Chapters.

• Introduction of SOLAS:
• SOLAS was originally introduced as a response to the Titanic disaster in 1914. The second
treaty came in 1929, the third 1948 and the fourth 1960.
• It was adopted on November 1st, 1974 and entered into force on May 25th 1980.
• The Convention in force today known as SOLAS, 1974 includes the tacit (accepted unless
objected) acceptance procedure. This means that any amendments to the SOLAS regulations
will enter into force on a specified date unless objections are received from an agreed
number of parties.
• Due to this, the 1974 Convention has been updated and amended regularly to cover all issues
regarding safety at sea, including sea pollution and trading.
• Application:
• It applies only to ships engaged on International voyages.
• It does not apply to:
• 1. Warships.
• 2.Cargo ships of less than 500 GT.
• 3. Non propelled ships.
• 4. Wooden ships.
• 5. Non commercial pleasure yachts.
• 6. Fishing vessels.

• Chapters: ( Total-14)
• Chapter I - General Provisions:
Includes regulations concerning the survey of the various types of ships and the issuing of documents
signifying that the ship meets the requirements of the Convention. Also includes provisions for the control of
ships in Ports of other Contracting Governments.
• Chapter II-1 - Construction - Subdivision and stability, machinery and electrical installations:
• Deals with water tight integrity of the ship, especially for Passenger on the vessel.
• Chapter II-2 - Fire protection, fire detection and fire extinction:
• This chapter elaborates the means and measure for fire protection in accommodation, cargo spaces and
engine room for passenger, cargo and tanker ship.
• Chapter III - Life-saving appliances and arrangements:
The Chapter also includes requirements for life boats, rescue boats and life jackets according to type of ship.
• Chapter IV – Radio communications:
• The Chapter is closely linked to the Radio Regulations of the (ITU) - International Telecommunication Union.
• Chapter V - Safety of navigation:
• This chapter deals with all the sea going vessels of all sizes and includes passage planning, navigation and
distress signal.
• Chapter VI - Carriage of Cargoes:
• This chapter defines storage and securing of different types of cargo and containers, but does not include oil
and gas cargo. The Chapter requires cargo ships carrying grain to comply with the International Grain Code.
• Chapter VII - Carriage of dangerous goods:
• Defines International Maritime Goods Code for storage and transportation of dangerous goods.

• Chapters: ( Total-14) - (Continued)
• Chapter VIII - Nuclear ships:
• The chapter states code of safety for nuclear propelled ship.
• Chapter IX - Management for the safe operation of ships:
• The International Safety Management code for ship owner and operator is described
clearly.
• Chapter X - Safety measures for high-speed craft:
• Chapter XI-1 - Special measures to enhance maritime safety:
• Chapter XI-2 - Special measures to enhance maritime security:
• Special and enhanced survey for safe operation, other operational requirements and ISPS
code is briefed in this chapter.
• Chapter XII - Additional safety measures for bulk carriers:
• Includes safety requirement for above 150 meters length of bulk carrier.
• Chapter XIII - Verification of compliance
• Makes mandatory from 1 January 2016, the IMO Member State Audit Scheme.
• Chapter XIV - Safety measures for ships operating in polar waters
• The chapter makes mandatory, from 1 January 2017, the Introduction and part I-A of the
International Code for Ships Operating in Polar Waters (the Polar Code).

SPECIAL MEASURES TO ENHANCE MARITIME SECURITY – SOLAS CH XI-2-CONTENTS
• REGULATIONS:
• 1. DEFINATIONS.
• 2. APPLICATIONS: The ISPS Code applies to the following types of ships engaged on International
voyages:
• .1 Passenger ships, including high-speed passenger craft.
• .2 Cargo ships, including high-speed craft, of 500 gross tonnage and upwards.
• .3 Mobile offshore drilling units.
• Port facilities serving such ships engaged on international voyages.
• 3. OBLIGATIONS OF CONTRACTING GOVERNMENTS WITH RESPECT TO SECURITY:
• Contracting Governments shall set security levels and ensure the provision of security level information
to Port facilities with in their territory and to ships prior entering Port or while in Port with in their
territory.
• 4. REQUIREMENTS FOR COMPANIES AND SHIPS:
• Companies shall comply with the relevant requirements of Part A taking in to account of guidance given
in Part B of the ISPS code.
• 5. SPECIFIC RESPONSIBILITIES OF COMPANIES:
• The company shall ensure that Master has available on board who is responsible for appointing Crew
and deciding the employment of the ship.
• 6. SHIP SECURITY ALERT SYSTEM:
• Ship’s applicable to, points of activation, what happens when activated, etc.
• 7. THREATS TO SHIP:
• When a risk of attack has been identified then contracting Governments shall advise ships and their
Administrations of security level and points of contact for requesting advise and assistance as required.

SPECIAL MEASURES TO ENHANCE MARITIME SECURITY – SOLAS CH XI-2-CONTENTS
• REGULATIONS: (Cont’d)
• 8. MASTER’S DISCRETION OF SHIP SAFETY AND SECURITY:
• The Master shall not be constrained by Company or other parties from taking or executing any decision which,
in the professional judgment of Master is necessary to maintain Safety and security of ship.
• 9. CONTROL AND COMPLIANCE MEASURES:
• 1. To ensure control of ships in Port, the ship should have a valid International ship security certificate or
Interim International ship security certificate.
• 2. Ships intending to enter Port of another Contracting Government provide information prior entry to Port
about possessing a valid International ship security certificate, security level of ship and other practical ship
security information.
• 10. REQUIREMENT FOR PORT FACILITIES:
• Port facilities shall comply with the relevant requirements of Part A taking in to account of guidance given in
Part B of the ISPS code.
• 11. ALTERNATIVE SECURITY AGREEMENTS:
• Contracting Governments may have a agreement with other Contracting Governments on alternative security
arrangements covering short International Voyages on fixed routes between port facilities located in their
territories.
• 12. EQUIVALENT SECURITY ARRANGEMENTS:
• An Administration may allow a particular ship or group of ships entitled to fly its Flag to implement other
security measures which are at least effective as those contained in Part A of the code.
• 13. COMMUNICATION OF INFORMATION:
• Contracting governments shall communicate to the Organization and shall make available for the information
of companies and ships of names and contact details of their National authority responsible for ship and Port
facility security, the locations with in their Territory covered by the approved port facility security plans, etc.

SHIP BOARD MUSTER LIST
• (a) General: Clear instructions must be provided on the vessel that detail the actions
each person on board should follow in the event of an emergency.
• (b) Muster list and emergency instructions:
• Clear instructions to be followed in the event of an emergency shall be provided for
every person on board. In the case of passenger ships these instructions shall be drawn
up in the language or languages required by the ship's flag State and in the English
language.
• Muster lists and emergency instructions shall be exhibited in conspicuous places
throughout the ship including the navigation bridge, engine-room and crew
accommodation spaces.
• Illustrations and instructions in appropriate languages shall be posted in passenger
cabins and be conspicuously displayed at muster stations and other passenger spaces
to inform passengers of:
• .1 their muster station;
• .2 the essential actions they must take in an emergency.
• .3 the method of donning lifejackets.
• The muster list must be posted before the vessel begins its voyage.
• After the muster list has been prepared, if any change takes place that necessitates an
alteration in the muster list, the Master must either revise the existing muster list or
prepare a new one.

SHIP BOARD MUSTER LIST
• Each Muster list must at least specify :
• (1) The instructions for operating the general emergency alarm system and public
address system;
• (2) The emergency signals;
• (3) The actions to be taken by the persons on board when each signal is sounded;
• (4) How the order to abandon the vessel will be given.
• (5) The Officers that are assigned to make sure that lifesaving and firefighting
appliances are maintained in good condition and ready for immediate use;
• (6) The duties assigned to the different members of the crew. Duties to be
specified include:
• (i) Preparing and launching the survival craft;
• (iv) Preparing other lifesaving appliances;
• (v) Mustering the passengers and other persons on board;
• (vi) Using communication equipment;
• (vii) Using firefighting equipment and installations.
• (7) The duties assigned to members of the crew in relation to passengers and
their persons on board in case of an emergency.

International Convention for the Prevention of Pollution from Ships (MARPOL)
• Short note on MARPOL:
• MARPOL is short for Marine pollution.
• The convention superseded its predecessor, the convention for the Prevention of
Pollution of the sea by oil (OILPOL 1954).
• The International Convention for the Prevention of Pollution from Ships (MARPOL)
is the main international convention covering prevention of pollution of the
marine environment by ships from operational or accidental causes.
• The Convention currently includes Six Technical Annexes.
• It is a combination of two treaties adopted in 1973 and 1978 respectively and
updated by amendments through the years.
• Special Areas with strict controls on operational discharges are included in most
Annexes.
• APPLICATION:
• All ships with the flag of a State member of the Convention or that operate within
its jurisdiction.
• Vessels of any type, operating in the marine environment including hydrofoil boats,
air-cushion vehicles, submersible, floating craft and fixed or floating platforms.

• Why MARPOL is called as MARPOL 73/78?
• The treaty had not yet come into force when, in 1978, some high-profile oil tanker
environmental disasters motivated the international law community, acting through
the International Maritime Organization, to amend the 1973 version so that by the time
it was formally released for acceptance by individual states, it included both the original
1973 version and the 1978 amendments; hence, “MARPOL 73/78".
• Define under MARPOL:
• Special Areas are defined under MARPOL Annexes I, IV and V as sea areas where, for
recognized technical reasons in relation to their oceanographical and ecological
conditions and to the particular character of their sea traffic, the adoption of special
mandatory methods for the prevention of pollution of the sea from ships by oil, sewage
or garbage, as applicable, is required.
• Emission Control Areas (ECA) are defined under MARPOL Annex VI as areas where the
adoption of special mandatory measures to regulate emissions from ships is required to
prevent, reduce and control air pollution from NOX and/or SOX and/or particulate
matter (PM) and their attendant adverse impacts on human health and the
environment.
• Particularly Sensitive Sea Areas (PSSA) are sea areas needing special protection through
action by IMO because of their recognized ecological, socio-economic or scientific
attributes which may be vulnerable to damage by international shipping activities.

• Briefly describe the Six Annexes and their entry in to force?
• Annex I Regulations for the Prevention of Pollution by Oil (entered into force 2 October 1983):
• Covers prevention of pollution by oil from operational measures as well as from accidental discharges.
The 1992 amendments to Annex I made it mandatory for new oil tankers to have double hulls and
brought in a phase-in schedule for existing tankers to fit double hulls, which was subsequently revised
in 2001 and 2003.
• Annex II Regulations for the Control of Pollution by Noxious Liquid Substances in Bulk (entered
into force 2 October 1983):
• Details the discharge criteria and measures for the control of pollution by noxious liquid substances
carried in bulk; some 250 substances were evaluated and included in the list appended to the
Convention; the discharge of their residues is allowed only to reception facilities until certain
concentrations and conditions (which vary with the category of substances) are complied with.
• In any case, no discharge of residues containing noxious substances is permitted within 12 miles of
the nearest land.
• Annex III Prevention of Pollution by Harmful Substances Carried by Sea in Packaged Form (entered
into force 1 July 1992):
• Contains general requirements for the issuing of detailed standards on packing, marking, labeling,
documentation, stowage, quantity limitations, exceptions and notifications.
• For the purpose of this Annex, “harmful substances” are those substances which are identified as
marine pollutants in the International Maritime Dangerous Goods Code (IMDG Code).

• Briefly describe the Six Annexes and their entry in to force? (Continued)
• Annex IV Prevention of Pollution by Sewage from Ships (entered into force 27 September
2003)
• Contains requirements to control pollution of the sea by sewage; the discharge of sewage into
the sea is prohibited, except when the ship has in operation an approved sewage treatment
plant or when the ship is discharging comminuted and disinfected sewage using an approved
system at a distance of more than three nautical miles from the nearest land; sewage which is
not comminuted or disinfected has to be discharged at a distance of more than 12 nautical
miles from the nearest land.
• Annex V Prevention of Pollution by Garbage from Ships (entered into force 31 December
1988)
• Deals with different types of garbage and specifies the distances from land and the manner in
which they may be disposed of; the most important feature of the Annex is the complete ban
imposed on the disposal into the sea of all forms of plastics.
• Annex VI Prevention of Air Pollution from Ships (entered into force 19 May 2005)
• Sets limits on sulphur oxide and nitrogen oxide emissions from ship exhausts and prohibits
deliberate emissions of ozone depleting substances; designated emission control areas set more
stringent standards for SOx, NOx and particulate matter. A chapter adopted in 2011
covers mandatory technical and operational energy efficiency measures aimed
at reducing greenhouse gas emissions from ships.

LIST OF SPECIAL AREAS OF MARPOL ANNEXES
• Annex I: (10)
• The Mediterranean sea area
• The Baltic sea area
• The Black sea area
• The Red sea area
• The Gulf area
• The Gulf of Aden area
• The Antarctic Area
• The North-West European Waters
• Oman area of the Arabian Sea
• Southern South African Water
• Annex II: The Antarctic Sea Area
• Annex IV: The Baltic Sea
• Annex V: (08)
• The Mediterranean sea area
• The Baltic sea area
• The Black sea area
• The Red sea area
• The Gulf area
• The North Sea area
• The Antarctic Area (south of latitude 60 degrees south)
• The Wider Caribbean Region including the Gulf of Mexico and the Caribbean Sea

• List the Emission Control Areas under Annex VI
• Baltic Sea (SOx, NOx).
• North Sea (SOx, NOx).
• North American (NOx, SOx and PM).
• United States Caribbean Sea (NOx, SOx and PM).
• A Particularly Sensitive Sea Area (PSSA) :
• Is an area that needs special protection through action by IMO because of its significance for recognized
ecological or socio-economic or scientific reasons and which may be vulnerable to damage by
international maritime activities.
• List a few Particularly Sensitive Sea Areas (PSSA)?
• The Great Barrier Reef, Australia (designated a PSSA in 1990).
• The sea around the Florida Keys, United States (2002).
• Western European Waters (2004).
• Canary Islands, Spain (2005).
• Tubbataha Reefs Natural Park, the Sulu Sea, Philippines (2017).
• How can a PSSA be protected by ships?
• A PSSA can be protected by ships routeing measures. An area within defined limits in which either
navigation is particularly hazardous or it is exceptionally important to avoid casualties and which should
be avoided by all ships, or by certain classes of ships.
• What major modification to MARPOL, concerning surveys and certification, came into force in
February 2000?
• The Harmonized System of Survey and Certification (HSSC).

International Convention on Load Lines
• SHORT NOTE:
• Limitations on the draught to which a ship may be loaded make a significant contribution to her safety
and these limits are given in the form of freeboards, which constitute, besides external weather tight and
watertight integrity, the main objective of the Convention.
• The regulations take into account the potential hazards present in different zones and different seasons
and contains several additional safety measures concerning doors, freeing ports, hatchways and other
items. The main purpose of these measures is to ensure the watertight integrity of ships' hulls below the
freeboard deck.
• It was adopted on 5th
April, 1966 and entered into force on 21st July 1968.
• All assigned load lines must be marked amidships on each side of the ship, together with the deck line.
• Ships intended for the carriage of timber deck cargo are assigned a smaller freeboard as the deck cargo
provides protection against the impact of waves.
• APPLICATION:
• Generally applies to ships engaged in international trade.
• Exceptions:
• (a) ships of war.
• (b) new ships of less than 24 metres (79 feet) in length.
• (e) existing ships of less than 150 gross tonnage.
• (d) pleasure yachts not engaged in trade.
• (e) fishing vessels.
• Load line exemption certificate may be obtained from the Administration, e.g. by a ship normally trading
on domestic voyages for international voyages between two close states, or for a one-off international
voyage, or for a ship with novel features (e.g. undergoing research).

International Convention on Load Lines
• The Convention includes three annexes.
• Annex I is divided into four Chapters.
• Chapter I – General.
• Chapter II - Conditions of assignment of freeboard.
• Chapter III – Freeboards.
• Chapter IV - Special requirements for ships assigned timber freeboards.
• Annex II covers Zones, areas and seasonal periods.
• Annex III contains certificates, including the International Load Line Certificate.
• Annex IV relates to verification of compliance with the LL Convention (adopted
on 4 December 2013 and came into force 28 February 2018).
• Various amendments were adopted in 1971, 1975, 1979, and 1983 but they
required positive acceptance by two-thirds of Parties and never came into force.
• The 1988 Protocol, adopted on 11 November 1988, entered into force on
3 February 2000.
• The 1988 Protocol revised certain regulations in the Technical Annexes to the
Load Lines Convention.

International Safety Management (ISM) Code
• Short note on ISM:
• Purpose: To provide an international standard for the safe management and operation of
ships and for pollution prevention.
• Objectives:
• Ensure safety at sea.
• Prevent human injury or loss of life.
• Avoid damage to the environment with focus on the marine environment and on property.
• SOLAS, Chapter IX makes the ISM Code mandatory.
• The ISM Code establishes the following safety management objectives of the company:
• Provide safe practices in ship operation and working environment.
• Establish safeguards against all identified risks.
• Continuously improve safety management skills of personnel ashore and onboard ships. These
skills include the preparation for emergencies related to safety and environmental protection.
• Development of ISM Code was due to mounting concern about poor management standards
in shipping and the catastrophic capsizing of the passenger/car ferry Herald of Free
Enterprise in March 1987 as well as investigations into several accidents revealed major errors
on the part of management.
• In 1994, the ISM Code was formally adopted and integrated as a part of the SOLAS
Convention, while later in 1998, it became mandatory for oil tankers and bulk
carriers with general cargo ships to follow by 2001.

Part A – IMPLEMENTATION and PART B - CERTIFICATION AND VERIFICATION
• Contents of Part A and Part B of ISM Code?
• Part A – IMPLEMENTATION:
• 1. General.
• 1.1. Definitions 1.2 Objectives 1.3 Application 1.4. Functional requirements for a safety management
system (SMS).
• 2. Safety and environmental protection policy.
• 3. Company responsibilities and authority.
• 4. Designated person(s).
• 5. Master’s responsibility and authority.
• 6. Resources and personnel.
• 7. Development of plans for shipboard operations.
• 8. Emergency preparedness.
• 9. Reports and analysis of non-conformities, accidents and hazardous occurrences.
• 10. Maintenance of the ship and equipment.
• 11. Documentation.
• 12. Company verification, review and evaluation.
• PART B - CERTIFICATION AND VERIFICATION:
• 13. Certification, and periodical Verification.
• 14. Interim Certification.
• 15. Verification.
• 16. Forms of Certificates.

• Important definitions that apply to parts A and B of this Code:
• International Safety Management (ISM) Code : The International Management
Code for the Safe Operation of Ships and for Pollution Prevention as adopted by
the Assembly, as may be amended by the Organization.
• Company: The Owner of the ship or any other organization or person such as the
Manager, or the Bare boat Charterer, who has assumed the responsibility for
operation of the ship from the Ship owner and who on assuming such
responsibility has agreed to take over all the duties and responsibility imposed by
the Code.
• Administration: The Government of the States whose flag the ship is entitled to fly.
• Safety Management System: Means a structured and documented system
enabling Company personnel to implement effectively the Company Safety and
Environmental protection policy.
• Document of Compliance: A document issued to a Company which complies with
the requirements of this Code.
• Safety Management Certificate: A document issued to a ship which signifies that
the Company and its shipboard management operate in accordance with the
approved safety management system.

• Important definitions that apply to parts A and B of this Code: (Cont’d)
• Near Miss: Unplanned event that did not result in injury, illness or damage but
had the potential to do so. Only a fortunate break in the chain of events
prevented an injury, fatality or damage. Practically near miss is an hazardous
occurrence which does not result in any accident or incident, but a situation
has arisen where an accident or incident could have happened.
• Audit: An audit is a systematic, independent and documented process for
obtaining audit evidence and evaluating it objectively to determine the extent
to which audit criteria are fulfilled.
• Observation : A statement of fact made during a safety management audit
and substantiated by objective evidence.
• Non Conformity: An observed situation where objective evidence indicates
the non-fulfillment of a specified requirement.
• Major non-conformity: 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 this Code.

Part A OF ISM CODE – IMPLEMENTATION
• Safety Management System:
• A structured and documented system enabling Company personnel to effectively implement the
company safety and environmental protection policy.
• Objectives of the Company:
• Provide for safe practices in ship operation and a safe working environment.
• Assess all identified risks to its ships, personnel and the environment and establish appropriate
safeguards.
• Continuously improve safety management skills of personnel ashore and aboard ships, including
preparing for emergencies related both to safety and environmental protection.
• Functional requirements of ISM code in respect of a Safety Management System:
• Each Company should develop, implement and maintain a SMS which includes the following
functional requirements:
• (1) A safety and environmental protection policy.
• (2) Instructions and procedures to ensure safe operations of ships and protection of the
environment in compliance with relevant international and flag state legislation.
• (3) Defined levels of authority and lines of communication between, and amongst, shore and
shipboard personnel; procedures for reporting accidents and non-conformities with the ISM
Code's provisions.
• (4) Procedures to prepare for an respond to emergency situations.
• (5) Procedures for internal audits and management review. It is the responsibility of the Company
to define and document the safety management objectives which form an integral part of the
SMS.

• Safety and Environmental Protection Policy:
• The Company should establish a safety and environmental protection policy which
describes how the objectives will be achieved.
• The Company should ensure that the policy is implemented and maintained at all levels of
the organization both ships based as well as shore based.
• Company Responsibilities and Authority:
• If the entity who is responsible for the operation of the ship is other than the owner, the
owner must report the full name and details of such entity to the Administration.
• The Company should define and document the responsibility, authority and interrelation
of all personnel who manage, perform and verify work relating to and affecting safety and
pollution prevention.
• The Company is responsible for ensuring that adequate resources and shore based
support are provided to enable the designated person or persons to carry out their
functions.
• Designated Person (s):
• To ensure the safe operation of each ship and to provide a link between the company and
those on board, every company, as appropriate, should designate a person or persons,
ashore having direct access to the highest level of management.
• The responsibility and authority of the designated person or persons should include
monitoring the safety and pollution prevention aspects of the operation of each ship and
to ensure that adequate resources and shore based support are applied, as required.

• Master's Responsibility and Authority under ISM Code:
• Implementing the safety and environmental protection policy of the
Company.
• Motivating the crew in the observation of that policy.
• Issuing appropriate orders and instructions in a clear and simple
manner.
• Verifying that specified requirements are observed.
• Reviewing the SMS and reporting its deficiencies to the shore based
management periodically.
• Master’s over riding Authority:
• The Company should ensure that the SMS operating on board the
ship contains a clear statement emphasizing the Master’s authority.
• The Company should establish in the SMS that the Master has the
overriding authority and the responsibility to make decisions with
respect to safety and pollution prevention and to request the
Company’s assistance as may be necessary.

• Company responsibilities under Resources and Personnel of ISM Code:
• The Company should ensure that the Master is properly qualified for command, fully
conversant with the Company’s SMS and given the necessary support so that the
Master’s duties can be safely performed.
• The Company should ensure that each ship is manned with qualified, certificated and
medically fit seafarers in accordance with national and international requirements.
• The Company should establish procedures to ensure that new personnel and personnel
transferred to new assignments related to safety and protection of the environment are
given proper familiarization with their duties. Instructions which are essential to be
provided prior to sailing should be identified, documented and given.
• The Company should ensure that all personnel involved in the Company’s SMS have an
adequate understanding or relevant rules, regulations, codes and guidelines.
• The Company should establish and maintain procedures for identifying any training
which may be required in support of the SMS and ensure that such training is provided
for all personnel concerned.
• The Company should establish procedures by which the ship’s personnel receive
relevant information on the SMS in a working language or languages understood by
them.
• The Company should ensure that the ship’s personnel are able to communicate
effectively in the execution of their duties related to the SMS.

• Company other responsibilities:
• Development of Plans for Shipboard Operations.
• Emergency Preparedness.
• Reports and Analysis of Non- Conformities, Accidents and
Hazardous Occurrences.
• Maintenance of the Ship and Equipment.
• Documentation (Establish and maintain procedures to control
all documents and data which are relevant to the SMS).
• Company Verification, Review and Evaluation (carry out
internal safety audits on board and ashore at intervals not
exceeding twelve months to verify whether safety and
pollution prevention activities comply with the SMS, should
take timely corrective action on deficiencies found).

ISM Code Certificates
• Certificates issued under the ISM Code:
• Document of Compliance (DOC) issued to the Company who has assumed responsibility
for the operation of the ship. (e. g. manning, technical support, maintenance, etc).
• Safety Management Certificate (SMC) issued to each ship in the Company's fleet.
• Flag state Administrations or authorised classification societies on their behalf.
• Procedure to obtain a Document of Compliance (DOC):
• Company applies to Administration for ISM Code certification. Administration or Class
society makes assessment of shore side SMS (in Company's premises). Assessment is
made of Company's ships. After satisfactory assessments completed ashore and on
board, DOC is issued to Company. Copy DOCs are sent to all premises and to each ship
in Company's fleet.
• Procedure for a ship obtain a Safety Management Certificate (SMC):
• After on-board assessment of the ship's SMS, following the shore-side assessment of
the Company's SMS for its DOC.
• A SMC can only be issued when:
• (1 ) The Company has a DOC.
• (2) The ship is in class with a society meeting IMO requirements.
• (3) Ship holds valid statutory certificates as required.

PART B - CERTIFICATION AND VERIFICATION
• CERTIFICATION AND PERIODICAL VERIFICATION:
• The ship should be operated by a Company which has been issued with a
document of compliance or with an Interim Document of Compliance relevant
to that ship.
• The document of compliance should be issued by the Administration, by an
organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government to the Convention to any
Company complying with the requirements of this Code for a period specified
by the Administration which should not exceed five years.
• The validity of a Document of Compliance should be subject to annual
verification.
• All associated Safety Management Certificates and/or Interim Safety
Management Certificates should also be withdrawn if the Document of
Compliance is withdrawn.
• The Safety Management Certificate should be issued to a ship for a period
which should not exceed five years by the Administration or, at the request of
the Administration , by another Contracting Government.
• The validity of the Safety Management Certificate should be subject to at least
one intermediate verification.

PART B - CERTIFICATION AND VERIFICATION
• CERTIFICATION AND PERIODICAL VERIFICATION:
• INTERIM CERTIFICATION:
• An Interim Document of Compliance may issued to facilitate initial implementation of this
Code when:
• .1 Company is newly established.
• .2 new ship types are to be added to an existing Document of Compliance, following
verification that the Company has a safety management system.
• Such an Interim Document of Compliance should be issued for a period not exceeding 12
months.
• An Interim Safety Management Certificate may be issued:
• .1 To new ships on delivery.
• .2 When a Company takes on responsibility for the operation of a ship which is new to the
Company.
• .3 When a ship changes flag.
• Such an Interim Safety Management Certificate should be issued for a period not exceeding
6 months.
• FORMS OF CERTIFICATES: The Document of Compliance, the Safety Management Certificate,
the Interim Document of Compliance and the Interim Safety Management Certificate should
be drawn up in a form corresponding to the models given in the Appendix to this Code.
• If the language is neither English nor French, the text should include a translation into one of
these languages.

ISM AUDIT PREPARATION
• Assisting Chief Officer while preparing the vessel for ISM Renewal Audit:
• I will assist C/O to ensure the following:
• ISM manuals and corrections to manuals are up to date.
• Various safety files are up to date.
• Safety checklists are up to date and initialed as required.
• Assist in testing ship's safety and fire-fighting equipment.
• Safety manuals are in place.
• Log books are up to date and initialed as required.
• Standing orders are up to date and initialed as required.
• Various Drills have been carried out as per plan and records are up to
date.
• Various safety posters and placards are posted and are presentable.
• Check Safety spares list for all spares available and correctly updated.
• Any other information of audit checklist to be checked as advised by C/Off.

ISPS Code - General
• Under SOLAS Convention Chapter XI-2, IMO developed the International Ship and Port Facility Code
(ISPS Code), is a comprehensive set of measures to enhance the security of Ships and Port facilities.
• The Code was adopted on 12 December 2002 on the aftermath of the 9/11 attacks in United States.
• ISPS Code came into force on 1st July 2004.
• ISPS Code is divided into two sections:
• Part A, which is a mandatory section, includes the maritime and port security-related requirements
which should be followed respectfully by the governments, port authorities and shipping
companies.
• Part B (recommended) provides guidelines on how to meet these requirements.
• The ISPS Code applies to the following types of ships engaged on International voyages:
• .1 Passenger ships, including high-speed passenger craft.
• .2 Cargo ships, including high-speed craft, of 500 gross tonnage and upwards.
• .3 Mobile offshore drilling units.
• Port facilities serving such ships engaged on international voyages.
• This Code does not apply to warships, naval auxiliaries or other ships owned or operated
by a Contracting Government and used only on Government non-commercial service.
• Main objectives of the ISPS Code:
• Enables the detection of security threats within an international framework.
• Establishes roles and responsibilities.
• Enables collection and exchange of security information.
• Provides a methodology for assessing security.
• Ensures that adequate security measures in place.

ISPS Code - Definitions
• The Port Facility Security Officer (PFSO) is an Authorized Officer at Port who is
responsible for the development, implementation and maintenance of Port Facility
Security Plan. PFSO is also responsible for liaison with the SSO and CSO.
• The Ship Security Officer (SSO) is an authorized person on board the ship,
designated by the company and is responsible to implement and maintain the ship
security plan and the overall security of the ship. Also, is responsible to contact
with other designated persons, PFSO and CSO.
• The Company Security Officer (CSO) is a person designated by the company and is
charged with the duty to ensure that ship security assessment is carried out
properly. Moreover, is responsible to develop the ship security plan, submit it for
approval and ensure that it is implemented as appropriate. Last but not least, CSO
is responsible to communicate with the SSO and PFSO.
• Port Facility Security Plan means a plan developed to ensure the application of
measures designed to protect the port facility and ships, persons, cargo, cargo
transport units and ships stores within the port facility from the risks of a security
incident.
• Recognised Security Organizations means an Organization with appropriate
expertise in security matters and with appropriate knowledge of the ship and Port
operations that is authorized to carry out an assessment or verification or an
approval or a certification activity required by the Maritime Security Measures.

ISPS Code – Security Levels
• SECURITY LEVELS:
• Security level 1 means the level for which minimum appropriate protective security measures shall be
maintained 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 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 the specific target.
• Who decides the security levels on board?
• In accordance with ISPS Code B: 1.8, the setting of the security level applying at any particular time is the
responsibility of Contracting Governments and can apply to ships and port facilities.
• When the ship is at sea, Security level is set by the Flag State of the vessel. Flag state may not instruct the ship
directly but may do so through CSO. The CSO will forward the message from the Flag State to the applicable ships
to change the security level. SSO need to acknowledge the mail for instructions to change the security level and
confirm to CSO when the security level is changed.
• At Port, vessel need to have same security level as the Port. Before arrival, Agent gives all the security details of
the Port and also advises the security level of the Ship.
• If the Security level of the Port is higher than the ship, the Ship must increase the security level to same as the
Port.
• In cases where security level of ship is higher than the Port it is calling then SSO should consult CSO. CSO may
advise to decrease the level of the ship without downgrading the security measures. This means that in this case,
the ship will have lower security level but will have same security measures that are required as per higher
security level in SSP.
• Also, CSO after consultation with Flag may advise to keep the higher security level. In this case, Vessel must
inform the Port of its higher security level.

SHIP SECURITY OFFICER
• 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.

SECURITY LEVEL 1
• At security level 1, the SSP should establish the security measures to control access to
the ship, where the following may be applied:
• .1 Checking the identity of all persons seeking to board the ship and confirming their
reasons for doing so by checking, for example, joining instructions, passenger tickets,
boarding passes, work orders etc;
• .2 In liaison with the port facility the ship should ensure that designated secure areas
are established in which inspections and searching of persons, baggage (including carry
on items), personal effects, vehicles and their contents can take place;
• .3 In liaison with the port facility the ship should ensure that vehicles destined to be
loaded on board car carriers, ro-ro and other passenger ships are subjected to search
prior to loading, in accordance with the frequency required in the SSP;
• .4 Segregating checked persons and their personal effects from unchecked persons and
their personal effects;
• .5 Segregating embarking from disembarking passengers;
• .6 Identification of access points that should be secured or attended to prevent
unauthorized access;
• .7 Securing, by locking or other means, access to unattended spaces adjoining areas to
which passengers and visitors have access; and
• .8 Providing security briefings to all ship personnel on possible threats, the procedures
for reporting suspicious persons, objects or activities and the need for vigilance.

SECURITY LEVEL 2
• At security level 2, the SSP should establish the security measures to control access to
the ship, where the following may be applied:
• .1 Assigning additional personnel to patrol deck areas during silent hours to deter
• unauthorized access;
• .2 Limiting the number of access points to the ship, identifying those to be closed
and the means of adequately securing them;
• .3 Deterring waterside access to the ship, including, for example, in liaison with the
port facility, provision of boat patrols;
• .4 Establishing a restricted area on the shore-side of the ship, in close co-operation
with the port facility;
• .5 Increasing the frequency and detail of searches of persons, personal effects, and
vehicles being embarked or loaded onto the ship;
• .6 Escorting visitors on the ship;
• .7 Providing additional specific security briefings to all ship personnel on any
identified threats, reemphasizing the procedures for reporting suspicious persons,
objects, or activities and the stressing the need for increased vigilance; and
• .8 Carrying out a full or partial search of the ship.

SECURITY LEVEL 3
• At security level 3, the ship should comply with the instructions
issued by those responding to the security incident or threat
thereof. The SSP should detail the security measures which
could be taken by the ship, in close co-operation with those
responding and the port facility, which may include:
• .1 Limiting access to a single, controlled, access point;
• .2 Granting access only to those responding to the security
incident or threat thereof;
• .3 Directions of persons on board;
• .4 Suspension of embarkation or disembarkation;
• .5 Suspension of cargo handling operations, deliveries etc;
• .6 Evacuation of the ship;
• .7 Movement of the ship; and
• .8 Preparing for a full or partial search of the ship.

SHIP SECURITY PLAN - SSP
• Briefly describe Ship Security Plan?
• Ship Security Plan (ISPS CODE A/9.1 TO 9.6): A plan developed to ensure the application of
measures on board the ship designed to protect persons on board, cargo, cargo transport units,
ships stores or the ship from the risks of a security incident.
• The Company Security Officer (CSO) has the responsibility of ensuring that a Ship Security Plan
(SSP) is prepared and submitted for approval.
• Each ship shall carry on board a Ship Security Plan which need to be approved by Flag state of the
vessel or by Recognised Security Organisation (RSO) on behalf of Flag State. RSO is usually the
classification society of the vessel.
• Vessel shall have a Flag State approval letter or an endorsement stamp on the Ship Security Plan
(SSP).
• Crew should know the name of the CSO or where details are posted.
• SSP is valid only when provided with a specific and updated Ship Security Assessment and ON
Scene Security Survey.
• Such a plan shall be developed, taking into account the guidance given in part B of this Code and
shall be written in the working language or languages of the ship. If the language or languages
used is not English, French or Spanish, a translation into one of these languages shall be included.
• The plan may be kept in an electronic format. In such a case, it shall be protected by procedures
aimed at preventing its unauthorized deletion, destruction or amendment.
• The SSP should establish the procedures and equipment needed at each security level and the
means of ensuring that monitoring equipment will be able to perform continually, including
consideration of the possible effects of weather conditions or of power disruptions.

SHIP SECURITY PLAN - SSP
• Briefly describe table of contents of Ship Security Plan?
• 1. Requirements.
• 2. Responsibilities.
• 3. Security levels and controls.
• 4. Ship security systems and equipment.
• 5. Access control activities.
• 6. Other controlled activities.
• 7. Security communications.
• 8. Declaration of Security.
• 9. Ship Security assessment.
• 10. Reviewing security.
• 11. Training.
• 12. Security audits.
• 13. Records and other documents.

Ship Security Assessment (SSA) and On Scene Security Survey
• The purpose of a SSA is to identify and analyse the security risks for a given type
of ship in a trading area. The results of the security assessment provide the basis
for measures which are essential to develop, implement, maintain and update the
ship security plan (SSP).
• A SSA must include an on-scene (i.e. on board) security survey.
• An on-scene security survey has to be carried out on each ship. The objective of
the on-scene security survey is to examine and evaluate existing shipboard
protective measures, procedures and operations for:
• .1 ensuring the effective implementation of all ship security duties;
• .2 monitoring restricted areas to ensure that only authorized persons have access;
• .3 controlling access to the ship, including any identification systems;
• .4 monitoring of deck areas and areas surrounding the ship;
• .5 controlling the embarkation of persons and their effects (accompanied and
unaccompanied baggage and ship’s personnel personal effects);
• .6 supervising the handling of cargo and the delivery of ship’s stores; and
• .7 ensuring that ship security communication, information, and equipment are
readily available.

CONTINUOUS SYNOPSIS RECORD - (CSR)
• Introduction:
• 1. From 1 July 2004, SOLAS Chapter XI-1, regulation 5 requires all Passenger ships and Cargo ships of 500
gross tonnage and above engaged on International voyages to have on board a Continuous Synopsis
Record (CSR).
• The Continuous Synopsis Record (CSR) provides the history of a ship from its initial commissioning to its
final decommissioning.
• A ship’s CSR file comprises:
• .1 All CSR documents (Form 1) issued by the ship’s Administration(s), numbered sequentially over the life
of the ship.
• .2 All amendment forms (Form 2) attached to each individual CSR document relating to changes made to
that CSR document.
• .3 All indices of amendments (Form 3) listing all amendments (specified by amendment forms) relating to
each CSR document and attached to Form 1 above.
• The CSR Document:
• 2. Only the ship’s Administration can issue a ship’s CSR document (Form 1) to a ship. The first CSR
document issued to a ship is numbered 1 and subsequent CSR documents are to be sequentially
numbered. The sequential numbering continues across change of flag throughout the life of the ship.
• 3. Each original CSR document will have to be sent to the ship and kept by the ship throughout its
lifetime. The Administration needs to keep a copy (which may be an electronic copy) of each CSR
document issued to the ship.
• 4. Whenever issuing a CSR document to a ship, the Administration will have to provide all information in
rows 1 to 13 of Form 1 (indicate N/A if not applicable). Information number 7 on the CSR only has to be
completed if the Administration requires the registration of bareboat charterers and the ship is actually
bareboat chartered.

PRECAUTIONS BEFORE TRANSIT HIGH RISK AREAS
• 1. Keep Yourself Updated with the Latest Happenings of the High Risk Areas.
• 2. Take all Measures for Crew Safety.
• 3. Check Ship’s Freeboard: A large freeboard would not be of any help if the ship
has easy access points to climb the ship. Special protective measures must be
provided to these access points.
• 4. Prepare to Keep Ship’s Speed to maximum. The faster the better.
• 5. Keep Non-Lethal Weapons Ready.
• 6. Check Fire Pumps: Check all fire pumps are working properly as they will be
required to run fire hoses during pirate attacks.
• 7. Brief Crew and Conduct Drill.
• 8. Secure Doors and Hatches: Doors and hatches providing access to bridge
accommodation and machinery spaces should be properly secured to prevent
pirates from them. If required additional means must to taken to properly secure
doors and hatches for additional protection.
• 9. Use Physical Barriers If Available: If possible use physical barriers such as razor
wires and electrified fence along the periphery of the ship.
• 10. Check Ship’s AIS system, radar, and other important navigation
equipment including ship security alert system (SSAS).

BRIDGE CHECKLIST FOR TRANSIT HIGH RISK AREAS
• Transit the Area by way of the Internationally Recommended Transit Corridor (IRTC).
• Establish special operating procedures for vigilance and for the event of an attack.
• Practice piracy drills, provide refresher training for the crew concerning anti-piracy measures.
• Ensure crew radios and in-vessel communications are in good working order.
• Secure a pre-designated area for crewmembers to muster (citadel mode).
• Secure alternative steering location, if possible.
• Maintain a single point of entry into the house.
• Secure deck lighting (except for mandatory navigation lights).
• Maintain contact numbers for UKMTO (United Kingdom Marine Trade Operations) in the
wheelhouse.
• Increase monitoring of VHF communications on Channel 16.
• Keep unnecessary communications to a minimum except to make contact with naval units
and other vessels as soon as the vessel enters the high risk area.
• Continue the use of AIS but limit information to Vessel Name and Maritime Mobile Service
Identity (MMSI) so that it may still be identified by coalition forces. Coalition Maritime Forces
have AIS monitoring capability.
• All available radars should be used and constantly monitored.
• Post additional 24-hour lookouts forward, amidships and aft.
• Increase and maintain speed to maximum. The faster the better.
• Maneuver to avoid small craft and take aggressive evasive measures, if necessary.

ISSC Renewal Audits
• How will you assist the Chief Officer while preparing the vessel for ISPS Renewal
Audits respectively?
• I will assist C/O to ensure the following:
• List of areas designated as restricted area in the SSP are properly identified and
marked.
• Crew familiarity with the content of the company security policy and the related
procedures, as described in the SSP.
• Crew’s awareness in security related issues (e.g., access control of people, cargo
control, restricted areas onboard, responsibilities in case of security threats, etc).
• Crew know how to respond to an attack or threat situation.
• Records of training, drills and exercises are up to date.
• The records being protected from unauthorized access or disclosure.
• All Crew have training course certificates as per Flag requirement.
• All crew have information of company CSO.
• Records of testing, calibration and maintenance of security equipment and systems
are up to date.
• Any other information of audit checklist to be checked as advised by C/Off.

Declaration Of Security - DoS
• Declaration of Security (DoS):
• The Declaration of Security is Security related declaration between two parties.
• The Declaration address the security requirements that could be shared between a Port facility
and a Ship, or between Ships and states the responsibility for each.
• The DoS should be completed in English, French or Spanish or in a language common to both the
Port Facility and the Ship or the Ships, as applicable.
• A Government shall determine when a Declaration of Security is required by assessing the risk the
Ship/Port interface or ship to ship activity poses.
• The DoS is intended to be used in exceptional cases usually related to higher risk.
• In general, a ship can request completion of a Declaration of Security when:
• The ship is operating at a higher security level than the Port facility or another ship
it is interfacing with.
• There is an agreement on a Declaration of Security between Contracting Governments covering
certain international voyages or specific ships on those
voyages.
• There has been a security threat or a security incident involving the ship or
involving the port facility.
• The ship is at a Port which is not required to have and implement an approved Port facility security
plan.
• The ship is conducting ship to ship activities with another ship not required to have and
implement an approved ship security plan.

• Why do we need to fill DOS?
• There are situations in which:
• A. The ship is at higher security level than the Port or another ship.
• In this case, we need to make sure that ship’s higher security level is efficiently
conveyed to the port or ship it is dealing with. Also as the port or other ship is at
lower level, we would want to know what security duties the port and ship will
be performing. For example, we need to get the declaration from other ship that
they will monitor the areas around their ship and restrict the access to their ship.
• B. The Ship is dealing with Port or ship that does not comply with ISPS code.
• In this case where port or ship is not ISPS compliant, we need to make joint
declaration that the port or other ship will perform some of the security duties
as per declaration of security.
• Under normal circumstances, when ships are operating at Security level 1, the
need to complete DoS does not normally exist unless the Flag Administration,
PFSO or the Master deem it necessary.
• When engaged in STS transfer the Master may consider the completion of DoS, if
the other ship has arrived from a High Risk Area or if the transfer is to take place
at or near an area where an elevated risk is deemed to exist.

• Who completes the Declaration of Security?
• .1 The Master or the Ship Security Officer on behalf of the ship and, if appropriate,
• .2 The Port facility security officer or, if the Contracting Government determines
otherwise, by any other body responsible for shore-side security on behalf of the
Port facility.
• What is contained on the Declaration of Security between a ship and a port
facility?
• The respective levels of each party.
• The activities to be undertaken during the validity period.
• Contact details of respective parties related to security.
• PERIOD OF VALIDITY:
• The DoS shall clearly indicate the period for which it is valid.
• If the V/L remains at Port longer than the period of validity, arrangements with the
Port Facility Security Officer should be made to issue a new Declaration to cover
the expected period.
• A change in the security level may require that a new or revised DoS be completed.
• RETENTION OF DECLARATION: As required by the Administration.

SHIPS NAME
PORT OF REGISTRY
IMO NUMBER
PORT/FACILITY (Name & Country)
Time Time
This Declaration of Security is valid from: until: for the following activities:
at the following Security Levels:
SHIP SECURITY LEVEL
PORT FACILITY SECURITY LEVEL
The Port Facility and the Ship agree to the following security measures and responsibilities to ensure
compliance with the requirements of Part A of the International Ship and Port Facility Security (ISPS) Code.
ACTIVITY
PORT
FACILITY SHIP
Ensuring the performance of all security duties
Monitoring restricted areas to ensure that only authorized personnel have access
Controlling access to the port facility
Controlling access to the ship
Monitoring the port facility, including berth areas and areas surrounding the ship
Monitoring the ship, including berth areas and areas surrounding the ship
Handling of cargo
Delivery of ships’ stores and spares
Handling unaccompanied baggage
Controlling the embarkation of persons and their personal effects
Ensuring that security communication is readily available between the ship and port
facility at all times.
The activities listed above shall be initialed by the SSO or PFSO in the columns to indicate those activities
which will be undertaken by each party in accordance with their relevant plans.
The signatories to this agreement certify that security measures and arrangements for both the port facility
and the ship during the specified activities meet the provisions of SOLAS Xl-2 and Part A of the ISPS Code
and will be implemented in accordance with the provisions already stipulated in their approved plans or
other specific arrangements agreed to.
Name of Port Facility Date
Completed at on
Signed for and on behalf of
The port facility: The ship:
(Signature of Port Facility Security Officer) (Signature of Master or Ship Security Officer)
Signed for and on behalf of
Name: Name:
Title: Title:
Contact details to be completed as appropriate ( Telephone or Radio Channel / Frequency)
For the port facility For the ship
Port Facility Master
PFSO SSO
Company
CSO

Ship Security Alert System (SSAS)
• IMO requires every ship above 500 GT sailing the world’s oceans to have a Ship Security Alert System
(SSAS) to enhance security.
• The Ship Security Alert System (SSAS), under the ISPS Code, is a system onboard designed to raise the
alarm ashore in case of a security threat or security incident, so that help from security forces can be
deployed to the scene.
• Technically, the SSAS consists of a GPS receiver linked to a transmitter, a power supply, software and
activation buttons.
• When used, the activation button basically notifies the flag State of the ship without alerting ships or
coastal states in the vicinity or giving any indication onboard.
• Use of the ship security alert system is a recognition that security is political and requires different
response to a distress or emergency onboard.
• Where is this alert sent to?
• What makes the SSAS unique is the fact that it constitutes a silent ship security alarm system
that does not issue any audio-visual signal on the ship or to nearby vessels, not even to security
forces nearby.
• In contrast, upon activated, the alert is sent directly to the ship owner or an SSAS management
company. It is then directed to the ship’s flag state. Some flag administrations even require having
direct notification upon activation.
• As soon as the flag state is informed, it is obliged to immediately notify the state(s) and the
international security centers in the vicinity of the ship’s location.
• Then, local state authorities or already deployed antipiracy/antiterrorist forces will be able to provide
appropriate military or law-enforcement forces to deal with the menace.

Ship Security Alert System (SSAS)
• What information does the SSAS provide?
• Upon activated, the Ship Security Alert System sends the following details to the administration:
• Name and IMO number of the ship.
• The Call Sign of the ship.
• The ship’s position through Global Navigation Satellite System (GNSS).
• Date and time of the alert.
• Maritime Mobile Service Identity.
• Where can we find an SSAS onboard?
• Current regulatory framework foresees that there must be at least two security alert buttons
onboard the ship, one on the bridge and another one in any other prominent location.
• The whole crew onboard must be aware of at least one activation button location.
• What happens if the button is pushed by accident?
• The ISPS Code mandates that the SSAS activation points must be designed to prevent the
unwanted initiation of the ship security alert.
• A latch cover secures the button to prevent any accidental operation.
• Anyone working in the vicinity of the SSAS button must be notified accordingly not to touch the
button.
• Once the SSAS button is pressed, the alert will be continuously transmitted to the
administration unless it is reset or deactivated.

The International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers (STCW), 1978
• What is the STCW Convention?
• The International Convention on Standards of Training, Certification and Watchkeeping for
Seafarers (STCW), 1978 was adopted on 7 July 1978 and entered into force on 28 April
1984.
• The main purpose of the Convention is to promote safety of life and property at sea and
the protection of the marine environment by establishing in common agreement
international standards of training, certification and watch keeping for seafarers.
• Revisions to the conventions occurred in 1984, 1995, 1997, and 2010 of which major
revisions were of 1995 and 2010.
• Provisions of the convention apply to whom?
• The provisions of the Convention not only apply to seafarers, but also to ship owners,
training establishments and national maritime administrations.
• However, the STCW Convention does not apply to seafarers serving on warships, naval
auxiliaries or any other government owned or operated ship engaged in non-commercial
service, fishing vessels (there is a separate convention covering personnel on fishing
vessels), pleasure yachts not engaged in trade and wooden ships of primitive build.

The International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers (STCW), 1978
• STCW Convention Layout:
• The STCW Convention consists of three sections:
• The articles which outline the legal responsibilities a party has to meet.
• The Annex which gives technical details on how the legal responsibilities referred to in the articles
should be met.
• The STCW Code which specifies in more depth the technical details contained in the annex and
contains part A and part B
• Parts of STCW Code:
• STCW Code consists of Part A (mandatory) and Part B (non mandatory).
• Part A: Mandatory standards of training, certification and watch keeping. It establishes the minimum
standards of competence required for seagoing personnel providing details in a series of tables. For
example, Chapter II of the Code, deals with standards regarding the master and deck department.
• Part B: Recommended guidelines on training, certification and watch-keeping to assist in the
implementation of the Convention. The examples given are only intended to illustrate effective ways
for compliance with the Convention.
• STCW 1995 Amendments (STCW 95):
• The IMO adopted a comprehensive revision of STCW on 7 July 1995 which also included a proposal
to develop a new STCW Code, which would contain the technical details associated with provisions
of the Convention. The amendments entered force on 1 February 1997.

The International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers (STCW), 1978
• STCW 2010 Manila Amendments (STCW 2010)?
• The Manila amendments to the STCW Convention and Code were adopted on 25 June 2010,
marking a major revision of the STCW Convention and Code.
• The STCW 2010 amendments were set to enter into force on 1 January 2012 under the tacit
acceptance procedure and are aimed at bringing the Convention and Code up to date with
developments since they were initially adopted and to enable them to address issues that are
anticipated to emerge in the foreseeable future.
• Although the Manila Amendments became effective from January 1st
, 2012, there was a transition
period of five years, until 2017, for all seafarers.
• The most significant amendments are related to:
• New rest hours for seafarers.
• New grades of certificates of competency for able seafarers in both deck and engine
• New and updated training, refreshing requirements.
• Mandatory security training.
• Additional medical standards.
• Specific Alcohol limits in blood or breath.
• Other amendments include new training requirements for able seafarers, electro-technical officers,
for ECDIS, for marine environment awareness training and training in leadership and teamwork, for
personnel serving on board ships operating in polar waters and for personnel operating Dynamic
Positioning Systems .

The International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers (STCW), 1978
• STCW Convention chapters:
• Chapter I: General provisions.
• Chapter II: Master and deck department.
Chapter III: Engine department.
Chapter IV: Radio communication and radio personnel.
Chapter V: Special training requirements for personnel on certain types of ships.
Chapter VI: Emergency, occupational safety, medical care and survival functions.
Chapter VII: Alternative certification.
Chapter VIII: Watchkeeping.
• Importance of STCW certificates:
• Certificates are important as they are the main paper evidence you have on hand to prove that your level of maritime
education and training, your length of service at sea, your professional competence, medical fitness and age all comply
with STCW standards. Every party to the convention has to ensure that certificates are only issued to those seafarers who
meet STCW standards.
• White List:
• It is a list of countries found to be conducting their maritime training and certification in accordance with the
requirements of STCW 95 and was published by IMO meeting from 27 November to 6 December 2000.
• STCW-95 non-compliant Member States are often described as being on a ‘black list’.
• Ships flagged by a black-listed country can be denied entry to a port, inspected intensely, or detained when attempting to
enter a port.
• Meanwhile, seafarers with a Certificate of Competency (CoC) from a black-listed nation could be denied a Certificate of
Equivalency (CoE) and rejected for work aboard white list-flagged ships.
• Seafarer’s training and sea time aboard black listed vessels flagged could be rejected for a CoC from a white list country.

STCW CODE -Section A-VIII/1 - Fitness for duty
• 1. Administrations shall take account of the danger posed by fatigue of seafarers, especially
those whose duties involve the safe and secure operation of a ship.
• 2. All persons who are assigned duty as officer in charge of a watch or as a rating forming part
of a watch and those whose duties involve designated safety, prevention of pollution and
security duties shall be provided with a rest period of not less than:
• i. A minimum of 10 hours of rest in any 24-hour period; and
• ii. 77 hours in any 7-day period.
• 3. The hours of rest may be divided into no more than two periods, one of which shall be at
least 6 hours in length, and the intervals between consecutive periods of rest shall not exceed
14 hours.
• 4. The requirements for rest periods laid down in paragraphs 2 and 3 need not be maintained
in the case of an emergency or in other overriding operational conditions. Musters, fire-fighting
and lifeboat drills, and drills prescribed by national laws and regulations and by international
instruments, shall be conducted in a manner that minimizes the disturbance of rest periods
and does not induce fatigue.
• 5. Administrations shall require that watch schedules be posted where they are easily
accessible. The schedules shall be established in a standardized format* in the working
language or languages of the ship and in English.
• 6. When a seafarer is on call, such as when a machinery space is unattended, the seafarer shall
have an adequate compensatory rest period if the normal period of rest is disturbed by call-
outs to work.

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