ISM Code
International Safety Management Code
List of Content:-
1. ISM CODE -International Safety Management Code.
2. Objectives: The objectives of the ISM Code
3. Applicable for
4. History
5. Relevant Dates
6. Certification
7. Safety Management System (SMS) Safety Management objectives of the company
8. The safety management system should ensure
9. The functional requirements for a SMS
10. ISM CODE Requirements
Short Notes on ISM code
Questions & Answers
PART A - IMPLEMENTATION:
PART A - IMPLEMENTATION:
1. General
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. Shipboard operations
8. Emergency preparedness
9. Reports and analysis of NC, accidents and hazardous occurrences
10. Maintenance of the ship and equipment
11. Documentation
12. Company verification, review and evaluation
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. Shipboard operations
8. Emergency preparedness
9. Reports and analysis of NC, 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
13. Certification and periodical verification
14. Interim certification
15. Verification
16. Forms of certificates
____________________
1. ISM CODE -International Safety Management Code
- ISM is made mandatory by the chapter IX in the SOLAS from1 July 1998.
- ISM comes in to force on 1 July 2002.
Which is mandatory for the wider range of cargo ships and for mobile offshore drilling units (MODUS).
2. Objectives: The objectives of the ISM Code are to:
i). Ensure safety at sea;
ii). Prevent human injury or loss of life; and
iii). Avoid damage to the environment with focus on the marine environment and on property.
The ISM Code establishes the following safety management objectives of the company:
iv). Provide safe practices in ship operation and working environment;
v). Establish safeguards against all identified risks; and
vi). Continuously improve safety management skills of personnel ashore and on board ships. These skills include the preparation for emergencies related to safety and environmental protection.
3. Applicable for:
The provisions of Chapter IX of the SOLAS Convention and the ISM Code apply to the following with effect from 1 July 2002:
i). All ships of 500 gross tonnage and above, engaged on international voyages and propelled by mechanical means;
ii). Passenger ships engaged on international voyages;
iii). The Companies (Company means 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 duties and responsibility imposed by the ISM Code.)
4. History
• IMO Resolution A.647 (16) - 1989. “Guidelines on Management for the Safe Operation of Ships and for Pollution Prevention" was the first set of management guidelines for the marine industry.
• IMO Resolution A.G80 (17) -1991. Recognized the need for an appropriate organization of management to respond to the unique needs of shipboard personnel.
• IMO Resolution A.741 (18) 1993. A shift from the IMO philosophy of hardware regulations to the software element of ship management.
1. ISM CODE -International Safety Management Code
- ISM is made mandatory by the chapter IX in the SOLAS from1 July 1998.
- ISM comes in to force on 1 July 2002.
Which is mandatory for the wider range of cargo ships and for mobile offshore drilling units (MODUS).
2. Objectives: The objectives of the ISM Code are to:
i). Ensure safety at sea;
ii). Prevent human injury or loss of life; and
iii). Avoid damage to the environment with focus on the marine environment and on property.
The ISM Code establishes the following safety management objectives of the company:
iv). Provide safe practices in ship operation and working environment;
v). Establish safeguards against all identified risks; and
vi). Continuously improve safety management skills of personnel ashore and on board ships. These skills include the preparation for emergencies related to safety and environmental protection.
3. Applicable for:
The provisions of Chapter IX of the SOLAS Convention and the ISM Code apply to the following with effect from 1 July 2002:
i). All ships of 500 gross tonnage and above, engaged on international voyages and propelled by mechanical means;
ii). Passenger ships engaged on international voyages;
iii). The Companies (Company means 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 duties and responsibility imposed by the ISM Code.)
4. History
• IMO Resolution A.647 (16) - 1989. “Guidelines on Management for the Safe Operation of Ships and for Pollution Prevention" was the first set of management guidelines for the marine industry.
• IMO Resolution A.G80 (17) -1991. Recognized the need for an appropriate organization of management to respond to the unique needs of shipboard personnel.
• IMO Resolution A.741 (18) 1993. A shift from the IMO philosophy of hardware regulations to the software element of ship management.
5. Relevant Dates
• Adopted into SOLAS in 1994.
• Mandatory for passenger ships, including high speed craft, tankers, bulk carriers and high speed craft carrying cargo of 500 GRT and over on 1st July 1998.
• Mandatory for all other cargo ships, and self-propelled mobile offshore drilling units of 500 GRT and over on 1st July 2002.
• Adopted into SOLAS in 1994.
• Mandatory for passenger ships, including high speed craft, tankers, bulk carriers and high speed craft carrying cargo of 500 GRT and over on 1st July 1998.
• Mandatory for all other cargo ships, and self-propelled mobile offshore drilling units of 500 GRT and over on 1st July 2002.
6. Certification
The application of the code will lead to the issue of two certificates:
i). The Document Of Compliance (DOC) - will be issued to the company following a successful audit of the shore side aspects of the Safety Management System - evidence required that the system has been in operation on at least one type of ship in the company fleet for a period of three months,
Specific to ship types at time of audit - valid for 5 years subject to annual verification (within 3 months of anniversary date).
ii). The Safety Management Certificate (SMC) - Issued to each ship following audit evidence that SMS has been in operation for 3 months prior to audit - valid DOC required - valid for 5 years- subject to one verification between the second and third anniversaries with a provision for more frequent audits if necessary. This is more likely in the early days of ISM Code implementation.
iii). Temporary certification - A 12mth valid DOC may be issued to a newly formed company or a company acquiring a new type of vessel as long as they have a SMS meeting the minimum requirements of the ISM code and can demonstrate plan for full compliance. - A 6 month valid SMC may be issued to a new building or when a company takes of the responsibilities for the running of a vessel.
The application of the code will lead to the issue of two certificates:
i). The Document Of Compliance (DOC) - will be issued to the company following a successful audit of the shore side aspects of the Safety Management System - evidence required that the system has been in operation on at least one type of ship in the company fleet for a period of three months,
Specific to ship types at time of audit - valid for 5 years subject to annual verification (within 3 months of anniversary date).
ii). The Safety Management Certificate (SMC) - Issued to each ship following audit evidence that SMS has been in operation for 3 months prior to audit - valid DOC required - valid for 5 years- subject to one verification between the second and third anniversaries with a provision for more frequent audits if necessary. This is more likely in the early days of ISM Code implementation.
iii). Temporary certification - A 12mth valid DOC may be issued to a newly formed company or a company acquiring a new type of vessel as long as they have a SMS meeting the minimum requirements of the ISM code and can demonstrate plan for full compliance. - A 6 month valid SMC may be issued to a new building or when a company takes of the responsibilities for the running of a vessel.
7. Safety Management System (SMS) Safety Management objectives of the company:
i). Provide for safe working practices and a safe working environment
ii). Establish safeguards against possible risks
iii). Continuously improve safety management skills of personnel ashore and aboard ships
8. The safety management system should ensure
i). Compliance with mandatory rules and regulations
ii). Applicable codes and guidelines both statutory and organizational are taken into account.
iii). Promulgation and understanding of company and statutory regulations and guidelines. (It is the task of a visiting surveyor to test the general knowledge of company and statutory regulations and instructions)
9. The functional requirements for a SMS
i). A safety and environmental policy
ii). Instructions and procedures to ensure that safe operation of the vessel in compliance with relevant international and flag state legislation.
iii). Defined levels of authority and communication between shore and ship personnel.
iv). Procedures for reporting accidents and non-conformities with the code
v). Procedures for responding to emergency situations (drills etc)
vi). Procedures for internal audits and management reviews
vii. A system is in place for the on board generation of plans and instructions for key shipboard operations,
These tasks may be divided into two categories:
Special operations: Those where errors only become apparent after a hazardous situation or accident has occurred. E.g. ensuring water tight integrity, navigational safety (chart corrections, passage planning), maintenance operations, bunker operations.
Critical shipboard operations: where an error will immediately cause an accident or a situation that could threaten personnel, environment or vessel. e.g. navigation in confined waters, operation in heavy weather, bunker or oil transfers, cargo operations on tankers.
10. ISM CODE Requirements
1. The ISM Code requires every Company to develop, implement and maintain a safety management system (SMS) which includes these functional requirements:
2. A safety and environmental protection policy;
3. Instructions and procedures to ensure safe operation of ships, and protection of the environment, in compliance with relevant international and flag State legislation;
4. Defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
5. Procedures for reporting accidents and non-conformities with the provisions of this Code;
6. Procedures prepare and respond to emergency situations; and
7. Procedures for internal audits and management reviews.
i). Provide for safe working practices and a safe working environment
ii). Establish safeguards against possible risks
iii). Continuously improve safety management skills of personnel ashore and aboard ships
8. The safety management system should ensure
i). Compliance with mandatory rules and regulations
ii). Applicable codes and guidelines both statutory and organizational are taken into account.
iii). Promulgation and understanding of company and statutory regulations and guidelines. (It is the task of a visiting surveyor to test the general knowledge of company and statutory regulations and instructions)
9. The functional requirements for a SMS
i). A safety and environmental policy
ii). Instructions and procedures to ensure that safe operation of the vessel in compliance with relevant international and flag state legislation.
iii). Defined levels of authority and communication between shore and ship personnel.
iv). Procedures for reporting accidents and non-conformities with the code
v). Procedures for responding to emergency situations (drills etc)
vi). Procedures for internal audits and management reviews
vii. A system is in place for the on board generation of plans and instructions for key shipboard operations,
These tasks may be divided into two categories:
Special operations: Those where errors only become apparent after a hazardous situation or accident has occurred. E.g. ensuring water tight integrity, navigational safety (chart corrections, passage planning), maintenance operations, bunker operations.
Critical shipboard operations: where an error will immediately cause an accident or a situation that could threaten personnel, environment or vessel. e.g. navigation in confined waters, operation in heavy weather, bunker or oil transfers, cargo operations on tankers.
10. ISM CODE Requirements
1. The ISM Code requires every Company to develop, implement and maintain a safety management system (SMS) which includes these functional requirements:
2. A safety and environmental protection policy;
3. Instructions and procedures to ensure safe operation of ships, and protection of the environment, in compliance with relevant international and flag State legislation;
4. Defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
5. Procedures for reporting accidents and non-conformities with the provisions of this Code;
6. Procedures prepare and respond to emergency situations; and
7. Procedures for internal audits and management reviews.
Short Notes On ISM Code
PART-A:- IMPLEMENTATION
1. General
1.4 Functional requirements for a safety management system an introduction to the general purpose of the code and its objectives:
• The purpose of the code is to provide an international standard for the safe management and operation of ships and for prevention of pollution
• The objectives of the code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment.
1.4 Functional requirements for a safety management system an introduction to the general purpose of the code and its objectives:
• The purpose of the code is to provide an international standard for the safe management and operation of ships and for prevention of pollution
• The objectives of the code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment.
2. Safety and environmental protection policy
The Company should establish a safety and environmental protection policy which describes how objectives listed above will be achieved. - The company should ensure that the policy is implemented and maintained at all levels of the organization both ship based as well as shore based.
The Company should establish a safety and environmental protection policy which describes how objectives listed above will be achieved. - The company should ensure that the policy is implemented and maintained at all levels of the organization both ship based as well as shore based.
3. Company responsibilities and authority
. There must be disclosure from the owner to the administration as to who is responsible for the operation of the ship, The company should define and document responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention - The company must ensure there are adequate resources and shore based support for the designated person or persons to carry out their function. DPA Charter/Ops Commercial Technical Stores/Spares R &M Marine Crew Nautical Management
. There must be disclosure from the owner to the administration as to who is responsible for the operation of the ship, The company should define and document responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention - The company must ensure there are adequate resources and shore based support for the designated person or persons to carry out their function. DPA Charter/Ops Commercial Technical Stores/Spares R &M Marine Crew Nautical Management
4. Designated Person(s)
- A person or persons who has direct access to the highest levels of management providing a link between the company and those on board. - The responsibility and authority of the designated person is to provide for the safe operation of the vessels. He should monitor the safety and pollution prevention aspects of the operation of each vessel and ensure there are adequate shore side resources and support
- A person or persons who has direct access to the highest levels of management providing a link between the company and those on board. - The responsibility and authority of the designated person is to provide for the safe operation of the vessels. He should monitor the safety and pollution prevention aspects of the operation of each vessel and ensure there are adequate shore side resources and support
5. Masters responsibility and authority
- The roles and responsibilities of the Master should be clearly defined by the company with regard to the implementation of the Company policies with respect to SMS and methods for review and reporting deficiencies to the shore based management.
- The company should ensure that the SMS operating on board the vessel contains a clear statement emphasizing the Masters authority. The company should make it clear that the Master has the overall responsibility for decision making and has overriding authority with the option of adequate shore back up.
- The roles and responsibilities of the Master should be clearly defined by the company with regard to the implementation of the Company policies with respect to SMS and methods for review and reporting deficiencies to the shore based management.
- The company should ensure that the SMS operating on board the vessel contains a clear statement emphasizing the Masters authority. The company should make it clear that the Master has the overall responsibility for decision making and has overriding authority with the option of adequate shore back up.
6. Resources and Personnel
i). The company should ensure that the Master is suitably qualified and fully conversant with the SMS. They should also ensure that the ship is correctly manned.
ii). The company should ensure that there is adequate familiarization with safety and protection of the environment for new personnel. They should ensure that the personnel has an adequate understanding of the relevant rules, regulations, guidelines and codes.
iii). Training is to be provided where necessary. Relevant information for the SMS should be promulgated and be written in an easy to understand method.
i). The company should ensure that the Master is suitably qualified and fully conversant with the SMS. They should also ensure that the ship is correctly manned.
ii). The company should ensure that there is adequate familiarization with safety and protection of the environment for new personnel. They should ensure that the personnel has an adequate understanding of the relevant rules, regulations, guidelines and codes.
iii). Training is to be provided where necessary. Relevant information for the SMS should be promulgated and be written in an easy to understand method.
7. Development of plans for ship board operations
- The Company should establish procedures for the generation of shipboard plans and instructions with regard to the prevention of pollution and that these should be generated by qualified personnel
- The Company should establish procedures for the generation of shipboard plans and instructions with regard to the prevention of pollution and that these should be generated by qualified personnel
8. Emergency Preparedness: -
The Company should establish procedures for the response actions to potential emergency situations. Programmes for drill should be established and measures taken to ensure that the company's organization can respond to hazards and accidents.
The Company should establish procedures for the response actions to potential emergency situations. Programmes for drill should be established and measures taken to ensure that the company's organization can respond to hazards and accidents.
9. Reports and analysis of non-conformities, accidents and hazardous occurrences
The Company should ensure there is a procedure for the reporting and analysis of accidents, hazardous occurrences and non-conformities, and for the corrective action.
The Company should ensure there is a procedure for the reporting and analysis of accidents, hazardous occurrences and non-conformities, and for the corrective action.
10. Maintenance of the ship and equipment
- The Company is to ensure that the vessel is properly maintained. Procedures within the SMS should be in place to identify, record and plan for repair defects. A system of preventive maintenance should be in operation.
- Regular inspections integrated with the ships operational maintenance routine should take place to ensure that the vessel is in compliance with relevant regulations.
- The Company is to ensure that the vessel is properly maintained. Procedures within the SMS should be in place to identify, record and plan for repair defects. A system of preventive maintenance should be in operation.
- Regular inspections integrated with the ships operational maintenance routine should take place to ensure that the vessel is in compliance with relevant regulations.
11. Documentation
- The Company should establish and maintain procedures for the control of all documentation relevant to the SMS.
This should include;
i) Valid documents are available at all relevant locations
ii) Changes to documents are reviewed and approved by authorized personnel
iii) Obsolete documents are promptly removed - All documents, carried in a Company approved relevant form, should be present on board
- The Company should establish and maintain procedures for the control of all documentation relevant to the SMS.
This should include;
i) Valid documents are available at all relevant locations
ii) Changes to documents are reviewed and approved by authorized personnel
iii) Obsolete documents are promptly removed - All documents, carried in a Company approved relevant form, should be present on board
12. Company verification, review and evaluation.
- The company should carry out periodic audits to verify that safety and pollution prevention's are complying with SMS. The audits and corrective actions should be carried out as per laid down procedures.
- Personnel carrying out the audits should be independent of the areas that they are carrying out the audit unless size of the company is such that this is impractical.
- Deficiencies or defects found should be brought to the attention of the personnel in that section and the management team so effective corrective action can be carried out
- The company should carry out periodic audits to verify that safety and pollution prevention's are complying with SMS. The audits and corrective actions should be carried out as per laid down procedures.
- Personnel carrying out the audits should be independent of the areas that they are carrying out the audit unless size of the company is such that this is impractical.
- Deficiencies or defects found should be brought to the attention of the personnel in that section and the management team so effective corrective action can be carried out
PART B-CERTIFICATION AND VERIFICATION
13. Certification and Periodical Verification
- The ship should be operated by a Company which has been issued with a DOC or with an Interim DOC. The DOC should be issued by the Administration to any Company complying with the requirements of this Code for a period specified by the Administration which should not exceed 5 years. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.
-The DOC is only valid for the ship types explicitly indicated in the document. The validity of a DOC should be subject to annual verification by the Administration and at the request of the Administration within 3 months before or after the anniversary date. - A copy of the DOC should be held on board to allow the Master to produce it to the relevant authorities is required.
- The SMC should be issued to A ship for a period which should not exceed five years by the Administration. The SMC should be issued after verifying that the Company and its shipboard management operate in accordance with the approved SMS. Such a Certificate should be accepted as evidence that the ship is complying with the requirements of this Code.
14. Interim Certification
- An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when a Company is newly established or now ship types are to be added to an existing Document of Compliance, Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration. An Interim Safety Management Certificate may be issued to new ships on delivery when a Company takes on responsibility for the operation of a ship which is new to the Company when a ship changes flag. Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration.
15. Verification
- All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization.
- The ship should be operated by a Company which has been issued with a DOC or with an Interim DOC. The DOC should be issued by the Administration to any Company complying with the requirements of this Code for a period specified by the Administration which should not exceed 5 years. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.
-The DOC is only valid for the ship types explicitly indicated in the document. The validity of a DOC should be subject to annual verification by the Administration and at the request of the Administration within 3 months before or after the anniversary date. - A copy of the DOC should be held on board to allow the Master to produce it to the relevant authorities is required.
- The SMC should be issued to A ship for a period which should not exceed five years by the Administration. The SMC should be issued after verifying that the Company and its shipboard management operate in accordance with the approved SMS. Such a Certificate should be accepted as evidence that the ship is complying with the requirements of this Code.
14. Interim Certification
- An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when a Company is newly established or now ship types are to be added to an existing Document of Compliance, Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration. An Interim Safety Management Certificate may be issued to new ships on delivery when a Company takes on responsibility for the operation of a ship which is new to the Company when a ship changes flag. Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration.
15. Verification
- All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization.
16. 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 used is neither English nor French, the text should include a transition into one of these languages.
Requirements on board ship
1. Proof that the vessel is being maintained in a satisfactory condition at all times, and not only at the time of surveys- objective evidence in the form of no overdue surveys, no overdue recommendations from port or flag state inspections and that planned maintenance is being carried out and records kept.
- 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 used is neither English nor French, the text should include a transition into one of these languages.
Requirements on board ship
1. Proof that the vessel is being maintained in a satisfactory condition at all times, and not only at the time of surveys- objective evidence in the form of no overdue surveys, no overdue recommendations from port or flag state inspections and that planned maintenance is being carried out and records kept.
2. Applicable codes and guidelines are being taken into consideration when operating the vessel. Vessels staff must be able to demonstrate that operations are carried out in a controlled manner utilizing information contained in these codes, guidelines and standards.
3. That emergency situations have been identified and drills are conducted to ensure the vessel and company are ready to respond to emergency situations.
Examples of the type of documentation the auditor will wish to see to verify compliance with the ISM are as follows:
1. Log books
2. Safety and management meeting minutes and follow up actions
3. Medical log
4. Company circular letters
5. Planned maintenance records
6. Records of verification
7. Records of masters review of the system
8. Records of internal audits and follow up
9. Records of chart corrections
10. Class quarterly listings
11. Records of passage planning
12. Oil record books
13. Garbage logs
14. Company manual and forms.
3. That emergency situations have been identified and drills are conducted to ensure the vessel and company are ready to respond to emergency situations.
Examples of the type of documentation the auditor will wish to see to verify compliance with the ISM are as follows:
1. Log books
2. Safety and management meeting minutes and follow up actions
3. Medical log
4. Company circular letters
5. Planned maintenance records
6. Records of verification
7. Records of masters review of the system
8. Records of internal audits and follow up
9. Records of chart corrections
10. Class quarterly listings
11. Records of passage planning
12. Oil record books
13. Garbage logs
14. Company manual and forms.
QUESTIONS & ANSWERS
Q1. What is ISM Code?
Ans:- It is an International Standard for the Safe Operation of ships and for Pollution Prevention.
Q2. What is the structure of your Safety Management Manual?
Ans:- We have only one shipboard Safety Management Manual.
Ans:- It is an International Standard for the Safe Operation of ships and for Pollution Prevention.
Q2. What is the structure of your Safety Management Manual?
Ans:- We have only one shipboard Safety Management Manual.
Q3. Who is responsible to update the Safety Management Manual on board?
Ans:- Master.
Q4. How do you update your Safety Management Manual?
Ans:- After recording the notice or circular in the in-coming document ledger. We remove / destroy the obsolete pages, and insert the new pages, record & sign the correction made in the Revision sheet.
Ans:- Master.
Q4. How do you update your Safety Management Manual?
Ans:- After recording the notice or circular in the in-coming document ledger. We remove / destroy the obsolete pages, and insert the new pages, record & sign the correction made in the Revision sheet.
Q5. What is the Function of Designated Person?
Ans:- Designated Person provide a link between ship and shore, having direct access to the highest level of management. He is responsible for monitoring the safety and pollution prevention aspects of each ship and to ensure that adequate resources and shore-based support are available.
Q6. What is your Company Policy?
Ans:- Company Policy is to conduct business activities, taking foremost account in Health, Safety of all persons and safeguard of natural environment. i.e. Prevent Accident & Pollution, Promote health and Raise standards by training.
Q7. What are the responsibilities of Master under ISM Code?
Ans:- Master has six responsibilities under ISM Code. Implement, Review & Verify Safety Management System, Issue orders, Motivate crew & Report Non- Conformities.
Q8. How do you implement the company policy?
Ans:- By Training, Interview, Drill, Exercise & Education.
Q9. How do you motivate the crew members to follow SMS?
Ans:- By Training, Interview, Drill, Exercise & Education & tell them that safety is in their own interest.
Q10. How do you review the SMS?
Ans:- We discuss SMS during out Safety committee meetings.
- We examine Internal & External Audit reports. Port slate control reports. Class recommendations.
- We monitor on board training, new regulations and technology.
- We make an Annual Review Report in June every year and report to Designated Person.
Q11. How do you report Non-conformities, Accidents & Hazardous situations?
Ans:- We have non-conformity, accidents & hazardous situation reporting form. When any non-conformities, accidents hazardous situations arc reported we investigate, analyze and take corrective action. In case corrective action cannot be taken on board we report the "matter to Designated Person and seek company assistance.
Q12. How do you verify that SMS requirements are observed?
Ans:- Designated Person provide a link between ship and shore, having direct access to the highest level of management. He is responsible for monitoring the safety and pollution prevention aspects of each ship and to ensure that adequate resources and shore-based support are available.
Q6. What is your Company Policy?
Ans:- Company Policy is to conduct business activities, taking foremost account in Health, Safety of all persons and safeguard of natural environment. i.e. Prevent Accident & Pollution, Promote health and Raise standards by training.
Q7. What are the responsibilities of Master under ISM Code?
Ans:- Master has six responsibilities under ISM Code. Implement, Review & Verify Safety Management System, Issue orders, Motivate crew & Report Non- Conformities.
Q8. How do you implement the company policy?
Ans:- By Training, Interview, Drill, Exercise & Education.
Q9. How do you motivate the crew members to follow SMS?
Ans:- By Training, Interview, Drill, Exercise & Education & tell them that safety is in their own interest.
Q10. How do you review the SMS?
Ans:- We discuss SMS during out Safety committee meetings.
- We examine Internal & External Audit reports. Port slate control reports. Class recommendations.
- We monitor on board training, new regulations and technology.
- We make an Annual Review Report in June every year and report to Designated Person.
Q11. How do you report Non-conformities, Accidents & Hazardous situations?
Ans:- We have non-conformity, accidents & hazardous situation reporting form. When any non-conformities, accidents hazardous situations arc reported we investigate, analyze and take corrective action. In case corrective action cannot be taken on board we report the "matter to Designated Person and seek company assistance.
Q12. How do you verify that SMS requirements are observed?
Ans:- We have various checklists to verify the shipboard operations, we also verily by verbal confirmation and random check. In June every year we verify the system by using "Vessel Audit Checklist" (SMS) and report to Designated Person.
Q13. What is Master's overriding authority?
Ans:- Master has the overriding authority and responsibilities in decision making with regard to safety & pollution prevention.
- Master should not be constrained by commercial pressures when making such decisions.
- Master may request company assistance as required.
Q14. When Master has Overriding authority?
Ans:- At all times.
Q15. How do you ensure crew members understand SMS?
Ans:- By Training, Interview, Drill, Exercise and Education.
Q16. What training do you provide to crew members?
Ans:- We provide:
- Familiarization training on joining,
- SMS training ever 3 months,
- and Emergency drills as per schedule provided in SMS manual.
Q17. How do you ensure that only valid forms are used on board?
Ans:- (See Form Control Procedures is the SMS manual).
Q18. What is the important machinery as per SMS?
Ans:- Main Engine, Generator & Steering Gear.
Q19. What are the Key and Critical shipboard operations?
Ans:- Key Operations.
- Bridge and navigational procedures
- Engine room procedures
- Watch-keeping procedures in Port
- Cargo operations
- Ship to ship transfer
- Mooring Procedures
- Inert Gas system
- Crude oil washing
- Bunkering
- Bunker barge procedures
B Critical Operation.
- Pollution prevention .
- Navigation in restricted visibility (< 3 miles)
- Navigation in Heavy weather (Wind force > 6, Wave height > 5m)
- Navigation in narrow channel & congested waters (< 3 miles)
- Entry into enclosed space
- Hot & Cold work
Q20. How do you contact & report company in an Emergency?
Ans:- In an emergency we immediately contact our Designated Person or alternative person as per our Emergency Contact List.
— Then we send details as per "Emergency Report Form".
— Followed by Specific Emergency report.
— Later we make a report on "Non-Conformity Form" for the record of investigation & corrective action taken.
Q21. Four Reasons to adopt the ISM Code.
Ans:- 1. It makes your ship a safer place to work.
2. It protects the sea and the marine environment
3. It clearly defines your Job.
4. It is the Law.
ISM Code is mandatory. Compliance with the ISM Code is required by Chapter nine of SOLAS-74 Convention.
Deadline for Tankers, Bulk Carriers and Passenger ships was July 1991. For all other ships July 2002.
Q13. What is Master's overriding authority?
Ans:- Master has the overriding authority and responsibilities in decision making with regard to safety & pollution prevention.
- Master should not be constrained by commercial pressures when making such decisions.
- Master may request company assistance as required.
Q14. When Master has Overriding authority?
Ans:- At all times.
Q15. How do you ensure crew members understand SMS?
Ans:- By Training, Interview, Drill, Exercise and Education.
Q16. What training do you provide to crew members?
Ans:- We provide:
- Familiarization training on joining,
- SMS training ever 3 months,
- and Emergency drills as per schedule provided in SMS manual.
Q17. How do you ensure that only valid forms are used on board?
Ans:- (See Form Control Procedures is the SMS manual).
Q18. What is the important machinery as per SMS?
Ans:- Main Engine, Generator & Steering Gear.
Q19. What are the Key and Critical shipboard operations?
Ans:- Key Operations.
- Bridge and navigational procedures
- Engine room procedures
- Watch-keeping procedures in Port
- Cargo operations
- Ship to ship transfer
- Mooring Procedures
- Inert Gas system
- Crude oil washing
- Bunkering
- Bunker barge procedures
B Critical Operation.
- Pollution prevention .
- Navigation in restricted visibility (< 3 miles)
- Navigation in Heavy weather (Wind force > 6, Wave height > 5m)
- Navigation in narrow channel & congested waters (< 3 miles)
- Entry into enclosed space
- Hot & Cold work
Q20. How do you contact & report company in an Emergency?
Ans:- In an emergency we immediately contact our Designated Person or alternative person as per our Emergency Contact List.
— Then we send details as per "Emergency Report Form".
— Followed by Specific Emergency report.
— Later we make a report on "Non-Conformity Form" for the record of investigation & corrective action taken.
Q21. Four Reasons to adopt the ISM Code.
Ans:- 1. It makes your ship a safer place to work.
2. It protects the sea and the marine environment
3. It clearly defines your Job.
4. It is the Law.
ISM Code is mandatory. Compliance with the ISM Code is required by Chapter nine of SOLAS-74 Convention.
Deadline for Tankers, Bulk Carriers and Passenger ships was July 1991. For all other ships July 2002.
INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS
AND FOR POLLUTION PREVENTION (INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE)
PART A: IMPLEMENTATION
1. GENERAL
AND FOR POLLUTION PREVENTION (INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE)
PART A: IMPLEMENTATION
1. GENERAL
1.1 Definitions
The following definitions apply to parts A and B of this Code.
1.1.1 International Safety Management (ISM) Code means 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.
1.1.2 Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the shipowner and who, on assuming such responsibility, has agreed to take over all the duties and responsibility imposed by the Code.
1.1.3 Administration means the Government of the State whose flag the ship is entitled to fly.
1.1.4 Safety Management System means a structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy.
1.1.5 Document of Compliance means a document issued to a Company which complies with the requirements of this Code.
1.1.6 Safety Management Certificate means a document issued to a ship which signifies that the Company and its shipboard management operate in accordance with the approved safety management system.
1.1.7 Objective evidence means quantitative or qualitative information, records or statements of fact pertaining of safety or to the existence and implementation of a safety management system element, which is based on observation, measurement or test and which can be verified.
1.1.8 Observation means a statement of fact made during a safety management audit and substantiated by objective evidence.
1.1.9 Non-conformity means an observed situation where objective evidence indicates the non-fulfillment of a specified requirement.
1.1.10Major non-conformity means an identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of this Code.
1.1.11 Anniversary date means the day and month of each year that corresponds to the date of expiry of the relevant document or certificate.
1.1.12Convention means the International Convention for the Safety of Life at Sea, 1974 as amended.
1.2 Objectives
1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular to the marine environment, and to property.
1.2.2 Safety-management objectives of the Company should, inter alia:
.1 provide for safe practices in ship operation and a safe working environment;
.2 assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards; and
.3 continuously improve safety-management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.
1.2.3 The safety-management system should ensure:
.1 compliance with mandatory rules and regulations; and
.2 that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.
1.3 Application
The requirements of this Code may be applied to all ships.
Revised ISM Code
Effective as from 1 January 2015
The following definitions apply to parts A and B of this Code.
1.1.1 International Safety Management (ISM) Code means 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.
1.1.2 Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the shipowner and who, on assuming such responsibility, has agreed to take over all the duties and responsibility imposed by the Code.
1.1.3 Administration means the Government of the State whose flag the ship is entitled to fly.
1.1.4 Safety Management System means a structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy.
1.1.5 Document of Compliance means a document issued to a Company which complies with the requirements of this Code.
1.1.6 Safety Management Certificate means a document issued to a ship which signifies that the Company and its shipboard management operate in accordance with the approved safety management system.
1.1.7 Objective evidence means quantitative or qualitative information, records or statements of fact pertaining of safety or to the existence and implementation of a safety management system element, which is based on observation, measurement or test and which can be verified.
1.1.8 Observation means a statement of fact made during a safety management audit and substantiated by objective evidence.
1.1.9 Non-conformity means an observed situation where objective evidence indicates the non-fulfillment of a specified requirement.
1.1.10Major non-conformity means an identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of this Code.
1.1.11 Anniversary date means the day and month of each year that corresponds to the date of expiry of the relevant document or certificate.
1.1.12Convention means the International Convention for the Safety of Life at Sea, 1974 as amended.
1.2 Objectives
1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular to the marine environment, and to property.
1.2.2 Safety-management objectives of the Company should, inter alia:
.1 provide for safe practices in ship operation and a safe working environment;
.2 assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards; and
.3 continuously improve safety-management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.
1.2.3 The safety-management system should ensure:
.1 compliance with mandatory rules and regulations; and
.2 that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.
1.3 Application
The requirements of this Code may be applied to all ships.
Revised ISM Code
Effective as from 1 January 2015
1.4 Functional requirements for a safety-management system
Every Company should develop, implement and maintain a safety management system (SMS) which includes the following functional requirements:
.1 a safety and environmental-protection policy;
.2 instructions and procedures to ensure safe operation 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;
.4 procedures for reporting accidents and non- conformities with the provisions of this Code;
.5 procedures to prepare for and respond to emergency situations ;and
.6 procedures for internal audits and management reviews.
Every Company should develop, implement and maintain a safety management system (SMS) which includes the following functional requirements:
.1 a safety and environmental-protection policy;
.2 instructions and procedures to ensure safe operation 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;
.4 procedures for reporting accidents and non- conformities with the provisions of this Code;
.5 procedures to prepare for and respond to emergency situations ;and
.6 procedures for internal audits and management reviews.
2. SAFETY AND ENVIRONMENTAL PROTECTION POLICY
2.1 The Company should establish a safety and environmental-protection policy which describes how the objectives given in paragraph 1.2 will be achieved.
2.2 The Company should ensure that the policy is implemented and maintained at all levels of the organization both, ship-based and shore-based
3. COMPANY RESPONSIBILITIES AND AUTHORITY
3.1 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.
3.2 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.
3.3 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.
4. 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 ensuring that adequate resources and shore-based support are applied, as required.
5. MASTER'S RESPONSIBILITY AND AUTHORITY
5.1 The Company should clearly define and document the master's responsibility with regard to:
.1 implementing the safety and environmental-protection policy of the Company;
.2 motivating the crew in the observation of that policy;
.3 issuing appropriate orders and instructions in a clear and simple manner;
.4 verifying that specified requirements are observed; and
.5 periodically reviewing the SMS and reporting its deficiencies to the shore-based management.
5.2 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.
6. RESOURCES AND PERSONNEL
6.1 The Company should ensure that the master is:
.1 properly qualified for command;
.2 fully conversant with the Company's SMS; and
.3 given the necessary support so that the master's duties can be safely performed.
6.2 The Company should ensure that each ship is:
.1 manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements; and
.2 appropriately manned in order to encompass all aspects of maintaining safe operation on board.*
* Refer to the Principles of minimum safe manning, adopted by the Organization by Resolution A.1047(27)
6.3 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.
6.4 The Company should ensure that all personnel involved in the Company's SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.
6.5 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.
6.6 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.
6.7 The Company should ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the SMS.
7. SHIPBOARD OPERATIONS
The Company should establish procedures, plans and instructions, , including checklist as appropriate, for key shipboard operations concerning the safety of the personnel, ship and protection of the environment. The various tasks should be defined and assigned to qualified personnel.
8. EMERGENCY PREPAREDNESS
8.1 The Company should identify potential emergency shipboard situations, and establish procedures to respond to them.
8.2 The Company should establish programmes for drills and exercises to prepare for emergency actions.
8.3 The SMS should provide for measures ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships.
9. REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES
9.1 The SMS should include procedures ensuring that non- conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the objective of improving safety and pollution prevention.
9.2 The Company should establish procedures for the implementation of corrective action, including measures intended to prevent recurrence.
10. MAINTENANCE OF THE SHIP AND EQUIPMENT
10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.
10.2 In meeting these requirements the Company should ensure that:
.1 inspections are held at appropriate intervals;
.2 any non-conformity is reported, with its possible cause, if known;
.3 appropriate corrective action is taken; and
.4 records of these activities are maintained.
10.3 The Company should identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.
10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the ship's operational maintenance routine.
11. DOCUMENTATION
11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS
11.2 The Company should ensure that:
.1 valid documents are available at all relevant locations;
.2 changes to documents are reviewed and approved by authorized personnel; and
.3 obsolete documents are promptly removed.
11.3 The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.
12. COMPANY VERIFICATION, REVIEW AND EVALUATION
12.1 The Company should 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. In exceptional circumstances, this interval may be exceeded by not more than three months.
12.2 The Company should periodically verify whether all those undertaking delegated ISM-related tasks are acting in conformity with the Company’s responsibilities under the Code.
12.3 The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures established by the Company
12.4 The audits and possible corrective actions should be carried out in accordance with documented procedures.
12.5 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.
12.6 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.
12.7 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.
PART B – CERTIFICATION AND VERIFICATION
13 CERTIFICATION AND PERIODICAL VERIFICATION
13.1 The ship should be operated by a Company which has been issued with a Document of Compliance or with an Interim Document of Compliance in accordance with paragraph 14.1, relevant to that ship.
13.2 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. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.
13.3 The Document of Compliance is only valid for the ship types explicitly indicated in the document. Such indication should be based on the types of ships on which the initial verification was based. Other ship types should only be added after verification of the Company’s capability to comply with the requirements of this Code applicable to such ship types. In this context, ship types are those referred to in regulation IX/1 of the Convention.
13.4 The validity of a Document of Compliance should be subject to annual verification by the Administration or by an organization recognized by the Administration or, at the request of the Administration by another Contracting Government within three months before or after the anniversary date.
13.5 The Document of Compliance should be withdrawn by the Administration or, at its request, by the Contracting Government which issued the document, when the annual verification required in paragraph 13.4 is not requested or if there is evidence of major non-conformities with this Code.
13.5.1 All associated Safety Management Certificates and/or Interim Safety Management Certificates should also be withdrawn if the Document of Compliance is withdrawn.
13.6 A copy of the Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be authenticated or certified.
13.7 The Safety Management Certificate should be issued to a ship for a period which should not exceed five years by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. The Safety Management Certificate should be issued after verifying that the Company and its shipboard management operate in accordance with the approved safety management system. Such a certificate should be accepted as evidence that the ship is complying with the requirements of this Code.
13.8 The validity of the Safety Management Certificate should be subject to at least one intermediate verification by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. If only one intermediate verification is to be carried out and the period of validity of the Safety Management Certificate is five years, it should take place between the second and third anniversary date of the Safety Management Certificate.
13.9 In addition to the requirements of paragraph 13.5.1, the Safety Management Certificate should be withdrawn by the Administration or, at the request of the Administration, by the Contracting Government which has issued it when the intermediate verification required in paragraph 13.8 is not requested or if there is evidence of major non-conformities with this Code.
13.10 Notwithstanding the requirements of paragraphs 13.2 and 13.7, when the renewal verification is completed within three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of expiry of the existing Document of Compliance or Safety Management Certificate.
13.11 When the renewal verification is completed more than three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of completion the renewal verification.
13.12 When the renewal verification is completed after the expiry date of the existing Safety Management Certificate, the new Safety Management Certificate should be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing Safety Management Certificate.
13.13 If a renewal verification has been completed and a new Safety Management Certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the Administration or organization recognized by the Administration may endorse the existing certificate and such a certificate should be accepted as valid for a further period which should not exceed five months from the expiry date.
13.14 If a ship at the time when a Safety Management Certificate expires is not in a port in which it is to be verified, the Administration may extend the period of validity of the Safety Management Certificate but this extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No Safety Management Certificate should be extended for a period of longer than three months, and the ship to which an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new Safety Management Certificate. When the renewal verification is completed, the new Safety Management Certificate should be valid to a date not exceeding five years from the expiry date of the existing Safety Management Certificate before the extension was granted.
14 INTERIM CERTIFICATION
14.1An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:
.1 a Company is newly established; or
.2 new ship types are to be added to an existing Document of Compliance,
following verification that the Company has a safety management system that meets the objectives of paragraph 1.2.3 of this Code, provided the Company demonstrates plans to implement a safety management system meeting the full requirements of this Code within the period of validity of the Interim Document of Compliance. Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. A copy of the Interim Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be authenticated or certified.
14.2An 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; or
.3 when a ship changes flag.
Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government.
14.3An Administration or, at the request of the Administration, another Contracting Government may, in special cases, extend the validity of an Interim Safety Management Certificate for a further period which should not exceed 6 months from the date of expiry.
14.4An Interim Safety Management Certificate may be issued following verification that:
.1the Document of Compliance, or the Interim Document of Compliance, is relevant to the ship concerned;
.2 the safety management system provided by the Company for the ship concerned includes key elements of this Code and has been assessed during the audit for issuance of the Document of Compliance or demonstrated for issuance of the Interim Document of Compliance;
.3 the Company has planned the internal audit of the ship within three months;
.4 the master and officers are familiar with the safety management system and the planned arrangements for its implementation;
.5 instructions, which have been identified as being essential, are provided prior to sailing; and
.6 relevant information on the safety management system has been given in a working language or languages understood by the ship’s personnel.
15 VERIFICATION
15.1 All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization*.
*: Refer to the Revised Guidelines on implementation of the International Safety Management (ISM) Code by Administrations adopted by the Organization by resolution A.1071 (28)
16 FORMS OF CERTIFICATES
16.1 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 used is neither English nor French, the text should include a translation into one of these languages.
16.2 In addition to the requirements of paragraph 13.3 the ship types indicated on the Document of Compliance and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the ships described in the safety managing system.
2.2 The Company should ensure that the policy is implemented and maintained at all levels of the organization both, ship-based and shore-based
3. COMPANY RESPONSIBILITIES AND AUTHORITY
3.1 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.
3.2 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.
3.3 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.
4. 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 ensuring that adequate resources and shore-based support are applied, as required.
5. MASTER'S RESPONSIBILITY AND AUTHORITY
5.1 The Company should clearly define and document the master's responsibility with regard to:
.1 implementing the safety and environmental-protection policy of the Company;
.2 motivating the crew in the observation of that policy;
.3 issuing appropriate orders and instructions in a clear and simple manner;
.4 verifying that specified requirements are observed; and
.5 periodically reviewing the SMS and reporting its deficiencies to the shore-based management.
5.2 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.
6. RESOURCES AND PERSONNEL
6.1 The Company should ensure that the master is:
.1 properly qualified for command;
.2 fully conversant with the Company's SMS; and
.3 given the necessary support so that the master's duties can be safely performed.
6.2 The Company should ensure that each ship is:
.1 manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements; and
.2 appropriately manned in order to encompass all aspects of maintaining safe operation on board.*
* Refer to the Principles of minimum safe manning, adopted by the Organization by Resolution A.1047(27)
6.3 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.
6.4 The Company should ensure that all personnel involved in the Company's SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.
6.5 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.
6.6 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.
6.7 The Company should ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the SMS.
7. SHIPBOARD OPERATIONS
The Company should establish procedures, plans and instructions, , including checklist as appropriate, for key shipboard operations concerning the safety of the personnel, ship and protection of the environment. The various tasks should be defined and assigned to qualified personnel.
8. EMERGENCY PREPAREDNESS
8.1 The Company should identify potential emergency shipboard situations, and establish procedures to respond to them.
8.2 The Company should establish programmes for drills and exercises to prepare for emergency actions.
8.3 The SMS should provide for measures ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships.
9. REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES
9.1 The SMS should include procedures ensuring that non- conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the objective of improving safety and pollution prevention.
9.2 The Company should establish procedures for the implementation of corrective action, including measures intended to prevent recurrence.
10. MAINTENANCE OF THE SHIP AND EQUIPMENT
10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.
10.2 In meeting these requirements the Company should ensure that:
.1 inspections are held at appropriate intervals;
.2 any non-conformity is reported, with its possible cause, if known;
.3 appropriate corrective action is taken; and
.4 records of these activities are maintained.
10.3 The Company should identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.
10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the ship's operational maintenance routine.
11. DOCUMENTATION
11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS
11.2 The Company should ensure that:
.1 valid documents are available at all relevant locations;
.2 changes to documents are reviewed and approved by authorized personnel; and
.3 obsolete documents are promptly removed.
11.3 The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.
12. COMPANY VERIFICATION, REVIEW AND EVALUATION
12.1 The Company should 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. In exceptional circumstances, this interval may be exceeded by not more than three months.
12.2 The Company should periodically verify whether all those undertaking delegated ISM-related tasks are acting in conformity with the Company’s responsibilities under the Code.
12.3 The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures established by the Company
12.4 The audits and possible corrective actions should be carried out in accordance with documented procedures.
12.5 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.
12.6 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.
12.7 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.
PART B – CERTIFICATION AND VERIFICATION
13 CERTIFICATION AND PERIODICAL VERIFICATION
13.1 The ship should be operated by a Company which has been issued with a Document of Compliance or with an Interim Document of Compliance in accordance with paragraph 14.1, relevant to that ship.
13.2 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. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.
13.3 The Document of Compliance is only valid for the ship types explicitly indicated in the document. Such indication should be based on the types of ships on which the initial verification was based. Other ship types should only be added after verification of the Company’s capability to comply with the requirements of this Code applicable to such ship types. In this context, ship types are those referred to in regulation IX/1 of the Convention.
13.4 The validity of a Document of Compliance should be subject to annual verification by the Administration or by an organization recognized by the Administration or, at the request of the Administration by another Contracting Government within three months before or after the anniversary date.
13.5 The Document of Compliance should be withdrawn by the Administration or, at its request, by the Contracting Government which issued the document, when the annual verification required in paragraph 13.4 is not requested or if there is evidence of major non-conformities with this Code.
13.5.1 All associated Safety Management Certificates and/or Interim Safety Management Certificates should also be withdrawn if the Document of Compliance is withdrawn.
13.6 A copy of the Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be authenticated or certified.
13.7 The Safety Management Certificate should be issued to a ship for a period which should not exceed five years by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. The Safety Management Certificate should be issued after verifying that the Company and its shipboard management operate in accordance with the approved safety management system. Such a certificate should be accepted as evidence that the ship is complying with the requirements of this Code.
13.8 The validity of the Safety Management Certificate should be subject to at least one intermediate verification by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. If only one intermediate verification is to be carried out and the period of validity of the Safety Management Certificate is five years, it should take place between the second and third anniversary date of the Safety Management Certificate.
13.9 In addition to the requirements of paragraph 13.5.1, the Safety Management Certificate should be withdrawn by the Administration or, at the request of the Administration, by the Contracting Government which has issued it when the intermediate verification required in paragraph 13.8 is not requested or if there is evidence of major non-conformities with this Code.
13.10 Notwithstanding the requirements of paragraphs 13.2 and 13.7, when the renewal verification is completed within three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of expiry of the existing Document of Compliance or Safety Management Certificate.
13.11 When the renewal verification is completed more than three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of completion the renewal verification.
13.12 When the renewal verification is completed after the expiry date of the existing Safety Management Certificate, the new Safety Management Certificate should be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing Safety Management Certificate.
13.13 If a renewal verification has been completed and a new Safety Management Certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the Administration or organization recognized by the Administration may endorse the existing certificate and such a certificate should be accepted as valid for a further period which should not exceed five months from the expiry date.
13.14 If a ship at the time when a Safety Management Certificate expires is not in a port in which it is to be verified, the Administration may extend the period of validity of the Safety Management Certificate but this extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No Safety Management Certificate should be extended for a period of longer than three months, and the ship to which an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new Safety Management Certificate. When the renewal verification is completed, the new Safety Management Certificate should be valid to a date not exceeding five years from the expiry date of the existing Safety Management Certificate before the extension was granted.
14 INTERIM CERTIFICATION
14.1An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:
.1 a Company is newly established; or
.2 new ship types are to be added to an existing Document of Compliance,
following verification that the Company has a safety management system that meets the objectives of paragraph 1.2.3 of this Code, provided the Company demonstrates plans to implement a safety management system meeting the full requirements of this Code within the period of validity of the Interim Document of Compliance. Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. A copy of the Interim Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be authenticated or certified.
14.2An 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; or
.3 when a ship changes flag.
Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government.
14.3An Administration or, at the request of the Administration, another Contracting Government may, in special cases, extend the validity of an Interim Safety Management Certificate for a further period which should not exceed 6 months from the date of expiry.
14.4An Interim Safety Management Certificate may be issued following verification that:
.1the Document of Compliance, or the Interim Document of Compliance, is relevant to the ship concerned;
.2 the safety management system provided by the Company for the ship concerned includes key elements of this Code and has been assessed during the audit for issuance of the Document of Compliance or demonstrated for issuance of the Interim Document of Compliance;
.3 the Company has planned the internal audit of the ship within three months;
.4 the master and officers are familiar with the safety management system and the planned arrangements for its implementation;
.5 instructions, which have been identified as being essential, are provided prior to sailing; and
.6 relevant information on the safety management system has been given in a working language or languages understood by the ship’s personnel.
15 VERIFICATION
15.1 All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization*.
*: Refer to the Revised Guidelines on implementation of the International Safety Management (ISM) Code by Administrations adopted by the Organization by resolution A.1071 (28)
16 FORMS OF CERTIFICATES
16.1 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 used is neither English nor French, the text should include a translation into one of these languages.
16.2 In addition to the requirements of paragraph 13.3 the ship types indicated on the Document of Compliance and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the ships described in the safety managing system.
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