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ISM Code All you should know about International

Safety Management Code
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ISM code is International Safety Management code for the safe operation of ships and for
pollution prevention, as adopted by IMO assembly.

The basic principles of the ISM code

1. Safety of people on board
2. Safety of the ship and cargo
3. Safety of environment

The Code establishes safety management objectives and requires a safety management

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system (SMS) to be established by the Company, which is defined as the shipowner or any
person, such as the manager or bareboat charterer, who has assumed responsibility for
operating the ship. The Company is then required to establish and implement a policy for
achieving these objectives. This includes providing the necessary resources and shore-based
support. Every company is expected to designate a person or persons ashore having direct
access to the highest level of management.The procedures required by the Code should be
documented and compiled in a Safety Management Manual, a copy of which should be kept
on board.

Responsibilities of safety could not be left entirely to the master of the ship alone. The
cornerstone of good safety management is the commitment from the top. In matters of safety
and pollution prevention, it is the commitment, competence, attitude and motivation of
individuals at all levels that determines the end result.

Amendments to the ISM Code

The ISM Code was amended in December 2000 by resolution MSC.104(73), and these
amendments entered into force on 1 July 2002. It was further amended in December 2004 by
resolution MSC.179(79), and these amendments entered into force on 1 July 2006. It was
further amended in May 2005 by resolution MSC.195(80), and these amendments entered into
force on 1 January 2009. The ISM Code was also amended in December 2008 by resolution
MSC.273(85). This resolution was adopted on 1 January 2010, and the amendments entered
into force on 1 July 2010. The Code was further amended in June 2013 by resolution
MSC.353(92) and these amendments entered into force on 1 January 2015.

Important Definitions
1. The company is the owner of the ship or any other organization or person such as a
manager or bareboat charterer, who has responsibility for the operation of the ship from
the owner, and who on assuming responsibility has agreed to take over all duties and
responsibilities imposed by the code.
2. The administration is the Government of the State whose flag the ship in entitled to fly.
3. Safety Management System is a structured and documented system enabling the
company and its personnel to implement effectively the safety and environmental
protection policy.
4. Document of Compliance is a document issued to a company complying with Codes
requirements.
5. Safety Management Certificate is a document issued to a ship signifying that company
and its shipboard management operate in accordance with the approved SMS.
6. Objective Evidence is qualitative or quantitative information, records or statements of
fact pertaining to safety or the existence and implementation of a safety management
system element, which is based on observation, measurement or test and which can be
verified.
7. Observation is a statement of fact made during a safety management audit and
substantiated by objective evidence.
8. Non-conformity is an observed situation where objective evidence indicates the non-
fulfilment of a specified requirement.
9. Major non-conformity is 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 and includes the lack of effective and systematic implementation of a

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 requirement of this code.
10. The anniversary date is the day and month of each year corresponding to the expiry
date of relevant document or certification.
11. The convention is SOLAS 1974 as amended.

The objective of SMS is to ensure compliance with mandatory rules and regulations; and that
applicable codes, guidelines and standards recommended by IMO, administrations,
classification societies and maritime industry organizations are taken into account.

Functional requirements for SMS

Every company should develop, implement and maintain SMS which includes 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 level 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.
6. Procedures for internal audits and management reviews.

Responsibilities
Company
If the owner is not responsible for the implementation of the code, he must inform the Flag
State Administration (FSA) the name and details of the entity.
The company should define and document responsibilities, authorities, and interrelation of all
personnel who manage, perform and verify work related to and affecting safety and pollution
prevention.
Company is responsible for ensuring that adequate resources and shore-based support are
provided to enable DPA to carry out their functions.

Company should:

1. Ensure that the ship is manned with qualified, certificated and medically fit seafarers in
accordance with national and international requirements.
2. Establish procedures to ensure new personnel and personnel transferred to new
assignments related to safety and environment protection are given proper familiarization
with their duties.
3. Identify essential pre-sailing instructions and have it documented and be given to all
concerned.
4. Ensure all personnel are familiar with the SMS and have an adequate understanding of all
relevant rules, regulations, codes and guidelines.
5. Establish and maintain procedures for identifying any training required in support of SMS
and ensure such training is provided for personnel concerned.
6. Establish procedures by which the ships personnel receive relevant information on the
SMS in a working language or languages understood by them.

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 7. Ensure that the ships personnel are able to communicate effectively in the execution of
their duties related to the SMS.

DPA (Designated Person Ashore)

DPA is the Designated Authority Ashore. The person responsible is to ensure safe operation of
each ship and provide a link between the company and the crew.

The DPA should have direct access to the highest level of management.
Responsibility and authority of the DPA should include monitoring safety and pollution
prevention aspects of the operation of each ship and ensuring adequate resources and shore-
based support are applied, as required.
a

d Master
f Masters responsibilities and authorities are:
k
1. Implementation of the safety and environmental protection policy of the company
6 motivating the crew in the observation of the policy.
2. Motivating the crew in the observation of the policy issuing appropriate orders and
inspections in a clear and simple manner.
3. Issuing appropriate orders and inspections in a clear and simple manner and verifying
that specified requirements are observed.
4. Reviewing the SMS and reporting its deficiencies to shore based management.

The company should ensure that SMS operating on ship contains a clear statement
emphasizing the masters authority. The Company should ensure that the master is properly
qualified for command, fully conversant with the companys SMS and given the necessary
support for the safe performance of the masters duties. The company should establish in SMS
that the master has the overriding authority and responsibility to make decisions with respect
to safety and pollution prevention and to request companys assistance as may be necessary.

ISM Code Implementation on Ship

1. Development of plans for shipboard operations, instructions and checklists for key
shipboard operations concerning the safety of the ship and pollution prevention. Tasks
involved should be defined and assigned to qualified personnel.
2. Emergency preparedness to respond to onboard emergencies. The company should
establish programs for drills and exercises to prepare for emergency actions.
3. Reports and analysis of non-conformities, accidents, and hazardous occurrences. SMS
should include procedures to report and analyze above. All incidents are to be
investigated with the objective of improving the safety and pollution prevention record.
Procedures are established for implementation of corrective action.
4. Maintenance of the ship and equipment.

This will include:

inspections are held at appropriate intervals; any non-conformity is reported with its
cause if possible; appropriate corrective action is
inspections are held at appropriate intervals
any non-conformity is reported with its cause if possible appropriate corrective action is

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 appropriate corrective action is taken and records of these activities are maintained;
all equipment and systems are tested regularly
inspections and measures as above must be integrated into ships operational
maintenance routine

5. Documentation should ensure that valid documents are available at all times, changes in
documentation are reviewed and approved by authorized personnel and obsolete
documents are promptly removed. Documents are incorporated in the SMS manual.
6. Company verification, review, and evaluation should ensure audits are conducted at
regular intervals. Corrective actions should be carried out. Auditors should be
independent.

Certification and Verification

A ship can only be operational with a valid DOC (Document of Compliance) issued to a
company. DOC is valid for ship types it lists e.g. tanker, gas carrier, container ship etc. DOC is
issued by the FSA (Formal Safety Assessment) and valid for 5 years, with annual verification
by FSA within 3 months before or after the anniversary date. A copy of the DOC must be kept
on board and need not be authenticated or certified.
DOC can be withdrawn if the annual verification is not requested or there is a reported major
non-conformity. If a DOC is withdrawn, all associated SMC (Safety Management Certificate)
or ISMC (Interim Safety Management Certificate) will be withdrawn.

SMC (Safety Management Certificate) is issued to ship by the FSA. The period of validity for
SMC is 5 years with annual verification within 3 months before or after the anniversary date.
Interim verification is done between 2nd and 3rd-anniversary dates. SMC can be withdrawn if
the annual verification is not requested or there is a reported major non-conformity.

IDOC (Interim Document of Compliance) is issued to a company newly established or a new

type of ship is added to an existing DOC. IDOC is issued by the FSA and valid for not more than
12 months.

ISMC (Interim Safety Management Certificate) is issued to a new ship on delivery or when a
company takes on responsibility for the operation of a ship which is new to the company or
when a ship changes flag. ISMC is issued by the FSA and valid for not more than 6 months but
can be extended as a special case by the FSA.

IMSC is issued after verification that:

1. DOC or IDOC is relevant to the ship;
2. SMS provided by the company for the ship includes key elements of ISM code and has
been assessed during the audit for issuance of DOC or IDOC;
3. the company has planned a ship audit within 3 months;
4. master and officers are familiar with SMS and planned arrangements for its
implementation;
5. essential pre-sailing inspections are provided; and
6. relevant information on SMS has been given in working language (s) understood by ships
personnel.

Safety Officer as per ISM

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Every ship must appoint a competent person as a safety officer. He is defined as a person who
has sufficient training and experience or knowledge and other qualities to enable him properly
to undertake the duty imposed under the relevant provision in these regulations. He has, in
addition, a minimum of two years consecutive sea service since attaining the age of 18. In the
case of a tanker, the safety officer shall minimum six months service in a tanker included in the
2 years sea service. Appointment of a safety officer must be recorded in writing in the Official
Log Book.

Pic Courtesy: Azalea Maritime

The duties of a Safety Officer are:

1. Improve the standard of safety consciousness among the crew and ensure that the
provisions of the code of Safe Working Practices and safety instructions, rules and
guidance for the ship relating to health and safety are complied with.
2. Investigate so far as possible every accident involving death, major or serious injury and
every dangerous occurrence;
3. investigate all potential hazards to health and safety;
4. investigate all reasonable complaints by workers about health and safety and make
recommendations to the master to prevent their recurrence or to remove any hazard,
provided that the duty to investigate will not extend to accidents arising from a casualty
to the ship;
5. ensure that health and safety inspection of the ship is carried out at least every 3 months
and more frequently if there are substantial changes in the conditions of work;
6. make representation and where appropriate recommendations to the master about any
deficiencies in respect of health, security, safety and following of the code;
7. maintain a record of all accidents involving death, major or serious injury and every
dangerous occurrence and make it available to any elected Safety Representative, to the
master and to any official of the FSA;
8. stop any work in progress, which he believes with reasonable certainty may cause an
accident and report the matter immediately to the master or his deputy.

The safety officer is not to carry out above duties in the case when emergency action to
safeguard life or the ship is being taken.
The safety officer should not be in charge of medical treatment.

Safety Representatives
The company must make rules for the election and appointment of safety representatives. The
safety representatives must be voted with the maximum votes. He must have a minimum 2

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years consecutive sea service since attaining the age of 18 years, which in the case of tankers
must include 6 months tanker service.

The appointment of a safety representative will terminate on that person signing off or
resigning from the company.If the ship has crew number from 6 to 15, the officers and crew
should elect one safety representative. If there are more than 16, one safety representative
each should be elected from the officers and the crew respectively. If there are more than 30
ratings one safety representative from the officers and three safety representatives from the
rating i.e. one from the deck, one from the engine and one from the catering department.
Appointment of a safety representative must be recorded in writing in the Official Log Book.

The safety representative has the following powers:

1. to participate subject to the concurrence of the safety officer in any investigation or
inspection;
2. to make similar investigation or inspection on his own;
3. to make representation to the employee on potential hazards and dangerous
occurrences at the workplace;
4. to make representations to the master and the employer on general matters affecting the
health and safety of workers on the ship;
5. to request the safety officer to carry out any occupational health and safety inspection
they consider necessary and report the findings to them.

The safety representative must have a good relationship with the safety officer and should
work with him to raise the safety standard on board.

Safety Committee
Every ship having an elected safety representative must have a safety committee. The master
is the chairman of that committee. The safety officer and the safety representatives are the
members including any competent person chosen. The appointment of any competent person
must be recorded in the Official Log Book.
The safety committee has the same powers under the regulations as the safety
representatives. The secretary of the committee should not preferably be the safety officer, as
he has to concentrate on the discussions. The committee should be compact and well-knit to
ensure its proper functioning. The meetings should be held every 4 to 6 weeks and as required
by the circumstances.

Duties of a safety committee are:

1. to use its best endeavor to ensure that the Code of Safe Working Procedures as laid
down are followed;
2. to improve the standards of safety consciousness among the crew;
3. to make representations and recommendations on the crews behalf on occupational
health and safety matters;
4. to inspect the safety officers records;
5. to ensure the observance of the employers occupational health and safety policies and
make recommendations for their improvement;
6. to consider and take appropriate action concerning any occupational health and safety
matters, accident reports, MS Notices, publications etc.;
7. to keep a record of the meetings and any representations, replies or action resulting

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 therefrom.

Questions and Answers

Q1. How will you ensure from your Office that the ship you are joining is a safe ship (before
joining)? *In context of ISM code

A. By checking DOC, SMC, SMS Manuals, Internal / External audits reports, PSC & Flag state
deficiency reports.

Q2. How does company ensure compliance with ISM Code?

A. By conducting Internal / External Audits.

Q3. What do you understand by SMM or Safety Management Manual?

A. It is the documentation used to describe and implement the Safety Management System
(SMS).

Q4. What do you understand by Audit and an Auditor?

A. Audit means a process of systematic and independent verification, through the collection
of objective evidence, to determine whether the SMS complies with the requirements of the
ISM Code and whether the SMS implemented effectively to achieve the Codes objective.

Auditor means a person who is qualified and authorized to carry out ISM audits in
accordance with the requirements of ISM code.

Q5. What is Internal and External Audits?

A. Internal Audit: Carried out by the company itself. This is to ensure that all the on board
practices and methods are in accordance with the SMS.

External Audit: Carried out by the classification bureau and a DOC is granted only if the
conditions are met satisfactorily.

Q6. Can an SMC audit be carried out whilst the vessel is in Dry-Dock?

A. No, since the vessel is not considered operational at that time.

Q7. What are the bare-bones of a S.M.S?

A. The Code of Safe Working Practice

Q8. What level of management can D.P.A approach?

A. Straight to the Top (Chief Executive)

Q9. What ships does ISM Code apply to?

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A. From 2002 onwards, all ships over 500 grt.

Q10. What size of ships should voluntarily use ISM Code?

A. Ships between 150 grt and 500 grt.

Q11. Where are the DOC and SMC kept at?

A. They are kept onboard the vessel.

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Download Attachments
MSC 104(73)
File size: 550 KB

MSC 179(79)
File size: 10 KB

MSC.195(80)
File size: 959 KB

MSC 273(85)
File size: 33 KB

MSC 353(92)
File size: 79 KB

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