Topic: ISM Code

Presenter: Capt. Nestor A. Almero

 Learning Outcomes

At the end of the topic, the student must be able

to:
1. Discuss the Safety Management
System in compliance with the ISM Code
2. State that a Safety Management System
in compliance with the ISM Code must be
in place on board all passenger ships and
high-speed craft, and all vessels of 500gt
and upwards
3. State that the details of the ship's system
may be found in the ship's Safety
Management Manual
 ISM Code

How It All Begun:

• PROBLEM…An accident and
claims explosion
• CAUSE……..Human Error
• SOLUTION..Management Systems
 Management Systems In
Shipping

ISM Code:
The most prominent
management system
that is already
mandatory in shipping.
Safety is at its core.
 Management Systems In
Shipping
ISO 9001: QMS
ISO 140001: EnMS
OHSAS 18001: Health
and safety systems.
ISO 50001: Energy
management system.
 What is ISM Code?
➢ International Management Code for the Safe Operation
of Ships and for Pollution Prevention adopted by the
Organization by resolution A.741(18)
➢ Provide an International Standard for management and
operation of ships.
➢ Address the responsibilities of people who manage
ships. (ASHORE – MSC-MEPC7/Circ 6)
➢ Address the responsibilities of people who operate
ships. (ONBOARD)
 What is ISM Code?
➢ Provide an International Standard for pollution
prevention. ( MARPOL – ISO 14001/2004 – Vessel
General Permit…….ISM 1.2.3)

➢ Support and encourage the development of a safety

culture.

➢ Establish safety management objectives.

➢ Establish an SMS by the Company to fit its own

organization
 Background of ISM Code

Very serious accidents occurred late 1980’s caused by

human errors (80%) and management failure:

➢ 1987 - RO/RO Ferry “Herald of Free Enterprise” -

capsized off Port of Zeebrugge, Belgium. 188 pax died.
 Background of ISM Code
➢ 1987 - Ferry Doña Paz (owned by Sulpicio Line,
Philippines) collided with a tanker vessel. Estimated
4,386 people killed.
 Background of ISM Code
➢ 1989 - Exxon Valdez aground off Coast of Alaska.
37,000t of oil spilled (environmental damaged caused).
Claims USD 10 Billion
 Development of ISM
Code
➢ 1987 - IMO Assemble adopted Resolution A.596(15) to
ensure safe operations of RO/RO Ferry

➢ 1989 - IMO Resolution A.647(16), First Guidelines on

Management for the Safe Operation of Ships and for
Pollution Prevention

➢ 1991 - IMO Res. A.680(17) Shore Management to

respond to the specific needs of shipboard personnel.

➢ 1993 - IMO Resolution A.741(18) IMO philosophy of

hardware regulations to the software element of ship
management
 Development of ISM
Code
➢ 1994 - Adopted into SOLAS
➢ 01 July 1998 ISM Code is made
mandatory by SOLAS Ch. IX for
passenger ships, incl. high speed
craft, tankers, bulk carriers with
cargo carrying capacity of 500
GRT or more

➢ 01 July 2002 Mandatory for all

other cargo ships, and self
propelled Mobile Offshore Drilling
Units (MUDOs) of 500 GRT or
more
SOLAS - Chapter IX
Management for the
safe operation of the
ships
SOLAS - Chapter IX
Management for the safe operation
of the ships

Regulation 1 - Definitions
1. ISM Code - International Management Code
for the Safe Operation of Ships and for Pollution
Prevention adopted by the Organization by
resolution A.741(18)
 SOLAS - Chapter IX
Management for the safe
operation of the ships
2. Company
✓ owner of the ship
✓ any other organization
✓ person such as the manager
✓ bareboat charterer
✓ assumed the responsibility for operation of
the ship from the owner of the ship
✓ agreed to take over all the duties and
responsibilities imposed by ISM Code.
 International Safety
Management (ISM) Code
Overview

Part A: Implementation
1. General
2. Safety and Environmental Protection
Policy
3. Company Responsibility and Authority
4. Designated Person(s)
5. Master’s Responsibility and Authority
6. Resources and Personnel
 ISM Code
Overview
Part A: Implementation
7. Shipboard Operations
8. Emergency Preparedness
9. Reports & Analysis of Non- Conformities, Accidents
& Hazardous Occurrences
10. Maintenance of the Ship and Equipment
11. Documentation
12. Company Verification, Review and Evaluation
 ISM Code
Overview
Part B: Certification and Verification

13. Certification and Periodical Verification

14. Interim Certification
15. Verification
16. Forms of Certificates
 ISM Code – Part A:
Implementation
1. General
1.1 Definitions (apply to Parts A & B)

1. ISM Code - 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.
 ISM Code – Definitions

2. Company means:
➢ owner of the ship
➢ any other organization
➢ person such as the manager
➢ bareboat charterer
➢ assumed the responsibility for
operation of the ship from the shipowner
➢ agreed to all duties and responsibility imposed by
the Code
 ISM Code – Definitions

3. Administration
Government of the State whose flag the ship is
entitled to fly

4. Safety Management System

Structured and documented system enabling
Company personnel to implement effectively the
Company safety and environmental protection policy

5. Document of Compliance
Document issued to a Company which complies with
the requirements of ISM Code
 ISM Code – Definitions
6. Safety Management Certificate
Document issued to a ship which signifies that the
Company and its shipboard management operate in
accordance with the approved SMS

7. Objective evidence
➢ Quantitative or qualitative information
➢ records
➢ statements of fact pertaining of safety or to the
existence and implementation of a SMS element,
which is based on observation, measurement or test
and which can be verified.
 ISM Code – Definitions
8. Observation
A statement of fact made during a safety management audit
and substantiated by objective evidence
9. Non-conformity
An observed situation where objective evidence indicates the
non-fulfilment of a specified requirement.

10. Major non-conformity

➢ an identifiable deviation that poses a serious threat to the
safety of personnel or the ship or a serious risk to the
environment
➢ requires immediate corrective action
➢ lack of effective and systematic implementation of a
requirement of ISM Code
 ISM Code – Definitions
11. Anniversary date
the day and month of each year that corresponds to the
date of expiry of the relevant document or certificate

12. Convention
the International Convention for the Safety of Life at
Sea, 1974 as amended
 PDCA and Continuous
Improvement
PDCA is the most
basic framework for
any management
system.
Plan: An action plan of the activities
that need to be done together with
all relevant implementation details.
 PDCA and Continuous
Improvement
Do:
The implementation of the
selected improvement
measures.

Check:
Monitor the results of the implementation via effective
data analysis and assessments.
 PDCA and Continuous
Improvement
Act:
The effectiveness of
the plan is reviewed
and new targets are
set for next PDCA
cycle.
 Meeting the
Objective of ISM
Code
The ISM Code requires that:
▪ Companies establish safety objectives, which
makes clear that there will be both “proactive” and
“reactive” elements involved in an effective Safety
Management System.

▪ Companies establish Safety-management

objectives and develop, implement and maintain a
SMS which includes functional requirements of
ISM Code.
 Meeting the Objective of
ISM Code

The objectives ISM Code:

▪ 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.
 ISM Code

In order to comply with the ISM code,

each ship must have a working Safety
Management System (SMS) to
ensure:
– Commitment from top
management.
– A “policy manual”.
 ISM Code

SMS…to ensure:
➢ A “procedures manual” that
documents the ship-board activities.
➢ Procedures for conducting both
internal and external audits.
➢ A designated person ashore to make
sure the SMS implementation.
➢ A system for checking actual
practices versus planned.
➢ Regular management reviews.
 Commitment
from the Top

The cornerstone of
good management is:
– Commitment from the top management; and
– Dedication from the operating personnel.
 Commitment
from the Top

The ISM Code

foundation is also based on this
paradigm and requires:
– Management commitment.
– Staff/personnel empowerment.
– Continuous improvement.
Company Policy and
Commitment
 Safety Management
System
Functional Requirements of SMS
Company should develop, implement and maintain a
SMS which includes the following functional
requirements as stated in ISM Code Section 1.4
.1 Safety and environmental-protection policy
.2 Instructions & procedures to ensure:
▪ safety operation of ships
▪ protection of the environment as per international &
flag State legislation
 Safety Management
System
Functional Requirements of SMS
.3 Defined levels of authority and lines of
communication ship-shore personnel
.4 Procedures for reporting accidents and non-
conformities with the provisions of ISM Code
.5 Procedures to prepare for and respond to
emergency situations
.6 Procedures for internal audits and management
reviews
 Safety & Environmental
Protection Policy
The Safety and Environmental Protection Policy
should be:
✓ concise and clear statement
✓ describe the objective of the SMS
✓ outline a strategy
✓ plan of action to achieve
✓ maintain objective
 Company Responsibility
and Authority
Company Identification
The entity who's 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 (ISM Code: Section 3.1).
If shipowner subcontract the technical management &
crewing to the third-party ship manager:
The ship manager to take the responsibility for
managing safety and pollution prevention to implement
its own SMS on board the ship.
 Company Responsibility
and Authority
Company Identification
If managing safety has been delegated:
shipowner send a formal letter to the flag state Administration.
Delegated entity will appear on the DOC and SMC

Responsibility and Authority

The Company’s defined, documented responsibility, authority
and interrelation of all personnel who manage, perform and
verify work relating to and affecting safety and pollution
prevention. (ISM Code: Section 3.21)
 Company Responsibility
and Authority
Sample of Company structure
 Company Responsibility
and Authority
Sample of Company structure
 The Designated Person Ashore
(DPA)
ISM Code identifies a Designated Person (DP),
throughout much of the industry it has become norm
to refer to this individual as the Designated Person
Ashore or simply the DPA.

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.
(ISM Code: Section 3.3)
 The Designated Person Ashore
(DPA)
To enable the DPA ….
.4 clearly defined and documented
responsibility and authority; and
.5 authority for reporting non-
conformities and observations to
the highest level of management.

(IMO Guidelines to Companies: Section 4.3)

 Function of the DPA

➢ having direct access to the highest level of

management
➢ monitoring the safety and pollution-prevention
aspects of the operation of each ship
➢ ensuring that adequate resources and shore-
based support are applies, as required
➢ (ISM Code: Section 4).
 The Role of the Master
The Master’s Overriding Authority
➢ ISM Code preamble, paragraph 2
stated “..all Governments (are) to
take necessary steps to safeguard
the shipmaster in the proper
discharge of his responsibilities
with regard to maritime safety and
the protection of the marine
environment”
➢ The Master does not come under
commercial pressure to
compromise safety or the
protection of the environment.
 The Role of the Master
The Master’s Overriding Authority

➢ The Master should not constrained by the Company,

charterer or any other person from taking any decision which
in the professional judgement of the Master might be
necessary to ensure the safety of the ship or prevent
pollution.

➢ Under national legislation, collective bargaining agreements

or contract of employment, Masters are commonly protected
by a right of appeal for unjustifiable dismissal or other actions
by employers that might follow the exercise of a Master’s
professional judgement.
 Master’s Responsibility for
the SMS
.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 reviewing the SMS and reporting its deficiencies to the shore-

based management.
 Master’s Responsibility for
the SMS
.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 reviewing the SMS and reporting its deficiencies to the shore-

based management.
 Master’s Responsibility for
the SMS
The Company should:
➢ ensure that the SMS contains a clear statement emphasizing
the master’s authority.
➢ establish in the SMS, the master overriding authority and
responsibility to make decisions with respect to safety and
pollution-prevention and to request the Company’s assistance
as may be necessary.

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.
 Resources and Personnel
The Company should ensure that each ship is:
.1 manned with:
➢ qualified
➢ certificated
➢ 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)
 Resources and Personnel
3. The Company should establish procedures
to ensure that:
❖ Familiarization for new personnel and
personnel transferred to new assignments
related to safety and protection of the
environment are

❖ Provided instructions prior to sailing should

be identified, documented and given.

❖ all personnel involved in the Company's

SMS have an adequate understanding of
relevant rules, regulations, codes and
guidelines.
 Resources and Personnel
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. 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.
 Resources and Personnel
6. SMS in a working language…
All Officers and ratings are required to have a good
command of the English language:
✓ in speech
✓and writing
✓ successfully pass a recognized English test with
score of 60% (Marlins English Test)

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.
 Shipboard Operations

The Company should establish:

✓ procedures
✓ plans
✓ instructions
✓ checklist

for key shipboard operations concerning the safety of

the personnel, ship & protection of the environment.
Various tasks should be defined and assigned to
qualified personnel. (ISM Code: Section 7)
 Special Shipboard
Operations
➢ Those where errors may become apparent only
after they have created hazardous situations or
when accidents have occurred.
➢ The procedures and instructions should cover
precautions and checks that aim to correct unsafe
practices before accident occur.

Examples:
➢ Securing watertight integrity
➢ navigational safety
➢ maintenance operations
➢ stability calculations
➢ ship security and anti-piracy measures
 Critical Shipboard
Operations
Those where an error may immediately cause an
accident or a situation which could threaten people,
the environment or the ship
➢ Particular attention should be drawn
➢ adhere to strict instructions
➢ satisfactory performance should be closely
monitored.
Examples:
➢ Navigation in close or high-density traffic areas
➢ operations in heavy weather conditions
➢ bunkering operations
➢ cargo operations on gas, chemical and oil tankers
➢ entry into enclosed spaces
 Emergency Preparedness

❖ The Company should identify potential emergency

shipboard situations and establish procedures to
respond to them.
❖ The Company should establish programmes for
drills and exercises to prepare for emergency
actions.

❖ 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.
(ISM Code: Sections: 8.1 to 8.3)
 Emergency Preparedness

❖ The Company should identify potential emergency

shipboard situations and establish procedures to
respond to them.
❖ The Company should establish programmes for
drills and exercises to prepare for emergency
actions.

❖ 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.
(ISM Code: Sections: 8.1 to 8.3)
 Emergency Preparedness
The contingency plans describe how to deal with
emergency situations related to:
• Damaged
• Fire
• Pollution
• Personnel
• security
• Cargo
➢ Incidents and accidents can occur in spite of efforts to
prevent them.
➢ can give rise to suffering and damage
➢ the extent of which can be determined by the
potential losses deriving from the event.
 Emergency Preparedness
A plan prepared to assist the personnel to deal with an
unpredictable event. It must be:
• Realistic, practical and easy to use;
• Agreed & understood by all involved parties
(ashore & onboard)
• Tested, evaluated and updated regularly

Contingency response planning can only be based upon:

• Type of incidents
• Possible consequences
• Action to be taken
• Requirements for suitable location in which to take that action
• Possible reaction of the media and other bodies to the casualty,
its handling and its consequences
 Emergency Drills
The objective of drills and exercises is to ensure that:
✓ shipboard personnel are proficient
✓ meet the Company’s SMS standard
✓ allow personnel to gain confidence in controlling
situations in an emergency
 Non-Conformities, Accidents and
Hazardous Occurrences
Reporting
The SMS should contain procedures to ensure:
✓ non-conformities
✓ Observations
✓ hazardous occurrences
are reported to the responsible person of the management

The Company should have a system in place for:

✓ Recording
✓ Investigating
✓ Evaluating
✓ reviewing
✓ analysing
✓ take action as appropriate
 Non-Conformities, Accidents and
Hazardous Occurrences
Reporting
The evaluation of reports may result in:
✓ Appropriate corrective actions;
✓ Amendments to existing procedures and instructions; and
✓ Development of new procedures and instructions

Near-miss (GUIDANCE ON NEAR-MISS REPORTING (MSC-

MEPC.7 Circ.7)

✓ A sequence of events and/or conditions that could have resulted

in loss.
✓ This loss was prevented only by a fortuitous break in the chain of
events and/or conditions.
 Non-Conformities, Accidents and
Hazardous Occurrences
Near-miss (GUIDANCE ON NEAR-MISS REPORTING (MSC-
MEPC.7 Circ.7)
✓ The potential loss could be human injury, environmental damage
or negative business impact (e.g., repair or replacement costs,
scheduling delays, contract violations, loss of reputation).

Overcoming barriers to reporting near-misses:

✓ Near-misses are only known by the individual(s) involved who
chose to report or not report the incident.

Some of the main barriers:

✓ fear of being blamed
✓ Disciplined
✓ Embarrassed
✓ found legally liable
 Analysis
Procedures should ensure that:
✓ all reports are investigated
✓ corrective action is taken if required
✓ responsibility and authority of people dealing with these reports
should be defined

The evaluation of reports might result in:

✓ Corrective actions being taken;
✓ Distribution of experiences throughout the Company;
✓ Amendment to existing SMS procedures and instructions; or
✓ The development of new SMS procedures
 Investigation

The shipboard investigation panel:

✓ Master
✓ Safety Officer
✓ Deck/Engineer Officer

Primary purpose of investigation and reporting:

✓ not to attach blame
✓ to establish the root cause of incidents
✓ to avoid recurrence
 Sequence of Investigation

1. The sequence of events

2. All persons who were involved directly or indirectly
3. Compliance with all Company procedures and statutory
requirements
4. Contributing factor of fatigue or the physical condition
5. All the relevant equipment was in full working order, and
operated correctly
6. Cause of the incident and make recommendations for future
prevention.
7. Additional to the immediate events leading to the incident
8. Investigate procedures used to control the incident,
recommendations for improvement, if necessary
9. Highlight any problem areas identified
10. Written Shipboard findings should be submitted to the
Company
 Maintenance of the
Ship and Equipment
The procedures should be
established which ensure that:
maintenance, repairs and
relevant surveys are always
carried out in a planned, safe
and timely manner.
 Maintenance and
Inspection Records
❖ Routine inspection reports should be maintained and
signed, and might include copies of maintenance
reports.
❖ Signed records of inspections should identify any
defects found and any corrective action taken.
❖ Records should be retained on board and ashore for
prescribed retention period.
 Certificates

Document of Compliance
a document issued to a
Company which complies
with the requirements of
this International Safety
Management Code
AUDIT PLAN
AUDIT REPORT
ISM code