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Understanding the ISM Code

2. The ISM Code

The International Management Code for the Safe


Operation of Ships and for Pollution Prevention
or
The International Safety Management Code
Given effect in UK law under
The Merchant Shipping (International Safety
Management (ISM) Code) Regulations 2014
At the end of this session, participants: -
should be able to state the the objective, purpose and intent of the ISM
Code;
will have an insight into the history and relevant dates relating to the
development and implementation of the Code;
should understand how the ISM Code translates into the Operations
Manuals onboard the ship;
will understand the ISM certification arrangements for both Company
and ships; and
will also be made aware of the benefits and advantages to a
shipmanagement company in complying with the ISM Code.
The ISM Code - What is it?

The only internationally


accepted standard for the
safe management and
operation of ships & for
pollution prevention;
Chapter IX of SOLAS
convention;
Therefore compliance is
mandatory under
international maritime
law.
Objectives of the ISM Code

• to ensure safety at sea;

• the prevention of human


injury or loss of life; and

• the prevention of damage to


the environment, particularly,
the marine environment and to
property.
Purpose of the ISM Code
Is to ensure appropriate management by shipping companies,
covering ALL aspects of their shipmanagement operations: -

Cargo Operations;
Navigation;
Machinery or Engine Room Operations;
Maintenance;
Testing & Inspection of Equipment of Machinery/Equipment;
Emergency Preparedness & Contingency Planning;
Recruiting, Selection and further training of Crew;
Control of all documentation; &
Supplying of Stores & Spare Parts, etc.
To whom does it apply?
Company management
from the very top
level; to
All shore staff;
The Master;
Officers; and
Ratings onboard the
ships.
Intent
• The ISM Code is intended as a means of encouraging
“continuous improvement” of safety management
skills for persons within the maritime industry, that
can be applied to all ships;

• The Safety Management System becomes a “living”


system and must allow for continual updating
through reviews, audits and a reporting system being
established between ship and shore.
Continuous Improvement
Nothing is perfect;
As in life, we are always striving to
make things better;
The management system requires
that companies learn from past
experiences and take steps to
prevent the recurrence of past
problems;
Be open to suggestions for
improvement in your work; and
Look for ways to improve safety
onboard and report them.
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.680 (17) - 1991.


Recognised 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.
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.
Why the Manuals / Electronic Systems ?

◆ The ISM Code gives guidance only, it


does not tell the Company how to
operate their ships;
◆ To comply, the Company using its
specialized knowledge and
experience has written their own
Safety or Quality Management
manuals for their fleet;
◆ These manuals cover ALL aspects of
shipboard operations and shore
based support;
◆ They clearly define the way the ships
are to be operated;
The Safety or Quality Management System

◆ Other companies manuals


may look different, but the
intent is just the same, it’s
just that different companies
operate in slightly different
ways;
◆ Once implemented onshore
and onboard, the system is
audited for compliance with
the ISM Code requirements;
◆ Once compliant, a certificate
is issued.
ISM Certification
The shipmanagement company is
issued with a Document of
Compliance (DoC), this confirms that
their management system complies
with ISM requirements;
Each ship, upon compliance, will be
issued with a Safety Management
Certificate (SMC), this confirms that
the ship complies with the company’s
management system;
Both certificates are valid for 5 years,
but their status is reviewed on a
regular basis.
ISM Certification
All seafarers must be aware
that without a valid SMC,
your ship will not be allowed
to trade (sail);
A ship that cannot sail does
not need a crew - jobs will be
put at risk;
Commitment to safety is not
a one time event, it is
ongoing everyday whilst you
are onboard and on vacation
The ISM code applies to all
Ship managers around the
globe with the same
standards and requirements!
What are the Benefits ?
Quality/Safety awareness program for all staff;
Significant savings in efficiency, productivity, insurance, and an
increase in profit and customer confidence and satisfaction;
Less exposure to critical liability claims in the event of a major
casualty
Avoidance of duplication and waste of effort;
Continuous improvement of the system and therefore company
performance; and

Improvement in morale throughout the company.


What are the Advantages ?
Reduction in operational errors, therefore costs;
Reduction of accidents to personnel;
Protection and safe guarding of property
Protection of our nature and environment;
Formal control of the system and of non-conformance;
Can be used as a marketing aid;
International acceptance of the company’s management standard; and
An accepted means of interface between the Client and the Company
regarding the quality of service.
Part 2 - review
During this session, we have: -
stated the the objective, purpose and intent of the ISM Code;
studied the history and relevant dates relating to the development and
implementation of the Code;
explained how the ISM Code translates into the Operations Manuals
onboard the ship;
explained the ISM certification arrangements for both Company and
ships; and
covered the benefits and advantages to a shipmanagement company in
complying with the ISM Code.
The Onboard Quality Management System

◆ Composed of: -
- The Quality Manual;
- Safety & Environmental Policy;
- Work Procedures and Instructions
(Fleet Manuals Vol 1, 2 & 3 +
Operational Procedures and
Contingency Plans Manual);
&Forms and Records.
Think of it as a shipboard operation
& safety reference library. It is
available for use at any time.
Computerized SMS on most ships
since 2003
ISM Chapter 2 - Safety & Environmental Policy

It is a statement of
commitment to operate
ships safely and also to
protect the marine
environment;
A commitment to the crew
onboard that all possible
support will be extended in
order to ensure that your
ship is a safe and healthy
place to work;
HSC Safety & Environmental Policy

In order to meet the


company commitment, all
seafarers are required to
follow all
instructions/procedures
provided in the Quality
Management System.
Only this way can it be
sure that ships are
operated to consistently
high safety and pollution
prevention standards.
Safety & Environmental Policy

Each policy is signed


by senior
management; &

It is available in
various locations
around your ship;

Study it and
remember what it
stands for.

(It is a key question in every audit!)


ISM chapter 3 – Responsibilities & Authority

Anyone within the


Company who has a task
related to safe ship
operations, must have
their duties &
responsibilities defined;
This also includes any
persons who, should they
do their job wrongly, could
cause an accident;
It therefore applies to all
crew onboard the ship.
Responsibilities & Authority

Refer to your SMS where


main duties and
responsibilities for all crew
onboard ship can be found;
It is YOUR responsibility to
know what others expect of
you when you work;
If you have questions,
address them to your Head
of Dept.
Responsibilities & Authority

Responsibilities & Duties are stated in


order to avoid misunderstandings, avoid
duplication of work and to ensure that all
tasks are completed by the appropriately
trained and competent crewmember;
They cannot be changed without the
permission of the Company;
Dept Heads are responsible for ensuring
compliance.
ISM chapter 4 – Designated Person

Is the person
onshore that has
been placed in
charge of monitoring
the safe operation
and pollution
prevention activities
of all the vessels
under management.
Designated Person

He has direct access to the


highest levels of company
management;
He is also responsible for
ensuring that the
management makes
adequate resources and
shore based support
available to the vessels.
Knowing his Name and
Contact details is essential!
It is a key question in every audit!
Designated Person

He is your point of contact if you


require any assistance regarding
safe ship operation or pollution
prevention;
He has the technical expertise
behind him to help answer your
questions relating to the
implementation or compliance
with the Quality Management
System onboard.
ISM chapter 5 - Master’s Responsibility

To implement and maintain the


Quality Management System
onboard the ship;
To ensure that ALL crew
understand and follow the
company instructions;
To manage all activities onboard,
ensuring safety and pollution
prevention at all times; and
To motivate crew to constantly
improve and demonstrate their
safety knowledge.
Master’s Responsibility

the Master must verify that ALL


Company requirements are
followed;
that he carries out a review of
the Quality Management System
during each contract onboard.
ISM chapter 5.1.5 - Master’s Review

As the system is a “living system” that is constantly


capable of improvement, the Master through the
Shipboard Management Committee is required to
provide feedback to the Company regarding the
effectiveness of the system onboard;
As it is the ship’s crew that follow the system on a
daily basis, he is best placed to give detailed
information regarding areas for improvement.
ISM chapter 5.2 - Master’s Authority

The Master is issued “over-riding authority”


in matters relating to Safety, Pollution
Prevention & Requesting Company
assistance as required!
ISM chapter 6 - Resources & Personnel

It is the company’s
responsibility to supply crew
that are qualified, certified for
the rank and medically fit;
The Master must be properly
qualified for command; and
The company also makes
available resources for training
and upgrading of crew
knowledge.
ISM chapter 6.3 - Onboard Training &
Familiarization

All seafarers must be


familiarized with the ship,
the safe operation of
equipment onboard and
their duties/responsibilities
under the Quality
Management System;
In order to achieve this,
onboard training must be
carried out regularly.
Onboard Training

Training must not be limited


to Fire & Boat drills;
It must include the correct
use of all machinery and
equipment onboard as well
as;
The training of crew for their
next rank; &
All onboard training is to be
recorded.
ISM chapter 6.5 – shore based Training

The Company is
responsible for providing
training which may be
required in support of the
QMS;
Training Requirements for
ship’s crew must be
identified and reported on
the Appraisal Report
Agencies will then arrange
training during the vacation
period.
ISM chapter 7 - Procedures & Work
Instructions

Clearly states how the


company wants the ship to be
operated;
Contains: -
- Details of Responsibilities;
- Instructions on how to carry out
critical tasks in order to promote
safe ship operations and protect the
marine environment;
- Record Forms and Checklists
- Good safety advice.
Operational Procedures & Contingency Plans

Contents:
Operational Procedures;
Cargo Handling Procedures;
Distress Message Transmission;
Fire Detection & Protection
System;
Security Procedures;
Emergency Contingency Plans;
Resource Conservation;
Mooring & Mooring Winches; &
List of Essential Equipment.
Record Keeping

It is necessary to keep a record of


all activities that have been
undertaken as part of the QMS;
Can use reports, forms, checklists
and log book entries;
Required by any Quality Assurance
System as it provides evidence
that the system has been followed
correctly;
Auditors will examine samples of
shipboard records during the audit.
Record Keeping
In the event of an accident,
investigators will look for the
“paper trail”;
Documents in a chronological order
showing what, when, how, who,
where and why things happened;
Good records will help protect the
parties that you represent from
un-necessary claims;
More importantly, they will show
that you acted with due diligence.
ISM chapter 8 - Emergency Preparedness

Even on the best managed


vessels, things can still go
wrong;
Crew must be confident to
respond to any type of
emergency situation;
There are programs for
emergency drills and
training in the use of
emergency equipment.
ISM chapter 9 –
Reporting & Analyses of Non Conformities,
Accidents & Hazardous Occurrences

Onboard safety will only get


better by reporting what
has gone wrong and then,
making changes to improve
things;
You must report ALL non
conformities, accidents and
hazardous occurrences to
your Dept Head.
Non Conformities

Defined as:
An event where something
or someone has not complied
with an element of the HSC
QMS; not in accordance with
system or procedure
It maybe potentially
hazardous and requires
improvement to prevent
recurrence;
Usually highlighted as a
result of an inspection.
Accidents

Accidents are defined


as “unexpected
happenings where
someone is injured,
something is damaged
or pollution has
occurred”;
Hazardous Occurrences (Near Miss)

Are situations that have


the potential to become
accidents;
This time we were lucky,
the danger was identified
before it resulted in an
accident;
Next time, under different
circumstances, it might
become an accident!
Hazardous Occurrences (Near Miss)

Occur frequently in
everyday life;
These are the situations
that we must learn from;
This time, no injury,
damage or pollution
resulted, however without
improvement - who
knows what will happen
the next time?
ISM 9.2 – Corrective Actions

The work instruction or


procedure may require review,
amendment or updating;
More supervision or training
maybe required; or
Better quality equipment may
need to be provided;
Whatever corrective action is
decided, it must prevent
recurrence of the original
deficiency.
Benefits of Reporting

Lessons are learnt, updates and


changes to the system are made
and passed on to other vessels
Statistics can be compiled and
provided to 3rd parties upon
request, promptly and accurately!
Reoccurrence might be avoided on
other ships
ISM chapter 10 - Maintenance of the Ship
& Equipment

Planned Maintenance
Systems are in place on
your ship to ensure that:
- The ship and all onboard
equipment is kept in good
operating condition;
- Standby equipment is
regularly tested and ready
for immediate use.
ISM 10.2 - Inspection & Test

Routines for the inspection and


testing of all shipboard
equipment are in place;
Ensure that these routines are
followed and records of
inspection & test are maintained;
Any deficiencies discovered must
be reported and rectified as soon
as possible.
ISM 10.2 - Reporting of Maintenance Non
Conformities

Machinery failure, repair or


maintenance must be
reported to the Technical
Superintendent;
Only if the equipment
failure affects safety of the
ship or pollution
prevention, should these
deficiencies be reported to
The company
ISM 10.3 - Critical Machinery/Equipment

Is identified as “machinery, the


sudden failure of which may
place the ship or the crew in a
hazardous situation”;
maintenance aimed at
promoting the reliability of all
equipment and systems
onboard the ship.
ISM chapter 11 - Documentation

All management systems


involve paperwork;
Instructions, records,
checklists & requisitions, etc;
Also includes maker’s
instructions and ship’s
plans/drawings;
Effective document control
helps keep all this paper in
order.
ISM 11.1 - Document Control

Control is exercised to ensure


that ALL information in use
onboard is the latest edition;
Changes to any documents
are reviewed and approved by
authorized persons;
Obsolete documents must be
removed.
Copying Controlled Documents
Copies of selected pages can be
made for training purposes;
i.e. duties/responsibilities or
specific procedures;
Any copied documents MUST be
clearly marked
“UNCONTROLLED”;
Copied pages are to be used for a
short time only and then disposed
of.
ISM chapter 12 - Company Verification,
Review & Evaluation

Company confirms the


effectiveness of the system
by performing audits;
Quality & Safety Officers
will audit your ship at least
once per year;
An audit is a means of
comparing the actual
practice onboard against
the written procedures.
ISM 12.1 - Audits

Any discrepancy between actual


practice and written procedure
will be noted as a Non
Conformity and will require
corrective action to remedy the
deficiency;
Internal Audits are useful tools
for identifying system
weaknesses and for ensuring
continuous improvement.
ISM 12.2 - Management Review

After a series of shipboard


audits, patterns of non
conformity can be established;
These are used by
management to review the
effectiveness of the system;
Other data used includes
Master’s Reviews, Accident &
Hazardous Occurrence Reports,
3rd Party Audit Reports, etc.
ISM 12.2 - Management Review

Once the Company is aware


of their areas of weakness,
they can decide on the best
form of corrective action:
Amend the written
instructions;
Increase supervision;
Ensure crew are properly
trained/familiarised; &
Make sufficient resources
available for the above.
ISM chapter 13 - Certification, Verification
& Control

A copy of the DoC must be


available onboard the ship;
The original SMC must be
available onboard the ship;
Both certificates are trading
certificates

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