MGMT 2

STCW Code Table A-II/1 & Table A-II/2

Navigation at the operational level
Navigation at the management level
Integrated Management System

CAPT. EUTIQUIO G. MIRASOL

Instructor, College of Maritime Education

Declaration:
This learning module is an exclusive property of Dr. Yanga’s Colleges, Inc., as an essential part of the
REIMAGINED Learning Program for the Academic Year 2020-2021, and shall only be used by and for
DYCIans. No part of this learning module shall be reproduced, distributed, transmitted, and/or sold, without the
consent of DYCI.
 <<Week No. 8 & 9 >>
<< The ISO 9001:2015 for the management system in
place in shipping industry in relation to safety > >

This module is intended for you 3rdyear BS Marine Transportation Students the Integrated Management
System , its introduction, history and importance.
.
At the end of this module, you are expected to:
1. discuss the different implications of the ISO 9001:2015 for the management system in place in
shipping industry in relation to safety.

A Brief History of ISO 9001

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 ISO first published its ISO 9001 standard in 1987 and later published an updated version in 1994. In an effort to
address the changing needs of its users, ISO again updated its standard in 2000 and 2008 and again in 2015.
The newest version is known as ISO 9001 2015.

The ISO 9001 quality management standard applies to areas such as manufacturing, processing, servicing,
printing, forestry, electronics, steel, food processing, legal services, financial services, trucking, banking,
retailing, drilling, recycling, aerospace, construction, exploration, textiles, pharmaceuticals, oil and gas, pulp
and paper, publishing, petrochemicals, shipping, mining, energy,
telecommunications, plastics, metals, research, health care, hospitality, utilities, aviation, machine tools,
agriculture, government, education, recreation, tourism, fabrication, sanitation, software development,
consumer products, transportation, instrumentation, computing, biotechnology, chemicals, consulting,
insurance etc.

ISO has two kinds of quality management standards: requirements and guidelines. Together these two
kinds of quality standards make up what is known as the ISO portfolio of quality management standards.

Requirements are the formal expectations that you must meet if you wish to be officially certified or registered.
They are compulsory. Guidelines, on the other hand, are suggestions and recommendations only. They are
voluntary.

In the past, ISO had three sets of quality requirements: ISO 9001, ISO 9002, and ISO 9003. However, now
there’s only one standard: ISO 9001 2015. ISO 9002 and 9003 have been dropped.

In the past, ISO’s quality guidelines included ISO 8402, ISO 9000, ISO 9004, ISO 10005, ISO 10011, ISO
10012, and ISO 10013. But most of these standards have either changed or been dropped. ISO 8402 1994 and
ISO 9000 1994 have been replaced by ISO 9000 2015. And ISO 9004 2000 has become ISO 9004 2009, while
the ISO 10011 series has been turned into ISO 19011.

WHAT YOU NEED TO KNOW ABOUT ISO 9001

DOES MY ORGANIZATION NEED CERTIFICATION TO ISO 9001?
Checking that the system works is a vital part of ISO 9001. It is recommended that an organization performs
internal audits to check how its quality management system is working. An organization may decide to invite
an independent certification body to verify that it is in conformity to the standard, but there is no requirement
for this. Alternatively, it might invite its clients to audit the quality system for themselves.
Read more about certification to management system standards.

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WHERE CAN I FIND OUT MORE ABOUT AUDITING ISO 9001?
Support on auditing quality management systems can be found on the Website of the ISO 9001 Auditing
Practices Group. This is an informal group of quality management system experts, auditors and practitioners
from ISO/TC 176 and the International Accreditation Forum.

ISM CODE & ISO 9001 ONBOARD SHIPS

The International Safety Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM
Code) is an international standard for the safe management and operation of ships focusing towards the
protection of the environment and the safety of the crew as well as equipment. The ISM Code is mandatory for
all vessels of more than 500 gross tonnages including mobile offshore drilling units.
ISO 9001:2008 specifies requirements for a quality management system which ensures that a company
provides products/services that meet customer as well as any applicable statutory and regulatory requirements.
Moreover, ISO 9001 aims to enhance customer satisfaction.
Both ISO 9001 and the ISM Code specify a systematic approach to management by those responsible for
management of ships. ISM Code with ISO 9001 provides a basis for ensuring management systems are also
driven by customer needs for the continued success of a shipping company.

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 Onboard Ship Management
Regarding shipboard management the company is required according to the ISM code as well as the ISO 9001
standard to have developed a set of company objectives and policies.
More specifically the ISM code approach requires the company to have developed a safety and environmental
protection policy which describes ISM Code objectives to be achieved, implemented and maintained.
Such objectives should aim to the direction of ensuring safety at sea as well as the prevention of human injury
or loss of life or damage to property. Another important objective of the policy should aim on the
environmental protection and in particular on the protection of the marine environment not excluding of course
other related environmental issues such as air-pollution control, recycling etc.
In order to achieve such objectives the company should provide Safe Working Practices guidelines and
procedures (e.g. entry into enclosed space, hot work etc) relative to the ship operations as well as equipment
which results on maintaining a Safe Working Environment onboard. The procedures and the guidelines to be
implemented/followed should have been developed in a way that they can also represent safeguards against
possible risks which the company has identified. The company should also have in place procedures regarding
response in case of safety or environmental emergencies and of course the Safety Management System should
be continuously improved (a requirement which is also stated in a similar way in the ISO 9001 standard)
All the above should always be in compliance with mandatory rules, regulations; applicable codes, guidelines
and standards (e.g. SOLAS, MARPOL, STCW 95, COLREGS, Regulations on Navigation in Panama Canal
Waters etc) recommended by the IMO, Flag Administrations, Port State Authorities, Classification Societies
and maritime industry organizations.
On the other hand the ISO 9001 standard requires the company to have developed a quality policy along with
objectives that should be implemented onboard.
Such a quality policy should include a commitment to comply with any requirements (e.g. customer
requirements, regulatory requirements etc) and to continually improve the effectiveness of the quality
management system which means that a management review procedure should be established in order to assess
and evaluate the implementation of the management system (a requirement which is also stated in a similar way
in the ISM code). The policy should also be communicated and understood within the organization, and is
reviewed for continuing suitability. Moreover, the company should also be committed in maintaining the
integrity of the quality management system whenever changes to the quality management system are planned
and implemented.

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Quality objectives should be established within relevant procedures of the company and they should be
measurable and consistent with the quality policy. Such objectives may be:
1. High quality services measured by internal and external audits & non-conformances,
2. Customer satisfaction which can be measured through customer surveys and complaint handling
procedures,
3. Crew training improvement measured through crew training evaluations,
4. Non Conformities reduction measured through internal/external audits and monitoring procedures
Both the ISM and ISO 9001 require that any mandatory requirements, laws and regulations are to be followed
and implemented accordingly. The ISM code states specifically that the company’s developed safety
management system should ensure that compliance with mandatory rules and regulations is achieved
throughout shipboard operations and that any other applicable codes/guidelines etc that are being recommended
by the Flag Administrations, the Classification Societies, the IMO etc are taken into account.
Both the ISM code and ISO 9001 require defined levels of authority, responsibility and lines of
communication.
According to the ISM code responsibilities, authorities as well as their interaction between personnel onboard
and ashore, whose work is related and also affects safety and pollution prevention, should be clearly defined
and documented. For example the Master usually has the authority and is responsible for the implementation of
the drills program with the cooperation of the Chief Officer. The Cook is responsible to keep the galley and the
stores in a clean condition and is under the supervision of the Master and the Chief Officer. The ISM code also
requires a clear statement emphasizing the Master’s overriding authority and the responsibility to make
decisions with respect to safety and pollution prevention. The ISO 9001 standard requirements are similar
although they are quality oriented and related to customer satisfaction.
The ISM code and the ISO 9001 require a person ashore to be assigned with specific duties and responsibilities
relevant to the implementation of their requirements. Thus, the ISM code requires a Designated Person Ashore
(DPA) who ensures and monitors the safe operation of company ships providing links between the company
and the crew onboard. The DPA is required to have direct access to the highest level of management. On the
other hand the ISO 9001 standard requires the position of a Quality Management Representative who is to be
assigned with the responsibility and authority to ensure that the quality management system processes are
established, implemented and maintained. He is also responsible to report to the top management regarding the
performance of the quality management system and he is required to make the company aware of the
customer’s requirements.
Regarding human resources the ISM code states that the company should ensure that each ship is manned with
seafarers who have the appropriate qualifications, certifications according to national and international
requirements. Moreover, the ISM code requires that the seafarers are also medically fit for the job. Another
requirement of the ISM code is that all crew/personnel with duties related to safety and environment protection
should be appropriately familiarized in order to ensure that the duties will be conducted on a safe and
environmental friendly way. Such familiarization is usually conducted according to company developed forms

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 as well as any training products that may be required according to company procedures. Needless to say that for
all the above records are to be maintained.
ISO’s 9001 requirements are similar although they are more generalized requiring also an evaluation on the
effectiveness of actions taken and making personnel aware on how to contribute to quality objectives.
One requirement that is not contained in the ISO 9001 but is mentioned within the ISM code is Emergency
Preparedness. ISM requires that potential shipboard emergency situations should be identified and described in
order to ensure that they are confronted and efficiently responded. This requirement may take the form of
checklists, drills procedures, posters etc which should specific and simple instructions on what to do in case of an
emergency. The closest requirement of ISO 9001 to emergency preparedness is the need for control of non-
conforming products.
Bridge Operations Management
In order to navigate safely an effective command, communications, procedures and controls needs to be
established. Passage planning is conducted to assess the safest and most economical sea route between ports, as
well as to identify and recognize any possible hazards so as to avoid them. Equipment can fail and unexpected
situations may arise, so there is a need for a contingency planning in order to be ready to face the unexpected.
Watch officers at sea need to be able to keep a proper look-out and to monitor charts and the radar. Bridge notes
should be provided in order to explain how to handle specific equipment and how to conduct maintenance
procedures where needed.
All of the above are just a minor fracture of the operations being conducted onboard a ship’s bridge and they
emphasize the need to have well developed plans for shipboard operations according to the requirements of the
ISM code. Planning of operations is also a requirement of the ISO 9001 standard. Every shipping company
should provide practical guidance concerning safe navigation and its policies should include:
1. a clear statement that safety of life and safety of the ship are the most important operational factor
2. allocation of bridge duties and responsibilities
3. voyage planning procedures
4. chart and nautical publication correction procedures
5. essential navigation equipment is available and fully operational
6. contingency response plans
7. accident and near miss reporting procedures;
8. recording of voyage events;
9. familiarisation training and handover procedures;
10. company contacts, including the designated person under the ISM Code.

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 Engine Room Operations Management
A well managed ship requires, apart from a well organized and with defined procedures bridge, an effective
management in the engine room. The ISM code as well as ISO 9001 standard require specific planning for the
ship’s operations and so as in the case of bridge operations, planning is also required for engine room operations
and therefore procedures for identifying and controlling the operation of main and auxiliary machinery, steering
gear, bunkering, waste management etc. as well as orders and guidance notes, are required in order to ensure safe
operation of all involved equipment as well as the safety of the crew. Therefore it is essential to have a well
documented system on Engine department organization, defining duties and responsibilities, Maintenance
procedures stating best practices, reporting methods and safety instructions etc.
Conclusion
To sum up the ISM code emphasizes the role of the management in safety and pollution prevention. The
implementation of the ISM code is mandatory in order to be able to be engaged in the maritime market.
On the other hand the implementation of ISO 9001 standard in the shipping industry can provide benefits related
to the improvement of the service quality provided by the company as well as enhancing customer satisfaction.
As explained above by implementing the ISM code a company is in a way also implementing some of the ISO
9001 requirements. Efforts should be made during implementation of both the ISM code and the ISO 9001
standard in order to avoid high bureaucracy levels which can make the implementation and the maintenance of
an effective Integrated Management System problematic.
Implementing both ISM and ISO 9001 surely is for the benefit of the company but high bureaucratic levels
should be avoided in order to avoid procedures being more complicated than it is required.

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Name: _____________________________________________ Rating: ________________
Year and Section:_____________ Professor / Instructor:___________________________
Due of Submission: _____________________________
<< Week No. 8 & 9 >>
<< The ISO 9001:2015 for the management system in
place in shipping industry in relation to safety >>

1. Explain the history of the ISO 9001?

2. Why you need to be audited by the ISO?
3. What is the newest version of the ISO?
4. Who are your interested parties and what are their requirements?
5. What are the principles behind the ISO 9001?

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 REFERENCES:
Table A-II/1 Function 3: Controlling the operation of the ship and care for persons on board
at the operational level
2. Table A-II/2 Function 3: Controlling the operation of the ship and care for persons on board
at the management level
3. CMO No. 67, series of 2017. Revised PSG for BS Marine Transportation and BS Marine
Engineering Programs

https://www.youtube.com/watch?time_continue=22&v=fHD50digSsU&feature=emb_logo

https://www.youtube.com/watch?v=MyJblIgIw3o

https://www.youtube.com/watch?v=z1GiKmYtpEI

https://www.youtube.com/watch?time_continue=140&v=FDyIcM-AFzU&feature=emb_logo

https://officerofthewatch.com/2012/05/26/ism-code-iso-9001-onboard-ships/

https://www.usqc.us/iso-9001-for-shipping-companies/

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