Internationa

l
Safety
Management
Code mikepwlee 1
CONTENTS

vIntroduction
vGeneral Description
vSafety And Environmental Protection
Policy
vCompany Responsibility/Authority
vDesignated Person(s)
vMaster’s Responsibility/Authority
vResources & Personnel
vDevelopment of Plans
vEmergency Preparedness

A741(18)
mikepwlee 2
INTRODUCTION

International Safety Management Code

means
the International Management Code:
vfor the Safe operation of ships and
vfor Pollution Prevention

mikepwlee 3
INTRODUCTION

Emphasises that every company should:

vdevelop,
vimplement and
vmaintain
a Safety Management System (SMS)
to the Code

mikepwlee 4
INTRODUCTION
This does not mean that the
code is trying to tell the
company how to go about running
their business.
It is up to the company how to
go about implementing the codes.
The cornerstone of good safety
management is commitment from the
top.
In matters of safety and pollution prevention
it is the commitment, competence, attitudes
and motivation of individuals at all levels
that determines the end result.
mikepwlee 5
SAFETY MANAGEMENT SYSTEM
The SMS must incorporate the
following:
vA safety and environment protection policy.
vInstruction and procedure to ensure safe operation of
ships and protection of the environment in compliance
with relevant international and flag state legislation.
vFlag state legislation.
vDefined levels of authority and lines of communication
between and amongst shore and shipboard personnel.
vProcedures for reporting accidents & non-conformities.
vProcedures to prepare for and respond to emergency
situation.
vProcedures for internal audits and management reviews

mikepwlee 6
ADOPTING THE ISM

To achieve the aims of the ISM Code,

each Company should establish a
Safety and Environmental Protection
(SEP) policy which is implemented by
all Staff both ashore and onboard ship

mikepwlee 7
PREAMBLE

IMO Resolution A.443(XI)Nov 1979

invited all Governments to take the
necessary steps to safeguard the
shipmaster in the proper discharge
of his responsibilities with regard to
maritime safety and protection of the
marine environment.

A443(XI)

mikepwlee 8
PREAMBLE

IMO Resolution A.680(17)Nov 1991

recognised the need for appropriate
Organisation of Management to
enable it to respond to the need of
those on board ships to achieve and
maintain high standards of Safety
and Environmental Protection.

A680(17)

mikepwlee 9
OBJECTIVES

ISM Code aims to ensure:

vsafety at sea,
vprevention of human injury or
loss of life, and
vavoidance of damage to the
environment,
particularly the marine environment,
and to the property.

mikepwlee 10
OBJECTIVES
Company Objectives should:
vProvide for safe practices in ship
operation and safe working
environment,
vEstablish safeguards against all
identified risks, and
vContinuously improves safety management
skills of personnel ashore and aboard
ships including preparing for
emergencies related both to safety
and environmental protection.

mikepwlee 11
OBJECTIVES

Safety & Management systems should ensure:

vcompliance with mandatory rules and
regulations and,
vthat applicable codes, guidelines and
standards recommended by IMO,
Administrations, Classification
Societies and Maritime Industry are
taken into account.

mikepwlee 12
FUNCTIONAL REQUIREMENTS FOR SMS
Every Company should develop, implement and
maintain a SMS which includes the following:
va Safety & Environmental Protection
Policy,
vInstructions & Procedures to ensure Safe
Operation of Ships and Protection of the
Environment
vdefine Levels of Authority and Lines of
Communication between, and amongst, shore
and shipboard personnel
vProcedures for reporting accidents and
non-conformities with the provisions of
this Code
vProcedures to prepare for and respond to
emergency situations and
vProcedures for Internal Audits &
Management Reviews mikepwlee 13
SAFETY& ENVIRONMENTALPROTECTION POLICY

The Company should:

vEstablish a Safety and
Environmental Protection Policy
which describes how the
Objectives will be achieved
vEnsure that the Policy is
Implemented and Maintained at
all levels of the Organisation,
both ship based as well as
shore based.

mikepwlee 14
POLICY
vThe Policy should be a concise and clear
statement.
vIt should describe the aim of the SMS and
outline a strategy & plan of action to
achieve ad maintain the aim.
vConsideration should be given to the
policy’s interaction with existing Company
Policies and Procedures.
vIt should strive to encourage continuous
improvement in safety awareness and safety
management skills.
vIt should be signed by the Chief Executive
or comparable senior decision maker to
indicate top level management commitment
vIt should be reviewed at regular intervals
to ensure that it remains relevant and
effective. mikepwlee 15
IMPLEMENTATION

A Strategy for Implementation should

be considered at the time the policy is
developed, including how best to
ensure that all employees understand
its content and the commitment
displayed by senior management to its
objectives

mikepwlee 16
COMPANY RESPONSIBILITY & AUTHORITY

vIf 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
vThe Company should Define and Document the
Responsibility, Authority and Interaction of all
Personnel who Manage, Perform and Verify
work relating to and affecting the Safety and
Pollution Prevention.

mikepwlee 17
RESPONSIBILITY & AUTHORITY
vThe reason for documenting the
Responsibility and Authority of
Personnel is to Ensure that those
involved the Management of Safety and
Environmental Protection know what is
expected of them to make the system
function effectively
vPersonnel concerned with the SMS, on
shore and at sea, should be given
clearly worded, unambiguous
definitions of their responsibilities
and authority, to assist in motivating
them to understand the vital
importance of their performance in
the success of the safety managementcontd
system.
mikepwlee 18
RESPONSIBILITY & AUTHORITY

vThe level of competence for the tasks

involved should be clearly defined and
senior management should ensure that
shore and sea personnel are adequately
qualified and experienced to undertake
their duties.
vThe use of diagrammatical charts of the
organisation should be considered to
show how the defined responsibilities
of shore and sea personnel interrelate
to achieve the system's objectives.

mikepwlee 19
DESIGNATED PERSONS
vTo ensure the safe operation of each
ship and to provide a link between
the company and those onboard, every
company should designate a person(s)
ashore having direct access to the
highest level of management.
vThe responsibility & authority of the
designated person(s) should include
monitoring the safety & pollution
prevention aspects of the operation
of each ship and to ensure that
adequate resources & shore based
support are applied.
contd

mikepwlee 20
DESIGNATED PERSONS

vFor any Management System to be

adequately maintained, it is
necessary for:
§its effectives and degree of
implementation to be verified
§deficiencies to be reported to
the responsible level of
management
§persons responsible for
rectifying the deficiencies to
be identified

mikepwlee 21
DESIGNATED PERSONS
vThe task of implementing and maintaining the SMS
is a line management responsibility
vVerification and monitoring activities should be
carried out by a person independent of the
Responsibility and Implementation
§The DP(s) should be suitably qualified &
experienced in the Safety & Pollution control
aspects of ship operations & should be fully
conversant with the Company’s Safety and
Environmental Protection Policies
§The DP(s) should have the independence and authority
to report deficiencies observed to the Highest
Level of Management
§The DP(s) should have the responsibility for
organising Safety Audits, and should ensure that
Corrective Action has to be taken.

mikepwlee 22
MASTER’S RESPONSIBILITY & AUTHORITY

The Company should clearly define &

document the Master’s Responsibility with
regards to:
vImplementing the Safety & Environmental
Protection Policy of the Company;
vMotivating the crew in the Observation
of that Policy
vIssuing Appropriate Orders &
Instructions in a Clear & Simple
manner;
vVerifying that Specified Requirements
are observed; and
vReviewing the SMS and reporting its
deficiencies to the Shore based
Management
mikepwlee 23
MASTER’S RESPONSIBILITY & AUTHORITY

vThe Company should ensure that he SMS

operating onboard the ship contains a
clear statement emphasizing the
Master’s Authority
vThe Company should establish in the SMS
that the Master has the Overriding
Authority & the Responsibility to make
decisions with respect to Safety and
Pollution.
vClear guidance on matters affecting the
Safety of the Crew, the Environment, the
Ship and its Cargo is an important
element in the link between ship and
shore. contd

mikepwlee 24
MASTER’S RESPONSIBILITY & AUTHORITY

vMasters should be given every

encouragement & assistance to
implement the system.
vAny system of checks and balances
implemented by shore based
management should allow for, and
sit comfortably with, the master's
overriding authority and
discretion to take whatever action
he considers to be in the best
interests of passengers, crew, the
ship and the marine environment

mikepwlee 25
RESOURCES AND PERSONNEL

vThe Company should ensure that

the Master is:
§Properly qualified for command
§Fully conversant with the Company
SMS and
§Given the necessary support so
that the Master’s Duties can be
safety performed.

contd

mikepwlee 26
RESOURCES AND PERSONNEL

vWith regards to the Master’s Qualification and

Competence, it is essential that the Company
only appoints Masters:
§Who have the required level of training
§Hold appropriate internationally recognised
certificates and
§Are considered by the Company to have the
Competence to command the type of vessel
to which they are to be assigned.

mikepwlee 27
MANNING

vThe Company should ensure that each ship

is manned with qualified, certificated and
medically fit seafarers in accordance with
national and international requirements
vWhen considering manning, the right
commitment & motivation need to be instilled
in those shipboard personnel upon whose
attitude the effectiveness of the SMS will
depend.

mikepwlee 28
MANNING
vThe Company should consider the
following when addressing manning in
the context of SMS:
§The trade in which the ship is
engaged & workload of the crew
§The skills required for the safe
execution of the task the crew is
expected to perform in normal
operations & during emergencies.
§The crew’s awareness with respect to
his/her SMS duties
§The availability of the appropriate
records of qualifications and
medical fitness

mikepwlee 29
FAMILIARISATION
vThe Familiarisation of the crew with their
SMS related duties is important from the
point of view of maintaining the continuity
& Effective levels of the SMS.
vThe Company should ensure that new
personnel and personnel transferred to
new assignments related to safety &
Protection of the Environment are given
proper familiarization with their duties
vInstructions which are essential to be
provided prior to sailing should be
identified, documented and given

mikepwlee 30
RELEVANT RULES

vCompanies should ensure that relevant

personnel are also familiar with other
Conventions which are incorporated in
and published as national legislation,
dealing with aspects of safe ship
operation and pollution prevention as
well as applicable Classification
Societies’ rules and regulations

contd

mikepwlee 31
RELEVANT RULES
vOther relevant information & guidelines
published by Classification Societies and
helpful Technical Guides on Safe Operations
and Safe Working routines issued by
various organisations, particularly The
International Chamber of Shipping (ICS),
the Oil Companies International Marine
Forum (OCIMF), & the Society of
International Gas Tanker & Terminal
Operators (SIGTTO) should also covered as
appropriate under this requirement.

contd

mikepwlee 32
RELEVANT RULES

vCompanies should consider the

establishment of Libraries ashore
and onboard where safety reference
material is available. These areas
should be supervised & maintained
with up to date publications.

mikepwlee 33
TRAINING
vThe Company should establish & maintain
procedures for identifying any training which
may be required in support of the SMS & ensure
that such training is provided for all personnel
concerned.
§Safety training drills should be carried
out in accordance with the procedures &
requirements laid down in the SMS. The
drills should cover likely emergency
situations & should aim to ensure that
crew members meet the Company’s SMS
standard & gain confidence in controlling
situations that are likely to arise should
an emergency occur.

mikepwlee 34
TRAINING
§Results of safety audits, drills & the
analysis of accidents, hazardous
occurrences & non-conformities may assist
in identifying additional company
training requirements or necessary
changes to SMS procedures.
§The Company should establish and maintain
procedures for identifying any training
which may be required in support of the
SMS & ensure that such training is
provided for all personnel concerned.
§The Company should consider ways of
reviewing individual training needs and
for checking the validity of recorded
qualifications in line with International,
National and Special Company requirements.
mikepwlee 35
INFORMATION ON THE SMS
vThe 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
vAll procedures & instructions established are
written in a clear and simple manner
vWhere contracted crewing agencies are used,
Companies should issue them with copies of the
relevant provisions of the SMS, together with
necessary instructions on their use, before
selected personnel are appointed.

mikepwlee 36
COMMUNICATION
vThe Company should ensure that the ship’
personnel are able to communicate effectively in
the execution of their duties related to the SMS
vA vital factor in the successful implementation of
a SMS is the selection of the right personnel to
fill positions affecting its performance.
vIn events leading up to & during Emergency
Situations, the ability of the crew to
communicate between themselves & with
passengers has proved to be a crucial factor in
the outcome of many shipping incidents.

mikepwlee 37
COMMUNICATION

vEffective communication should be an

aim at all times in the enhancement of
safety and pollution prevention.
vThe ability of personnel to communicate
effectively with other crew members
should be reviewed at the recruitment
stage and during crew appraisals.

contd

mikepwlee 38
COMMUNICATION

vCompanies using the services of

crewing agencies should ensure that
requirements on this matter are fully
understood at the recruitment stage
vThe performance of the agency in the
supply of crew that meet these
requirements should be monitored
and appropriate records kept.

mikepwlee 39
Development of Plans for Shipboard Operations

vThe Company should establish procedures for

the preparation of plans & instructions for key
shipboard operations concerning the safety of
the ship & the prevention of pollution.
vThe various tasks involved should be defined
and assigned to qualified personnel.
vEmphasis should be placed on Preventive
Actions while maintaining the ability to respond
to & correct non-conformities or hazardous
situations should they occur.

contd

mikepwlee 40
Development of Plans for Shipboard Operations

vCompanies identify key shipboard operations

and issue instructions on the manner in which
these operations are to be performed.
vContinuing supervision & verification of
compliance with these instructions is important
vRelevant International and National rules that
govern certain aspects of these operations need
to be incorporated into Company procedures,
plans and instructions.

mikepwlee 41
Development of Plans for Shipboard Operations

vIn addition, Companies should refer

to helpful technical guides issued by
various industry organisations
vAll written procedures, instructions or
plans should be kept simple and
unambiguous.

contd

mikepwlee 42
Development of Plans for Shipboard Operations

vChecklists may be of considerable help in

insuring that all routines in a particular
operational phase are covered.
vWhile recognising that all shipboard
operations can affect safety & pollution
prevention, Companies may consider
dividing Safety related shipboard
operations into two categories:
§Special Operations
§Critical Operations

mikepwlee 43
Development of Plans for Shipboard Operations

vThis may be done to prioritise operational

planning & allow the maximum level of
attention to be paid to those shipboard
operations which are crucial to safety and
to the protection of the environment.
vSpecial shipboard operations are those
where errors may become apparent only
after they have created hazardous
situations or when accidents have occurred.
vProcedures and instructions for special
operations should cover precautions and
checks that aim to correct unsafe
practices before accident occur.

mikepwlee 44
Development of Plans for Shipboard Operations
vExamples of Critical Operations are (but
not limited to):
§Ensuring watertight integrity
§Navigational safety, including the
correction of charts & publications
§Operations affecting the reliability of
the equipment (such as steering gear) &
associated standby machinery
§Maintenance operations
§Bunkering operations and oil transfers in
port
§Maintaining stability & preventing
overloading & over stressing
§Lashing of containers, cargo and other
items; and
§Ship security, terrorism and piracy
mikepwlee 45
Development of Plans for Shipboard Operations

vCritical shipboard operations are those

where a error may immediately cause an
accident or a situation which could threaten
people, the environment or the ship
vParticular attention should be drawn to the
need to adhere to strict instructions in the
conduct of critical operations, and
satisfactory performance should be closely
monitored.

mikepwlee 46
Development of Plans for Shipboard Operations
vExamples of critical shipboard operations
are: (but not limited to):
§Navigation in confined waters or high
density traffic areas
§Operations that may cause a sudden loss
of manoeuvrability in close or high
density traffic areas
§Navigation in conditions of reduced
visibility
§Operations in heavy weather conditions
§The handling & stowage of hazardous
cargoes & noxious substances
§Bunkering & oil transfer at sea
§Cargo operations on gas, chemical and oil
tankers; and
§Critical machinery operations contd
mikepwlee 47
Development of Plans for Shipboard Operations

vArrangements should be put in

place to monitor the operational
competence of crew undertaking
critical shipboard operations

mikepwlee 48
EMERGENCY PREPAREDNESS

vThe Company should establish

procedures to Identify, Describe &
Respond to Potential Emergency
Shipboard Situations
vThe Company should establish
Programmes for Drills & Exercises
to prepare for Emergency Actions

contd

mikepwlee 49
EMERGENCY PREPAREDNESS

vThe SMS should provide for measures

ensuring that the company’s
organisation can respond at any time to
hazards, accidents & emergency
situations involving its ships.
vIt is important that company shore &
shipboard contingency planning is
consistent and appropriately integrated.

mikepwlee 50
EMERGENCY PREPAREDNESS
vShore based Contingency Plans may include:
§The composition & duties of the persons
acting within the Contingency Plan
§Procedures for the mobilisation of an
appropriate company emergency respond
(which may include the establishment of an
emergency respond team)
§Procedures to follow in respond to
different types of accidents or
hazardous occurences
§Procedures for establishing & maintaining
contact between the ship & management
ashore
§The availability of ship particulars,
plans, stability information, & safetycontd
&
environmental protection equipment
carried onboard mikepwlee 51
EMERGENCY PREPAREDNESS

§Checklists appropriate to the type of emergency

which may assist in the systematic questioning
of the ship during the response
§Lists of contact names & telecommunication
details of all relevant parties who may need to
be notified & consulted
§Reporting methods for both ship & shore based
management
§Procedures for notifying & liaising with the next of
kin of persons onboard

contd

mikepwlee 52
EMERGENCY PREPAREDNESS

§Procedures for issuing information bulletins to &

answering queries from the media & the public
§Back up arrangements for the company’s initial
respond in the event of a protracted emergency
§The roistering of the company personnel &
specialists dedicated to support the response &
adequate relief for the maintenance of their
routine duties

mikepwlee 53
EMERGENCY PREPAREDNESS

vShipboard Contingency Plans should take

into account of the various types of
emergency which may arise on a particular
ship and may include:
§The allocation of duties &
responsibilities onboard
§Actions to be taken to regain control
of a situation
§Communication methods to be used
onboard

contd

mikepwlee 54
EMERGENCY PREPAREDNESS

§Procedures for requesting assistance from

third parties
§Procedures for notifying the company &
reporting to relevant authorities
§Maintaining communications between the
ship and shore; and
§Procedures for dealing with the media or
other outside parties

mikepwlee 55
EMERGENCY PREPAREDNESS

vContingency Plans should be established to

describe how to deal with emergency situations
related to damage, fire, pollution, personnel,
security and cargo. Examples include:
§Failures – Structural, Main Engine,
Steering Gear, Electrical Power
§Collision
§Cargo – Shifting, Spillage, Contamination,
Jettison
§Fire

contd

mikepwlee 56
EMERGENCY PREPAREDNESS

§Flooding
§Abandoning ship
§Man overboard / search &
rescue
§Entry into enclosed spaces
§Serious injury
§Terrorism or piracy
§Helicopter operations and
§Heavy weather damages

mikepwlee 57
EMERGENCY PREPAREDNESS
vThe list is by no means exhaustive & the
Company should attempt to identify all possible
situations where shipboard contingency
planning would be required, relative to the ship,
its construction, equipment and trade
vInternational regulation under MARPOL 73/78,
Annex 1 regulation 26 requires every oil tanker
of 150 GRT and above and every ship other
than tanker of 400 GRT and above, to have a
shipboard oil pollution emergency plan (SOPEP)

mikepwlee 58
EMERGENCY DRILLS

vActions to counter potential Emergency

Situations should be practised in Drills
vA programme of such drills, additional to
those required by SOLAS Convention
should be conducted to develop & maintain
confidence & proficiency onboard

contd

mikepwlee 59
EMERGENCY DRILLS
vThese drills should be developed to exercise the
emergency plans established for critical
situations and should, as appropriate, mobilise
the shore based management emergency
contingency plans under simulated conditions.
vEmergency drills and exercises should be
carried out regularly to test the effectiveness
and clarity of emergency plans, and to develop
the confidence and competence of the
personnel who may be involved in actual
emergencies.

mikepwlee 60
EMERGENCY DRILLS

vRecords of all emergency drills &

exercises conducted ashore & on board
should be maintained be available for
verification purposes
vAppropriate personnel should evaluate
the results of these drills & exercises as
an aid to determining the effectiveness of
documented procedures.

mikepwlee 61
TS Maritime Sdn.
Bhd
T hank You

mikepwlee 62