THE INTERNATIONAL SAFETY MANAGEMENT CODE (ISM)
Objectives
The objectives of the ISM Code are;
1. To ensure Safety at Sea and the prevention of human injury or loss of life.
2. To avoid damage to the environment, in particular the marine environment and to property.
To support the codes objectives the safety management objectives of the company must include processes that:
1. Provide for safe practices in ship operation and a safe working environment
2. Establish safeguards against all identified risks to its ships, personnel and the environment.
3. Continuously improve safety-management skills of personnel ashore and aboard ships
Background
The ISM Code entered into Force on 1st July 2002 and is enshrined in SOLAS Chapter IX. It currently applies to the following vessels:
- All Passenger ships
- All cargo vessels over 500GT
The Maritime and Coastguard Agency of the United Kingdom (MCA) strongly advises ships 150 – 500 GT to register voluntarily.
Certification
There are two separate aspects of ISM the first is the shipboard aspect and the second is the shore side aspect. In order to be certificated both the ship and shore side company have to pass strict audits. The Company must show that the shore based operation is structured towards providing an overall safety culture which is capable of supporting the ships at sea. In recognition of these two separate, but closely linked aspects, there are two forms of certification involved with ISM.
Document of compliance (DOC)
This is issued to Companies following successful external audit of Shore Side aspects of the Safety Management System (SMS). The issue of this certificate confirms that the company SMS complies with the objectives of the ISM Code. The DOC will be specific to Ship Type. It is valid for 5 years and audited by the Flag State annually. A copy of the DOC should be displayed on- board the vessels it refers to.
Safety Management Certificate (SMC)
Once the Company has been issued with its DOC for a ship type, every ship of that type in the fleet will be subjected to an external audit. Providing the audits are successful, each ship will be issued with its individual Safety Management Certificate (SMC). The SMC is valid for 5 years and a copy will be displayed on-board the vessel. There will be an intermediate external verification (audit) between 2nd and 3rd Anniversaries of the issue of the SMC.
Interim Certification
An Interim DOC may be issued (valid for up to 12 months) to facilitate initial implementation in new company or where new ships built/bought. An Interim SMC may be issued (valid for up to 6 months) to new ship.
Functional Requirements of the ISM Code and Company Responsibilities
Functional Requirements
Every company should develop, implement and maintain a safety management system which includes the following functional requirements;
1. A safety and environmental protection policy which contains:
2. Instructions and procedures to ensure the safe operation of ships and protection of the environment in compliance with international and flag-state legislation.
3. Defined levels of authority and lines of communication between and amongst shore and shipboard personnel.
4. Procedures for reporting accidents, non-conformities within the provisions of the code.
5. Procedures to prepare for and respond to emergency situations and
6. Procedures for internal audits and management reviews on the safety management system.
Additionally the company must…
• Define how they will implement, maintain and monitor the safety and environmental protection policy.
• Define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention.
Company Requirements
• Ensure the Master is properly qualified for the role, fully conversant with the company SMS and given proper support in the management of safety.
• Ensure that the SMS includes the fact that the Master has the overriding authority and responsibility to make decisions with respect to safety and pollution prevention and to request the company’s assistance when necessary.
• Ensure their ships are manned with qualified, certified and medically fit seafarers in accordance with national and international requirements.
• Ensure that each of their ships is appropriately manned in order to encompass all aspects of maintaining safe operations on board.
• Identify training needs and provide them.
• Supply SMS information to the crew in a working or language understandable to them.
• Ensure that crew can communicate with each other on safety issues.
• The Company should periodically verify whether all those undertaking delegated ISM-related tasks are acting in conformity with the Company’s responsibilities under the code. (This is to ensure that the company takes the responsibility for carrying out all the duties imposed on it by the ISM Code. For example, if they contract out manning to another organisation, the company still carries the responsibility for ensuring it is done in compliance with the code).
• Ensure effective drills and exercises carried out
• Have a company organisation capable of responding to ships in trouble.
• Ensure that new crew or crew new to the task should be given familiarisation training where tasks relate to SOLAS or MARPOL (Instruction to be given before sailing must be identified, delivered and documented).
• The company should prepare plans and checklists for key shipboard operations concerning safety and prevention of pollution.
• Tasks and key personnel must be identified and the responsibilities assigned to them.
Masters Responsibilities
The ISM code imposes the following responsibilities on the Master:
• To implement policy
• To motivate and observe crew
• To issue appropriate orders simply
• To verify requirements observed
• To periodically review and provide feedback on the SMS
The Designated Person Ashore (DPA)
The Designated Person Ashore is responsible for ensuring safe operation of the companies ships and providing ship/shore links with regards to all safety related issues. The DPA must also have direct access to the highest level of management.
The responsibilities of the DPA include monitoring of safety and pollution prevention aspects of the operation of each of the companies ships and ensuring that there are adequate resources and shore-based support available.
Audits
In order to ensure compliance with the code there is a series of mandatory internal and external audits required as follows:
• Internal audits must be carried out at intervals not exceeding twelve months and also within three months of a Flag State interim audit. These may be conducted by senior Masters or Chief Engineers or shore-based Superintendents’.
• External auditors are highly experienced and qualified former Masters and Chief Engineers working for one of the recognised bodies such as the MCA or Lloyds.
• The audits will evaluate the efficiency of the SMS and may lead to a review of the standards which must be documented.
• If the audit uncovers a gap between performance and standard, this is known as non-compliance. In this case, a corrective note will be issued and timely remedial action is required.
ISM Non-conformities
A Non-conformity means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement.
A Major non-conformity means an identifiable deviation that poses a serious threat to the safety of crew/ship/environment that requires immediate corrective action. A failure to effectively and systematic implement the code is also a major non-conformity.
