ISM CODE

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

ISM CODE
-International Safety Management Code.

- ISM is made mandatory by the chapter IX in the

SOLAS from1 July 1998.
- ISM comes in to force on 1 July 2002. which is
mandatory for the wider range of cargo ships and
for mobile offshore drilling units (MODUs).

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

Objectives:
The objectives of the ISM Code are to:
1. Ensure safety at sea;
2. Prevent human injury or loss of life; and
3. Avoid damage to the environment with focus on the
marine environment and on property The ISM Code
establishes the following safety management objectives
of the company:
4. Provide safe practices in ship operation and working
environment;
5. Establish safeguards against all identified risks; and
6. Continuously improve safety management skills of
personnel ashore and onboard ships. These skills
include the preparation for emergencies related to safety
and environmental protection.
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

Applicable for:
The provisions of Chapter IX of the SOLAS Convention and
the ISM Code apply to the following with effect from 1 July
2002:
1. All ships of 500 gross tonnage and above, engaged on
international voyages and propelled by mechanical means;
2. Passenger ships engaged on international voyages;
3. The Companies (Company means the owner of the ship
or any other organization or person such as the manager,
or the bareboat charterer, who has assumed the
responsibility for operation of the ship from the shipowner,
and who on assuming such responsibility, has agreed to
take over all duties and responsibility imposed by the ISM
Code.)
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

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.
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

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.

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

Certification:
The application of the code will lead to the issue of two
certificates:
1. The Document Of Compliance (DOC)
- will be issued to the company following a successful audit
of the shore side aspects of the Safety Management
System
- evidence required that the system as been in operation on
at least one type of ship in the companies fleet for a period
of three months.
- Specific to ship types at time of audit
- valid for 5 years
- subject to annual verification ( within 3 months of
anniversary date)
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

2. The Safety Management Certificate (SMC)

- issued to each ship following audit
- evidence that SMS has been in operation for 3
months prior to audit
- valid DOC required
- valid for 5 years
- subject to one verification between the second an
third anniversaries with a proviso for more frequent
audits if necessary. This is more likely in the early
days of ISM Code implementation.

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

Temporary certification
- A 12mth valid DOC may be issued to a newly
formed company or a company acquiring a new
type of vessel as long as they have a SMS
meeting the minimum requirements of the ISM
code and can demonstrate plan for full
compliance.

- A 6 mth valid SMC may be issued to a new

building or when a company takes of the
responsibilities for the running of a vessel.
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

Safety Management System (SMS)

Safety Management objectives of the company:

1. Provide for safe working practices and a safe
working environment
2. Establish safeguards against possible risks
3. Continuously improve safety management skills
of personnel ashore and aboard ships,

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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

10

The safety management system should ensure:

1. Compliance with mandatory rules and
regulations
2. Applicable codes and guidelines both statutory
and organizational are taken into account.
3. Promulgation and understanding of company
and statutory regulations and guidelines. (It is the
task of a visiting surveyor to test the general
knowledge of company and statutory regulations
and instructions)
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

11

The functional requirements for a SMS:

1. A safety and environmental policy
2. Instructions and procedures to ensure that safe
operation of the vessel in compliance with relevant
international and flag state legislation
3. Defined levels of authority and communication between
shore and ship personnel
4. Procedures for reporting accidents and non-conformities
with the code
5. Procedures for responding to emergency situations
(drills etc)
6. Procedures for internal audits and management reviews
7. A system is in place for the on board generation of plans
and instructions for key shipboard operations.
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

12

These tasks may be divided into two categories:

Special operations:
Those where errors only become apparent after a
hazardous situation or accident has occurred. E.g. ensuring
water tight integrity, navigational safety(chart corrections,
passage planning), maintenance operations, bunker
operations

Critical shipboard operations:

where an error will immediately cause an accident or a
situation that could threaten personnel, environment or
vessel. e.g. navigation in confined waters, operation in
heavy weather, bunker or oil transfers, cargo operations on
tankers.
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

13

ISM CODE REQUIREMENTS

Requirements
1.
2.
3.
4.
5.
6.

7.

The ISM Code requires every Company to develop, implement

and maintain a safety management system (SMS) which
includes these functional requirements:
A safety and environmental protection policy;
Instructions and procedures to ensure safe operation of ships,
and protection of the environment, in compliance with relevant
international and flag State legislation;
Defined levels of authority and lines of communication
between, and amongst, shore and shipboard personnel;
Procedures for reporting accidents and non-conformities with
the provisions of this Code;
Procedures to prepare and respond to emergency situations;
and
Procedures for internal audits and management reviews
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

14

PART A IMPLEMENTATION
1. General
2. Safety and environmentalprotection policy
3. Company responsibilities
and authority
4. Designated person(s)
5. Masters responsibility and
authority
6. Resources and personnel
7. Shipboard operations
8. Emergency preparedness
9. Reports and analysis of
non-conformities, accidents
and hazardous occurrences
10. Maintenance of the ship
and equipment
11. Documentation
12. Company verification,
review and evaluation

PART B CERTIFICATION AND

VERIFICATION
13. Certification and periodical
verification
14. Interim certification
15. Verification
16. Forms of certificates

1.

GENERAL
1.1
1.2
1.3
1.4

Definitions
Objectives
Application
Functional requirements for a safety management system

An introduction to the general purpose of the code and its

objectives:
The purpose of the code is to provide an international
standard for the safe management and operation of ships and
for prevention of pollution
The objectives of the code are to ensure safety at sea,
prevention of human injury or loss of life, and avoidance of
damage to the environment.
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

16

2.
Safety and environmental protection policy
- The company should establish a safety and
environmental protection policy which describes
how objectives listed above will be achieved.
- The company should ensure that the policy is
implemented and maintained at all levels of the
organisation both ship based as well as shore
based.
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

17

3.
Company responsibilities and authority
- There must be disclosure from the owner to the administration as to
who is responsible for the operation of the ship. The company should
define and document responsibility, authority and interrelation of all
personnel who manage, perform and verify work relating to and
affecting safety and pollution prevention
- The company must ensure there are adequate resources and shore
based support for the designated person or persons to carry out their
function.
Management
DPA

Commercial

Charter/Ops
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Technical

Stores/Spares

Marine

R&M

Crew

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

Nautical
18

4.
Designated Person(s)
- A person or persons who has direct access to the
highest levels of management providing a link
between the company and those on board.
- The responsibility and authority of the designated
person is to provide for the safe operation of the
vessels. He should monitor the safety and pollution
prevention aspects of the operation of each vessel
and ensure there are adequate shore side
resources and support
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

19

5.
Master's responsibility and authority
- The roles and responsibilities of the Master should be
clearly defined by the company with regard to the
implementation of the companies policies with respect to
SMS and methods for review and reporting deficiencies
to the shore based management.

- The company should ensure that the SMS operating

onboard the vessel contains a clear statement
emphasising the masters authority. The company should
make it clear that the Master has the overall
responsibility for decision making and has overriding
authority with the option of adequate shore back up
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

20

6.
Resources and Personnel
1. The company should ensure that the Master is suitably
qualified and fully conversant with the SMS. They should
also ensure that the ship is correctly manned.
2. The company should ensure that there is adequate
familiarisation with safety and protection of the environment
for new personnel. They should ensure that the personnel
has an adequate understanding of the relevant rules,
regulations, guidelines and codes.
3.Training is to be provided where necessary. Relevant
information for the SMS should be promulgated and be
written in an easy to Mohd.
understand
method.
Hanif Dewan, Chief Engineer and
6/26/2014

Maritime Lecturer & Trainer, Bangladesh.

21

7.
Development of plans for ship board operations
- The company should establish procedures for the
generation of shipboard plans and instructions with
regard to the prevention of pollution and that these
should be generated by qualified personnel

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

22

8.
Emergency Preparedness:
- The company should establish procedures
for the response actions to potential
emergency situations. Programmes for drill
should be established and measures taken to
ensure that the company's organization can
respond to hazards and accidents.

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

23

9.
Reports and analysis of non-conformities,
accidents and hazardous occurrences
- The company should ensure there is a procedure
for the reporting and analysis of accidents,
hazardous occurrences and non-conformities, and
for the corrective action.

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

24

10.
Maintenance of the ship and equipment
- The company is to ensure that the vessel is
properly maintained. Procedures within the SMS
should be in place to identify, record and plan for
repair defects. A system of preventive
maintenance should be in operation.
- Regular inspections integrated with the ships
operational maintenance routine should take place
to ensure that the vessel is in compliance with
relevant regulations.
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

25

11.
Documentation
- The company should establish and maintain
procedures for the control of all documentation relevant
to the SMS. This should include;
i. valid documents are available at all relevant locations
ii. changes to documents are reviewed and approved to
authorised personnel
iii. obsolete documents are promptly removed
- All documents, carried in a company approved relevant
form, should be present on board

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

26

12.
Company verification, review and evaluation.
- The company should carry out periodic audits to verify
that safety and pollution prevention's are complying with
SMS. The audits and corrective actions should be carried
out as per laid down procedures.
- Personnel carrying out the audits should be
independent of the areas that they are carrying out the
audit unless size of the company is such that this is
impractical.
- Deficiencies or defects found should be brought to the
attention of the personnel in that section and the
management team so effective corrective action can be
carried out
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

27

13.

Certification and Periodical Verification

- The ship should be operated by a Company which has been issued with
a DOC or with an Interim DOC. The DOC should be issued by the
Administration to any Company complying with the requirements of this
Code for a period specified by the Administration which should not exceed
5 years. Such a document should be accepted as evidence that the
Company is capable of complying with the requirements of this Code. The
DOC is only valid for the ship types explicitly indicated in the document.
The validity of a DOC should be subject to annual verification by the
Administration and at the request of the Administration within 3 months
before or after the anniversary date.
- A copy of the DOC should be held on board to allow the Master to
produce it to the relevant authorities is required.
- The SMC should be issued to a ship for a period which should not
exceed five years by the Administration. The SMC should be issued after
verifying that the Company and its shipboard management operate in
accordance with the approved SMS. Such a Certificate should be accepted
as evidence that the ship is complying with the requirements of this Code.
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

28

14.

Interim Certification
- An Interim Document of Compliance may be issued to
facilitate initial implementation of this Code when a
Company is newly established or new ship types are to be
added to an existing Document of Compliance. Such an
Interim Document of Compliance should be issued for a
period not exceeding 12 months by the Administration.
- An Interim Safety Management Certificate may be issued
to new ships on delivery when a Company takes on
responsibility for the operation of a ship which is new to the
Company when a ship changes flag. Such an Interim
Safety Management Certificate should be issued for a
period not exceeding 6 months by the Administration.
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

29

15.
Verification
- All verifications required by the provisions of this Code
should be carried out in accordance with procedures
acceptable to the Administration, taking into account the
guidelines developed by the Organization.

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

30

16.
Forms of Certificates
- The Document of Compliance, the Safety
Management Certificate, the Interim Document of
Compliance and the Interim Safety Management
Certificate should be drawn up in a form
corresponding to the models given in the appendix
to this Code. If the language used is neither
English nor French, the text should include a
translation into one of these languages.

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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

31

Requirements on board ship

1. Proof that the vessel is being maintained in a satisfactory
condition at all times, and not only at the time of surveysobjective evidence in the form of no overdue surveys, no
overdue recommendations from port or flag state
inspections and that planned maintenance is being carried
out and records kept.
2. Applicable codes and guidelines are being taken into
consideration when operating the vessel. Vessels staff
must be able to demonstrate that operations are carried out
in a controlled manner utilizing information contained in
these codes, guidelines and standards.
3. That emergency situations have been identified and drills
are conducted to ensure the vessel and company are ready
to respond to emergency situations.
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Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

32

Examples of the type of documentation the auditor will wish to

see to verify compliance with the ISM are as follows:
1. Log books
2. Safety and management meeting minutes and follow up actions
3. Medical log
4. Company circular letters
5. Planned maintenance records
6. Records of verification
7. Records of masters review of the system
8. Records of internal audits and follow up
9. Records of chart corrections
10. Class quarterly listings
11. Records of passage planning
12. Oil record books
13. Garbage logs
14. Company manual and forms

6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

33

ANY QUESTION?

THANK YOU!
6/26/2014

Mohd. Hanif Dewan, Chief Engineer and

Maritime Lecturer & Trainer, Bangladesh.

34