International Safety

Management Code
Professor Svante O. Johansson

Th b
The
background
k
d
Herald of Free Enterprise (1987)
Scandinavian Star (1990)
Estonia (1994)

Human factor is the most common reason

for accidents with ships; a significant
contributing factor

Th h
The
history
t
Internationall Management Code for
f the
h Safe
f
Operation
p
of Ships
p and for Pollution
Prevention (ISM Code) of 1993
First aas Guidelines
d n (non-binding)
(n n nd ng)
Chapter IX of SOLAS as of 1994
As of (1998) 2020 binding

A.913(22) Revised Guidelines on the

I l
Implementation
t ti off the
th ISM Code
C d

The structure

Preamble
1. The purpose of the Code is to provide an international standard for the

safe management and operation of ships and for pollution prevention

P t A Implementation
Part
I l
t ti

Objectives
Responsibilities and policies of shipping company, master
Designated persons
Preparedness
Internal audit
Documentation

Part B Certification and Verification

Certification and periodical verification

Interim certification
Verification
Forms of certificates

Main duties under the ISM Code

Instruct properly the master and the crew
Keep and maintain records and reports
Designation of the responsible person
Certification
Document of Compliance and Safety
Management Certificate

Verification, review and evaluation

Th A
The
Aim
Change
h
off perspective
From regulations
g
and rules to
Management system

Flexibility
Pr eamble 4 and 5

Safety
f
Management System
must be established by the shipping company (1.4)
1
1.

Say what
S
h t you do!
d ! Safety
S f t M
Managementt and
d
procedures manuals, instructions, checklists etc
2 Do
2.
Do what you say you do!
do! implement these
instructions in practice
3 Show
3.
Show that you do what you say you do!
do!-- ensure you
have objective evidence of steps 1 and 2

What is required?
ISM Code establishes minimum common
requirements for SMS
Up to the shipping company to implement
shipping
hi i company iis broadly
b dl defined
d fi d

It resembles with Quality Accurance

Accreditation

The
h SMS objectives
b
(1.2.2-3)
Objective
provide
id ffor safe
f practices
ti in
i ship
hi operation
ti and
d a safe
f
working environment
establish safeguards against all identified risks
continuously improve safety management skills of
personnel ashore and aboard,
aboard including preparing for
emergencies related to safety and environmental
p
protection

Ensure
compliance with hard law and soft law

D i
Designated
t d person, DP
DP, (4)
May be more than one
Role and function
Conduit between the company and the ship
Direct
D t access to
t the
th highest
h h t llevell off managementt
Checking that the SMS functioning

R l off the
Role
th Designated
D i
t d person
How much information should be
communicated to the senior management?
Only major/serious accidents?
Also minor and near
near-accidents
accidents??

Authority of DP
Senior Management of the Company and DP
Turning
n ng a blind
nd eye
y to
Commitment from the top

C
Conclusions
l i
as to
t Designated
D i
t d person
Knowledge of DP not necessarily the same as
knowledge of the Senior management
But harder to prove a negative

Mi
Minor non-conformities
f
iti nott reported
p t d
Major shall, however, be reported

M t (5)
Master,
Masters responsibility must be clearly defined
Overriding authority and responsibility to
make decisions with respect to safety and
pollution prevention
The master is responsible for periodical
reviews of the companys
company s safety management
system together with his crew in search of
improvement
The Master has the overriding authority

Cr and personnel
Crew
p rs nn l (6.2)
(6 2)
Must be familiar with the ship and safety
procedures
Conversant with

Plans for shipboard operations (7)

Procedures for preparation of plans and
instructions, checklists etc.
Tasks to be defined and assigned to qualified
pers nnel
personnel

Example of duty assignments on board

Safety Officer 2nd (or 3rd) mate
Safety Ombudsman - one from each department (crew
representative)
Hospital - Chief Officer
Garbage Management - Chief Officer
Ballast Water Management - Chief Officer
Pollution responsible officer - Chief Officer
Ship Security Officer Chief Officer
Fire
F ffighting
ht
Squads
S
d - One
O junior officer
ff
on each
h team
t
(team leader)
(smoke diving teams) (being no. 2 handling
communications)
Chemical Locker:Daily control - 3rd or 4th
Engineer (including Hazardous Substance Log)
Responsible
R p ibl - Chief
Chi f Engineer
E gi

Emergency preparedness (8)

The SMS should provide for measures
ensuring that the Companys
Company s organization
can respond at any time to hazards, accidents
and emergency situations involving its ships
Accessibility to the world outside

Who supervises implementation?

Flag State
Reg. IX.4 of of SOLAS; ISM Code para. 13; IMO Resolution
A 788(19)
A.788(19)

Classification societies (recognized organization)

Reg.
g IX.1 of SOLAS States may
y delegate
d g
powers
p
of supervision
p
Renewal audit (5 years), periodical surveys (2.5 year)

Port State control

Reg. IX.6.2 off SOLAS

Consequences of ISM Code violations

Detention under Port State Control
Civil liability
Contract of carriage
Limitation
L t t
Insurance

Criminal/administrative liability