ISM Code 2010 UK Rev 0 PDF

MNBNO520/hsiv
International Safety Management Course

Interpret, understand and discuss ISM Code requirements
Harald Sivertsen
Sept. 2010
Rev. 0
Welcome
Lecturer Harald Sivertsen
Emergency exit : Stairs to the main entrance
Mustering station : Outside the main entrance

Sept. 2010 Rev. 0
© Det Norske Veritas AS. All rights reserved. 2
Who are you?
Name
Position
Experience background (positions, type of vessels etc)
What are your expectations to this course?

Sept. 2010 Rev. 0
Objectives
Management Systems in general
Intention of the ISM Code
Interpret, understand and discuss ISM Code requirements
Practical solutions for meeting the ISM Code requirements
Challenges and problems in developing and improving a Safety Management
System
Other?

Sept. 2010 Rev. 0
Agenda
Day One Day Two
0900 Introduction 0900 Recap day 1
0930 Preface 0915 ISM Code
1000-1015 Coffee break - Shipboard Operations cont.
- Emergency Preparedness
1015 Management System
1200-1300 Lunch
1130 Approach - Reports, Analysis of Non-Conformities,
1200-1300 Lunch Accidents and Hazardous Occurences
- Maintenance of Ship and Equipment
ISM Code - Documentation
- Overview
- Preamble 1500-1515 Coffee break
- Objectives - Company Verification, Review and Evaluation
- Functional Requirements - Certification and Periodical Verification
- Safety and Environmental Policy - Interim Certification
1500-1515 Coffee break - Verification
- Company Responsibilities and Authority - Forms of Certificates
- Designated Person
1645 Summing up day 2
- Master’s Responsibility and Authority
- Resources and Personnel - Evaluation forms
- Shipboard Operations - Presentation of certificates
1645 Summing up day 1 1700 End day 2

1700 End day 1
Sept. 2010 Rev. 0
Slide 5
Preface
Historic review on Safety
“TITANIC” SOLAS
“TORREY CANYON” MARPOL - STCW
“HERALD OF FREE ENTERPRISE” IMO A647 (ISM)
“EXXON VALDEZ” OPA 90
“SCANDINAVIAN STAR” SOLAS CH II-2 +ISM speed up
“DEEPWATER HORIZON” ??

Sept. 2010 Rev. 0
Preface
Mandarine air

Sept. 2010 Rev. 0
Preface
Navigational accident frequency for various ship segments
…still there has been a significant increase of accidental losses
0,02
Crude oil tankers over 100,000 dwt
(Number of accidents / number of ship)
0,018
Chemical tankers over 10,000 dwt
0,016 Container vessels over 20,000 dwt
Serious accident frequency
RoRo cargo ships over 10,000 dwt

0,014 Bulkers over 50,000 dwt
0,012
0,01
0,008
0,006
0,004
0,002
0
1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
Year
Sept. 2010 Rev. 0
Preface
Accident Causes
20% Technical
Related Causes
Human
Related Causes
80%
Human related accidents:

Controlled by operator Controlled by management
20 % 80 %
Sept. 2010 Rev. 0
Preface
Basic Causes
Attitude Technical factors
12% 22%
Skill
9%
Knowledge 12%
27%
Procedures
Work conditions 8% & Training
10
%
Inspections & Maintenanance

Sept. 2010 Rev. 0
Preface

Sept. 2010 Rev. 0
Management System
HSSEQ Standards
IMO Res. 741
ISO 9001 ISO 14001 OHSAS 18001 MLC
ISM-Code
1993 1987 1996 1998 2011?

1997 1994 2004 2007
1998 2000
2002 2008
2010
Quality Global Health & Working &
Safety & Environment Safety Living
”local” Conditions
Environment
Maritime ”standards” ISPS Code 2004 Security

Industry standards
Sept. 2010 Rev. 0
Management System
Objectives of the ISM Code (ISM Code 1.2.1)
Ensure safety at sea, prevention of human injury or loss of life, and avoidance
of damage to the environment, in particular, to the marine environment, and to
property.
Overall objective of any standard

Required to establish and maintain sufficient safety, quality, environmental
protection, health and security at all times
Overall company objective

Implement sufficient degree of control of important issues at all times
To achieve the objectives one need a structured and systematic approach to

the development and continual improvement of management systems

Sept. 2010 Rev. 0
Management System
Safety
State in which the risk of harm to persons or damage to property and/or the
environment is limited to an acceptable level (of risk)
Control of accidental loss (DNV/ILCI)

Sept. 2010 Rev. 0
Management System
Basis for a functional Safety Management System (SMS)
The ISM Code demands that all ship owners use enough time on the
thinking process in order to develope their own unique safety management
system.

Sept. 2010 Rev. 0
Management System
Success or failure
Clear Capacity Stress/ 1 planned
Objectives to change Need for step at a Change
change time
Stress/ 1 planned Fast start

Capacity Need for step at a which fade
to change change time away
1 planned Worries
Clear Stress/ and
Objectives Need for step at a frustration
change time
Clear Capacity 1 planned

Objectives to change step at a Lost focus
time
Stress/ Wrong
Clear Capacity Need for from the
Objectives to change change beginning
Sept. 2010 Rev. 0
Management System
Successful development of an SMS is determined by :
The Commitment
Competence
Attitudes and Motivation of individuals at all levels
Company experience and traditions
POSH approach to successful implementation management systems
P-Positiveness, O-Openness, S-Simplicity, H-Honesty
Pitfalls :
Lack of systematic approach
Unclear definitions of terms and expressions
Inadequate communication ship – shore
Misunderstood ownership

Sept. 2010 Rev. 0
Management System
Comments from users, auditors and experts
Safety in shipping is on the wrong track

Potential of the ISM Code is not utilized
Behavioural risk management culture not established and understood
Operational risk management processes not fully implemented
Inadequate processes for continual improvement in use
Lack of effective communication ship-shore

Sept. 2010 Rev. 0
Approach
Keywords
Systematic approach equals Risk Methodology (ref. ISO 31000:2009)

Focus on Process orientation
Identify process owners and operators
i.e. Department head and those doing the work
Establish teams and define responsibilities
Do not treat paragraphs separately
Build ownership throughout the whole organisation
Remember
The ISM Code is using the word “identify” either directly or indirectly in each and
every clause, hence a certain methodology has to be established and
implemented in order to comply with requirements

Sept. 2010 Rev. 0
Approach
The steps in Risk management methodology (ISO 31000:2009)
The process of identifying, analysing, evaluating and controlling risks
Management system
Establish the context What is the problem? (Activity and Tasks)

Communicate and consult
Monitor and review

Identify What can go wrong? (Hazards)
How likely is it?
Analyse
How bad would it be? (What do we accept)
Assess What should we do? (Controls ?)
Control How do we do it? (Residual Risk)

Sept. 2010 Rev. 0
Approach
Process Orientation
Any potential incident is connected to something that is being carried out
and
Something that you do is ; )

r ation
A Process involving a number of activities and tasks e
Op
ess=
An Operation (shipboard and/or onshore) oc
(Pr
Critical issues in
relation to
quality, safety,
environment
and health etc.

Sept. 2010 Rev. 0
Approach
Process Orientation
Process
ns)
ti o
era
Op
d
oar
b
hip
Activity
eyS
K
C Tasks es=
s s In order to implement sufficient
oce
r control over time, “all” processes
C
a lp
ir tic including activities and tasks
C
.g should be identified (mapped)
(e
Task
Critical task

Sept. 2010 Rev. 0
Overview
IMO A.741 (18)
International Management Code for the Safe Operation of Ships and Pollution
Prevention
International Safety Management (ISM) Code

1. General
2. Safety and environmental protection policy
3. Company responsibilities and authority
4. Designated person(s)
5. Master’s 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
Sept. 2010 Rev. 0
Overview
IMO A.741 (18)
International Management Code for the Safe Operation of Ships and Pollution Prevention
International Safety Management (ISM) Code Cont.
PART B – Certification and verification
13. Certification and periodical verification

14. Interim certification
15. Verification
16. Forms of certificates

Sept. 2010 Rev. 0
Overview
IMO A.741 (18)
Guidelines
MSC-MEPC.7/Circ.5, 19 October 2007
- GUIDELINES FOR THE OPERATIONAL IMPLEMENTATION OF THE INTERNATIONAL SAFETY
MANAGEMENT (ISM) CODE BY COMPANIES

- GUIDANCE ON THE QUALIFICATIONS, TRAINING AND EXPERIENCE NECESSARY FOR
UNDERTAKING THE ROLE OF THE DESIGNATED PERSON UNDER THE PROVISIONS OF THE
INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE

- GUIDANCE ON NEAR-MISS REPORTING

Sept. 2010 Rev. 0
Overview
= + + +….

Sept. 2010 Rev. 0
Preamble
The code is based on general principles and objectives because:
No two shipping companies are the same

Ship operate under a wide range of different conditions
The code is expressed in broad terms for a widespread

application

Sept. 2010 Rev. 0
Preamble
The cornerstone of good Safety

Management is:
COMMITMENT FROM THE TOP
- Both ashore and onboard -
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.

Sept. 2010 Rev. 0
Definitions ISM Code 1.1
Company
The Owner of the ship or any other organization or person such as the Manager, 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 the duties and responsibility imposed by the Code.
Major non-conformity
An identifiable deviation that poses a serious threat to the safety of personnel or the ship or a
serious risk to the environment that requires immediate corrective action and includes the lack of
effective and systematic implementation of a requirement of this Code.
Minor Non-conformity
An observed situation where objective evidence indicates the non-fulfilment of a specified
requirement.
Observation
A statement of fact made during a safety management audit and substantiated by objective
evidence.
Objective evidence
Quantitative or qualitative information, records or statements of fact pertaining to safety or to the
existence and implementation of an safety management system element, which is based on
observation, measurement or test and which can be verified.
Sept. 2010 Rev. 0
Incident
Unwanted event which includes non conformity, near accident and/or accident
Near accident / Hazardous situation

An undesired event which, under slightly different circumstances, could have resulted in harm to people, damage to
property or loss to process”
Preventive action (Ref. ISO 9000:2005)

Action to eliminate the cause of a potential nonconformity or other undesirable potential
situation
NOTE 1 There can be more than one cause for a potential nonconformity.
NOTE 2 Preventive action is taken to prevent occurrence whereas corrective action is taken
to prevent recurrence.
Corrective action (Ref. ISO 9000:2005)

Action to eliminate the cause of a detected nonconformity or other undesirable situation
NOTE 1 There can be more than one cause for a nonconformity.
NOTE 2 Corrective action is taken to prevent recurrence whereas preventive action is taken
to prevent occurrence.
NOTE 3 There is a distinction between correction and corrective action.
Correction (Ref. ISO 9000:2005)

Action to eliminate a detected nonconformity
NOTE 1 A correction can be made in conjunction with a corrective action.

Sept. 2010 Rev. 0
Risk management (ISO 31000:2009)

Coordinated activities to direct and control an organization with regard to risk
Risk assessment (ISO 31000:2009)

Overall process of risk identification, risk analysis and risk evaluation
Risk identification (ISO 31000:2009)

Process of finding, recognizing and describing risks
Risk analysis (ISO 31000:2009)

Process to comprehend the nature of risk and to determine the level of risk
NOTE 1 Risk analysis provides the basis for risk evaluation and decisions about risk
treatment.
NOTE 2 Risk analysis includes risk estimation.
Risk evaluation (ISO 31000:2009)

Process of comparing the results of risk analysis with risk criteria to determine
whether the risk and/or its magnitude is acceptable or tolerable
NOTE Risk evaluation assists in the decision about risk treatment.
Risk treatment (ISO 31000:2009)

Process to modify risk

Sept. 2010 Rev. 0
Objectives ISM Code 1.2
Safety management objectives of the Company should, inter alia :

1.2.2.1 Safe practices in ship operation and a safe working environment
1.2.2.2 Assess all identified risks to its ships, personnel and the environment and establish
appropriate safeguards
1.2.2.3 Continual improvement of safety management skills
The SMS should ensure:

1.2.3.1 Compliance with mandatory rules and regulations
1.2.3.2 That applicable codes, guidelines, etc, are taken into account

Sept. 2010 Rev. 0
RISK ASSESSMENT :
ISM-CODE, 1.2.2.2;
Assess all identified risks to its ships, personnel and the environment and
establish appropriate safeguards

Sept. 2010 Rev. 0
There is a formal requirement to assess the risks to

ships, personnel and the environment arising from
their shipboard operations.
Following questions may be raised :
• How should companies respond and what should

they do to demonstrate compliance?
• How should auditors interpret the new requirement

and what evidence should they look for to satisfy
themselves that companies have addressed it
adequately?

Sept. 2010 Rev. 0
Safety vs Risk
Risk is the relationship between the probability for an accident to occur and the
estimated consequence of the accident
If risk was not involved in ship operations, we would not have to consider safety.
The degree of risk is therefore an important parameter for establishing the level of
safety investments
The shipping industry will never become a 100% safe industry, and the costs related
to decreasing the risk of a certain accident sometimes exceeds the costs that the
accident would result in. In any operational setting where the parameter for success
is profit, it is necessary to prioritize which safety initiatives is beneficial to invest in

Sept. 2010 Rev. 0
Case 1
We often hear the term “acceptable risk”. What does it mean and how do we
determine the line between acceptable and unacceptable risk?
Control
y
tc
rup
nk Hazard
Ba
Minor Injury
Accident
10 min. Buzz group

Minor Injury
Disaster
Time

Sept. 2010 Rev. 0
Functional Requirements ISM Code 1.4
The ISM Code requires that Companies establish safety objectives as

described in section 1.2 of the ISM Code, and in addition that Companies
develop, implement and maintain a safety management system (SMS) which
includes functional requirements as listed in section 1.4 of the ISM Code.

Sept. 2010 Rev. 0
Functional Requirements ISM Code 1.4
Policy (ISM 2)
Instructions and procedures (ISM 6,7,10,11)
Defined levels of authority and communication (ISM 3,4,5)
Accident/incident reporting (ISM 9)
Be prepared for emergency situations (ISM 8)
Internal audits/management reviews (ISM 5, 12)
The Company should consider the outcome of internal audits, internal SMS
reviews and analysis of non-conformities, accidents and hazardous
occurrences to enhance the effectiveness of operations and procedures
within their SMS.

Sept. 2010 Rev. 0
Safety and Environmental Protection Policy ISM Code 2
2.1 The Company should establish a safety and environmental protection

policy which describes how the objectives, given in paragraph 1.2, will
be achieved.
2.2 The Company should ensure that the policy is implemented and
maintained at all levels of the organization both ship based as well as
shore based.

Sept. 2010 Rev. 0
How should the following be achieved :
Safe practices in ship operation and a safe working environment

Assess all identified risks to its ships, personnel and the environment and
establish appropriate safeguards
Continual improvement of safety management skills
Compliance with mandatory rules and regulations
That applicable codes, guidelines, etc, are taken into account

Sept. 2010 Rev. 0
Example: Policy
It is the policy of “Safe Vessels Ltd” to recognize the very high priority it must direct to the safe operation and safe working
conditions and conservation, protection of the environment in line with the required standards of the vessel’s classification
society’s rules and regulations, as well as to the requirements of the applicable flag state requirements and all
international marine industrial and legislation requirements.
To the best of their practical ability the company will ensure following:
• Recognize its responsibilities and concern itself with both long and short-term effects of its operations on safety and on the
environment.
• Ensure that priority is also given to prevent the pollution of the marine environment
• Place high priority on the safety of the personnel, the vessel and cargo.
• Have on board all its vessels the company’s drug and alcohol policy which is based on the Administration’s guidelines &
requirements.
• Identify and provide adequate resources and training opportunities.
• Implement immediate response to and appropriate disclosure of all environmental and safety incidents by maintaining
emergency response capability in all operations.
• Communicate company goals and seek employees support for programs, policies and procedures in an endeavor to
ensure that all employees fully aware of the impact of their activities on safety and environment protection.
• That the effectiveness of the policy will be monitored through inspections and audits and that recommendation will be acted
upon, where appropriate.
The management of Safe Vessels Ltd are committed to safety of the crew and ship and protecting and safeguarding the
environment .
The Company expects the full co-operation and commitment of all employees towards sustaining the highest possible
standards of safety and environment protection.

Sept. 2010 Rev. 0
Case 2
Please evaluate the policy….
Would you consider this policy to be a well formulated policy - in line with ISM Code
requirements?
If Yes – why?
If No – why not?
15 min. Buzz group

Sept. 2010 Rev. 0
Company Responsibilities and Authority ISM Code 3.1
Company (ISM Code 1.1.2)

The Owner of the ship or any other organization or person such as the
Manager, 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 the duties and responsibility
imposed by the Code.
ISM Code 3.1

If 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.

Sept. 2010 Rev. 0
Company responsibility
The Company should 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.

Sept. 2010 Rev. 0
Line of Command
Organisazational structure (example) Line of Communication
MD
DP Staff
(HSSEQ Manager)
Technical Shore
Dept. Personnel Insurance Admin Chartering
Supt. Maritime
Personnel
Purchasing
Master
Safety Officer
Admin Officer
Deck. Dept. Eng. Dept.. Catering Dept.

Chief officer Chief eng. Chief Cook
Deck officers Engineers
Pumpman Electrician Cook
Bosun Fitter Messmen
Deck crew Eng. crew

Sept. 2010 Rev. 0
A = Action
Interrelation Matrix example B = For info & follow-up
C = Info only
HSEQ, SUP etc. = Departments & responsible person F = Filing
EXTERNAL REPORTS TM SUP OM CM HRM IN HSEQ MD

Class Reports B A,F B
Flag State Reports B B A,F C C
Port State Reports B B A,F C C
Charter Inspections B B B,F A

C
Reports
VESSEL’S TM SUP OM CM HRM IN HSEQ MD

OPERATION
Departure E-mail C B C A,F C
Voyage 169 E-mail C B A,F
Arrival 167 E-mail C B C A,F C
Incident/Accident A B C C,B C BF C
Rep.
Master’s Review A B C BF

Sept. 2010 Rev. 0
Why do we need written Job Descriptions and Procedures?

1. Unification of and re-productivity in performance.
2. Establishment of quality standards, specifications and tolerances. (Acceptance criteria).
3. Written standards and procedures are necessary to IMPROVE performance.
4. In order to preserve and record company knowledge, qualifications and experience.
5. Written procedures, instructions and checklists are the basis for training of new employees.
6. Efficient and prompt task performance - no delays in decision making.
7. Ensure tasks are assigned to qualified personnel

Sept. 2010 Rev. 0
The Company is responsible for ensuring that adequate resources

and shore based support are provided to enable the designated
person or persons to carry out their functions.
Resources
Tasks

Sept. 2010 Rev. 0
Designated Person ISM Code 4
To ensure the safe operation of each ship and to provide a link between the
company and those on board, every company, as appropriate, should designate a
person or persons ashore having direct access to the highest level of management.
The responsibility and authority of the designated person or persons should include
monitoring the safety and pollution prevention aspects of the operation of each ship
and to ensure that adequate resources and shore based support are applied, as
required.

Sept. 2010 Rev. 0
A key role, whose influence and responsibilities should significantly affect the
development and implementation of a safety culture within the Company.
Case 3
What qualifications, training and experience should the Designated Person Ashore
have ?
5 min. Buzz group

Sept. 2010 Rev. 0
Verify and monitor :

All safety and pollution prevention activities in the operation of each ship including
at least :
Communication and implementation of the safety and environmental
protection policy
Evaluation and review of the effectiveness of the safety management system
Reporting and analysis of incidents
Organizing and monitoring of internal audits
Appropriate revisions to the SMS
Ensuring that adequate resources and shore-based support are provided
Personnel, material, training, responsibility & authority, reporting of
incidents to highest level of management

Sept. 2010 Rev. 0
Organizational structure (DP’s role) Line of Command

Line of Communication
MD
DP Staff
(HSSEQ Manager)
Technical Shore
Dept. Personnel Insurance Admin Chartering
Supt. Maritime
Personnel
Purchasing
Master
Safety Officer
Admin Officer
Deck. Dept. Eng. Dept.. Catering Dept.

Chief officer Chief eng. Chief Cook
Deck officers Engineers
Pumpman Electrician Cook
Bosun Fitter Messmen
Deck crew Eng. crew

Sept. 2010 Rev. 0
Master Responsibility and Authority ISM Code 5.1
The Company should clearly define and document the

master's responsibility with regard to:
5.1.1 Implementing the safety and environmental

protection policy of the Company
5.1.2 Motivating the crew in the observation of that
policy
5.1.3 Issuing appropriate orders and instructions in a
clear and simple manner
5.1.4 Verifying that specified requirements are
observed
5.1.5 Periodically reviewing the SMS and reporting its
deficiencies to the shore based management.

Sept. 2010 Rev. 0
What kind of leadership do we need?

Sept. 2010 Rev. 0
Master Responsibility and Authority ISM Code 5.1.4
Verification
Verification is to confirm that people work in accordance with the SMS.

By signature, inspection, examination or internal audit (to ensure compliance with
requirements)
Inspection carried out by third party who has not been a part of the
activity
“to check or determine correctness or truth by investigation, reference
etc” (Collings English Dictionary)

Sept. 2010 Rev. 0
Case 4
Please give 5 examples of what the Master should verify
5 min Buzz group

Sept. 2010 Rev. 0
Verification examples :
Rest hours
Voyage Plans
Stability and Strength Calculations
Chart Corrections
Work Permits
Log books
Employee Qualifications
Maintenance Status
Reports
Physical inspections
Adherence to drug and alcohol policy
Adherance to safety and environmental policy

Sept. 2010 Rev. 0
Master’s Review (MR)
The Master is responsible for periodically reviewing the SMS with his
officers (and crew) with the view to consider the need for
improvements.
A formal MR-plan to be prepared
MR shall cover all aspects of the SMS
Non Conformities, suggestions for
improvements and conclusions are to be
reported to the company
Copy of MR always to be filed onboard
MR shall be carried out at least anually

Sept. 2010 Rev. 0
Master’s Review (example)
The Review should focus on following aspects :

Is the structure of SMS relevant and good enough?
(Documentation, Procedures, Reporting format, Instructions, Duty Plans, Forms
and Checklist, etc.)
Is the SMS adapted to the ship, to her systems, trade, and equipment?
Is the content of the System up to date, including latest industry experience?
Has the onboard Safety Management System weaknesses revealed by practical
operational use.
Is the support, including level of communication - administrative and
professional – given by the shore organisation satisfactory?
Is the SMS suitable to achieve the objectives defined in the ISM Code 1.2

Sept. 2010 Rev. 0
Master’s Review (example)
Steps and phases :

Ongoing Master and his officers prepare a written MR-Plan at
the first shipboard management meeting, covering the
master’s period.
The plan should cover: What to review, when and by whom

(The review shall cover professional issues, all officers should
take part).
Distribute the review tasks over the Masters period.

Concentrate on the most critical areas. The review shall
eventually cover the complete system over a period decided
by the Company. (6 months–1 year)
Keyword
Prepare the MR report at the end of the Master’s period and
send it to the company. A Copy of the plan and report to be
handed over to relieving Master.
Sept. 2010 Rev. 0
The master has the Overriding Authority and the Responsibility to

make decisions with respect to safety and pollution prevention and
to request the Company’s assistance as may be necessary.

Sept. 2010 Rev. 0
Resources and personnel ISM Code 6.1
The Company should ensure that the master is:
6.1.1 properly qualified for command;

- Valid certificates
- Courses
- Experience with ship type
- Management skills
6.1.2 fully conversant with the Company’s safety management system;
- ISM Code knowledge
- Training given
- Risk knowledge
6.1.3 given the necessary support so that the master’s duties can be safely
performed.

Sept. 2010 Rev. 0
The Company should ensure that each ship is manned with qualified, certificated
and medically fit seafarers in accordance with national and international
requirements.
Recruitment of ship’s personnel:
Specify manning requirements

Specify qualifications and experience requirements for all positions
Crew medically fit

Sept. 2010 Rev. 0
The Company should establish procedures to ensure that new personnel and
personnel transferred to new assignments related to safety and protection of
the environment are given proper familiarization with their duties. Instructions
which are essential to be provided prior to sailing should be identified,
documented and given.
C = (K + S) x A

Sept. 2010 Rev. 0
Familiarisation
Instructions essential to be provided prior to sailing and within 24 hours

- Safety aspects
- Duties in emergency situations
Focus on methodology
Familiarisation with duties according to program
- Bridge navigational equipment and procedures
- Engine-room technical systems and procedures
- Cadet learning program including assessment
- Change of command
- Hand-over notes
- Overlap

Sept. 2010 Rev. 0
The Company should ensure that all personnel involved in the

Company's SMS have an adequate understanding of relevant rules,
regulations, codes and guidelines.
e.g.
ISM Code
ISPS Code
MARPOL
STCW
SOLAS
COLREG
OPA90
ILO
Etc.
Updated ship’s library with index!

Sept. 2010 Rev. 0
The Company should establish and maintain procedures for identifying

any training which may be required in support of the SMS and ensure that
such training is provided for all personnel concerned.
Focus on methodology
Risk Matrix
Tools: Consequence
1 2 3 4 5
Risk Assessment Frequency Slight Minor Medium Major Extreme
Work performance monitoring and evaluation 5 Very High 5 10 15 20 25
Plan dialogue 4 High 4 8 12 16 20
STCW requirements (record keeping) 3 Moderate 3 6 9 12 15
Internal audits
2 Low 2 4 6 8 10
1 Very Low 1 2 3 4 5

Sept. 2010 Rev. 0
Resources and personnel ISM Code 6.6 & 6.7
6.6 The Company should establish “I was sure I had it under

procedures by which the ship's personnel control, so I didn’t ask
receive relevant information on the SMS anyone for help or input”
in a working language or languages
understood by them.
6.7 The Company should ensure that the

ship's personnel are able to
communicate effectively in the execution
of their duties related to the SMS.
Nobody is perfect –
Keyword : Situation awareness ask for help!
The goal is to match the reality of the situation
Sept. 2010 Rev. 0
Anger

Sept. 2010 Rev. 0
Timeliness

Sept. 2010 Rev. 0
In a restaurant

Sept. 2010 Rev. 0
Problems

Sept. 2010 Rev. 0
The Top management

Sept. 2010 Rev. 0
Shipboard Operations ISM Code 7
The Company should establish

procedures, plans and instructions,
including checklists as appropriate, Focus on methodology
for key shipboard operations
concerning the safety of the
personnel, ship and protection of the
environment.
The various tasks should be defined

and assigned to qualified personnel.

Sept. 2010 Rev. 0
Case 5
What is a Key Shipboard Operation?
10 min Buzz group

Sept. 2010 Rev. 0
Examples Key Shipboard Operations

- Chart correction - Maintenance
- Passage planning - Use of makers manuals
- Standing orders - Calibration of measuring equipment
- Internal/external communication - Use of fire-fighting equipment
- Anchoring / mooring - Use of Inert gas system and equipment
- Stability calculations - Calibration of Bridge equipment
- Starting main engine - Calibration of radio equipment
- Testing manoeuvring equipment - Use of emergency generator
- Engine-room/Bridge communication - Cleaning of ventilation system in galley
- Cargo operations - Hot work
- Cargo securing - Cold work
- Cleaning of tanks/holds - Entry enclosed space
- Check of atmosphere - Watertight integrity
- Bunkering - Safety systems
- Transfer of liquid - Garbage handling
- Ballasting / Deballasting - Working at heights
Sept. 2010 Rev. 0
Basis
Lack of operational risk assessment equals lack of compliance
Procedures and checklists are sets of controls
The need for controls are determined by the hazard and risk involved
However :
Controls are more than procedures and checklists, e.g
Qualifications
Familiarisation
Training
Drills & Exercises
Equipment
PPE
Verification
Maintenance
Rules and Regulations
Codes and Guidelines
etc….

Sept. 2010 Rev. 0
Drucker: Peters: Peter
“If you can’t measure it, “What gets measured gets

Thomas J.
you can’t manage it.” done.”
Bird:
“Management will usually “Performance
Frank E.
Petersen:
Dan
attach an increased measurement and

dimension of importance motivation are almost
of anything that is synonymous.”
quantified.”
Sept. 2010 Rev. 0
Companies are expected to provide evidence that shipboard operational

procedures are based on risk assessment.
Regardless of how risk assessments are conducted .

Companies must ensure a systematic examination of operations
Identified where things may go wrong
Adequate controls has been developed and implemented
Safety of personnel and the environment has been included
Specific flag state requirements may apply

Sept. 2010 Rev. 0
Emergency Preparedness ISM Code 8
8.1 The Company should identify

potential emergency shipboard
situations, and establish procedures to
respond to them.
8.2 The Company should establish
programmes for drills and exercises
to prepare for emergency actions.
8.3 The SMS should provide for
measures ensuring that the
Company's organization can
respond at any time to hazards,
accidents and emergency situations
involving its ships.

Sept. 2010 Rev. 0
Identify potential emergencies

Systematic approach (e.g. risk methodology)
Flag state requirements may apply
Establish controls in order to respond
Drills & Exercises
Programmes to be established
Any other mean that may reduce or stop the development of the consequence
Contingency plans including procedures and checklists ship / shore :
Communication centre
Emergency organisation
Emergency preparedness (24 hour)
Reporting and notification requirements
(Media, next of kin, authorities, external Assistance, etc.)
Alert levels
Records

Sept. 2010 Rev. 0
Examples Emergency situations :

Fire (sea, port) Towing/assistance from other vessels
Collision Main engine failure/breakdown
Explosion Search and rescue actions
Grounding Pirates
Abandon ship Political refugees
Rescue actions in tanks/holds Threat of sabotage
Illness/epidemics Hijacking
Death Call/stay in area of conflict
Acute first aid Stowaways
Extreme weather conditions Loss of Bridge control
Port of refuge Steering failure
Man overboard

Sept. 2010 Rev. 0
Flag state minimum requirements ; Example Cyprus :
The emergency preparedness plans shall, at least, address the emergency

scenarios indicated below.
1. Steering gear failure;
2. Fire;
3. Abandoning ship;
4. Structural failure, including failure of hull openings above the loaded waterline;
5. Failure of the main propulsion machinery;
6. Main and emergency electrical power failure;
7. Collision;
8. Grounding and stranding;
9. Shifting of cargo; where applicable
10. Flooding;
11. Man overboard;
12. Search and rescue operations,
13. Serious injury (including rescue from enclosed spaces and helicopter
operations for transfer of the injured crew member);
14. Operational Spills;
15. Spills resulting from casualties.

Sept. 2010 Rev. 0
Example Environmental issues

Exhaust gases from
engines and Volatile gases
incineration of waist Freon/Halon
Evaporation
of cargo
Noise and waves
Bilge water, Antifouling

Sewage & Oil pollution (from eng. spaces) Loss of cargo Tank cleaning
garbage Ballastwater management

Sept. 2010 Rev. 0
Reports and Analysis of Non-Conformities, Accidents and Hazardous
Occurrences ISM Code 9
Control the scene

9.1 The SMS should include
procedures ensuring that non-
conformities, accidents and Allocate resources
hazardous situations are reported
to the Company, investigated and Evidence Collection
analyzed with the objective of
improving safety and pollution
prevention. Systemizing facts
9.2 The Company should establish Analyse causes

procedures for the implementation
of corrective action, including Yes
No Need for more
measures intended to prevent
recurrence. information?
Findings and Report

Sept. 2010 Rev. 0 Follow-up
Incidents do not happen – they are caused
Controls Victims
HAZARD
ENERGY
Direct Causes of incidents are acts or conditions which contribute to the incident
Basic Causes of incidents are Personal or Job factors which contribute to Direct
Causes

Sept. 2010 Rev. 0
IACS Corrective action process

Identify the problem
Close
Establish the cause
Effective Ineffective
Propose solutions
Analysis
Evaluate effectiveness
Evaluation
Implement solution Accept Reject

one all

Sept. 2010 Rev. 0
Non Conformity includes

Breakdown of machinery and/or equipment
Deficiency disclosed during vetting, port state control and/or flag state
inspection
Condition of Class (CC) and/or Condition of Athority (CA) disclosed by
Recognised Organisations (Class Societies)
Deficiency disclosed during internal, external and/or 3rd party audit
Deficiency (Defects) disclosed during internal (e.g technical) inspection
Deficiency disclosed by any other inspection regime
Corrective maintenance
Incorrect or lack of use of existing procedures
Inadequate procedures and/or instructions
Near Accident / Hazardous situation

Ref. MSC-MEPC.7/Circ.7, 10 October 2008
GUIDANCE ON NEAR-MISS REPORTING

Sept. 2010 Rev. 0
Loss is often associated with substantial damage, however :

Small damages
Small Hull repairs
Small Machinery breakdowns
Container damages
Cargo damages
Personal injuries
Small Oil spills
….counts for more than the substantial damages
The day to day losses can very often be avoided

Sept. 2010 Rev. 0
Accident Cost Iceberg

Sept. 2010 Rev. 0
Relevant investigation techniques
The loss potential (Risk) inherent an incident

give input to the degree of investigation that
has to be carried out
• Different investigation techniques may be
used depending on the risk involved
Example of techniques :
Fishbone (why-How)
Loss Causation
Energy Damage
Cause – Effect
Time – Sequence
Event tree / Fault tree
FMEA / FMECA
HAZOP

Sept. 2010 Rev. 0
Loss Causation Model and Analysis

Lack of Basic Immediate Loss/
Manageme Causes Causes Incident Waste
nt
Control
Unclear People
Policy
Personal Acts
Inadequate Factors
Undesired Property
Management
Systems event that
could/does
Sub. lead to a Loss
Standard Job Factors Ship
Requirements Environment
Conditions
Inadequate
Improvement
Process Ship/Cargo

Sept. 2010 Rev. 0
Loss Causation Model and Analysis example

How it happened
Lack of Basic Accident/ Loss

Control Cause Immediate Incident
Cause
Lack of
Inadequate knowledge,
motivation Outdated chart Grounding Offhire
company
policy / or training
standard for
bridge
procedures No
procedure
for updating
charts
Why it happened

Sept. 2010 Rev. 0
Reporting and handling of non conformities

Ideal
Each and every non conformity as defined is being reported to the company using one common improvement system
Investigation in order to identify contributing factors (basic causes) is carried out in co-operation with the vessel
Relevant corrective action decided together with the vessel and those involved
Follow-up and verification of effectiveness carried out together with vessel prior to closing of non conformity
Experience transfer to relevant parties (other vessels, class, authorities)
Adequate procedures describing use of relevant investigation techniques
Adequate tool implemented to produce trends and statistical data in order to ensure continual improvement
Responsibilities
Owner of the operation (activity) involved in the non conformity
HSEQ to ensure formalities

Sept. 2010 Rev. 0
Reporting and handling of non conformities
Actual
Inadequate procedures in the SMS
Non conformities disclosed by the vessel reported to a certain extent
Lack of reporting of non conformities disclosed during vetting, psc, class surveys, internal technical inspection etc.
Lack of proper investigation
Lack of investigation and procedures including relevant techniques (or models)
Lack of communication with vessel involved
Insufficient experience transfer
Non conformities closed without completing the process of analysis as required
Responsibilities
HSEQ department

Sept. 2010 Rev. 0
Case 6
Please identify the problem in the following case and determine the Basic causes and corrective
action needed using the ISM requirements, Loss Causation model and IACS Corrective action
process.
M/V “Landlubber” is under way from Brevik to Dublin. It has chosen the inland narrows on the west
coast of Scotland. The Chief Officer is alone on duty on the bridge. Auto-pilot is switched on. All
way-points have been fed into the computer but the Chief Officer has switched off the way-point
alarm, due to the “annoying noice”. He is currently working on his computer in the chart room, when
he notices a sharp sound. The vessel suddenly comes to an abrupt halt. The Master arrives on the
bridge within seconds and asks what has happened. The Chief Officer shrugs his shoulders and
claims that they probably have run aground due to GPS malfunction.
20 min Buzz group.

Sept. 2010 Rev. 0
Direct Causes
Examples : Substandard ACTS Examples : Substandard Conditions

Failure to follow rules and regulations Outdated charts and publications
Failure to use PPE properly Bad sea- or weather conditions
Incorrect navigation or ship handling Wrong or defect PPE
Operationg (Manoeuvering) at improper Defect tools, equipment or machinery

speed Poor quality of bunker and lub. Oil
Failure to follow repair/ maintenance Fire and explosion hazards
instructions
Poor hygiene and poor housekeeping
Omproper lifting, handling and storage
Insufficient ventilation
Under the influence of Alcohol and/ or
drugs Inadequate port and/ or berthing facilities
Inoperative safety devices Wrong cargo handling and security

Inadequate tank / hold cleaning
Ref Mscat
Sept. 2010 Rev. 0
Basic Causes
Examples : Personal Factors Examples : Job Factors

Inadequate physical capability Lacking leadership and/ or
verification
Inadequate mental capability
Unsatisfactory engineering
Physical or mental stress
Unsatisfactory purchasing
Lack of knowledge
Lack of maintenance
Lack of skill(s)
Unsuitable tools and equipment
Lack of motivation
Inadequate work standards
Excessive wear and tear
Abuse or misuse
Ref Mscat
Sept. 2010 Rev. 0
Maintenance of the Ship and Equipment ISM Code 10
10.1 The Company should establish procedures to ensure that the

ship is maintained in conformity with the provisions of the
relevant rules and regulations and with any additional
requirements which may be established by the Company.
10.2 In meeting these requirements the Company should ensure
that:
.1 inspections are held at appropriate intervals;
.2 any non-conformity is reported with its possible cause, if
known;
.3 appropriate corrective action is taken; and
.4 records of these activities are maintained.
10.3 The Company should identify equipment and technical systems
the sudden operational failure of which may result in hazardous
situations. The SMS should provide for specific measures
aimed at promoting the reliability of such equipment or
systems. These measures should include the regular testing of
stand-by arrangements and equipment or technical systems
that are not in continuous use.
10.4 The inspections mentioned in 10.2 as well as the
measures referred to in 10.3 should be integrated in the
ship's operational maintenance routine.

Sept. 2010 Rev. 0
Tool for follow up of maintenance (PMS / IPS)

Identify Maintenance requirements
Systematic approach (e.g. risk methodology)
Class rules apply
Flag state requirements may apply
Establish controls
Technical Inspections by shore personnel
Maintenance intervals
Spare parts
Instructions (incl. makers)
Record history
Promote reliability
Testing of Stand by equipment
Critical Spare parts
Ensure Continuous Improvement
Report and investigate non conformities
Build up statistics
Produce trends
Establish programmes

Sept. 2010 Rev. 0
Case 7
Based on your knowledge, please identify at least 3

items which may be considered critical
Please explain why you consider these items to be

critical.
10 min. Buzz group.

Sept. 2010 Rev. 0
Flag state minimum requirements ; Example Cyprus :
ISM 10.2 ISM 10.3

The Company, as a minimum should establish A Company should identify, on each ship, the actual
preventive maintenance procedures equipment or systems which
for at least the following: may result in hazardous situations (Critical Equipment).
Hull and superstructure steel work As a minimum the list should
Safety, damage control, fire-fighting, life-saving include the following equipment:
and pollution combating and control equipment
Communications equipment Steering Gear;
Navigational equipment Emergency Fire Pump
Steering gear Oily Water Separator
Main propulsion machinery and auxiliary Navigational Equipment
machinery Communication Equipment
Anchoring and mooring equipment Life Boat Engine
Smoke, gas and heat detection equipment Emergency Generator or Batteries
Bilge and ballast pumping systems Fixed Fire Fighting System
Pipelines and valves
Oily water separation system
Cargo loading and discharging equipment
Waste disposal and sewage systems

Sept. 2010 Rev. 0
Documentation ISM Code 11
11.1 The Company should establish and

maintain procedures to control all
documents and data which are relevant to
the SMS.
11.2 The Company should ensure that:
.1 valid documents are available at all
relevant locations;
.2 changes to documents are reviewed
and approved by authorized personnel; and
.3 obsolete documents are promptly
removed.
11.3 The documents used to describe and
implement the SMS may be referred to as
the "Safety Management Manual".
Documentation should be kept in a form that
the Company considers most effective. Each
ship should carry on board all documentation
relevant to that ship.

Sept. 2010 Rev. 0
Documentation ISM Code 11
Develop procedures to control all documents and data relevant to SMS

Documentaion may be electronic
Ensure that obsolete documents are promptly removed

Revisions are to be prepared and approved by authorised personnel
Establish a master list to identify the holder / locations of all documentation such as:
Mandatory rules and regulations
Class rules and class documentation
Drawings
Company’s (vessel’s) SMS, incl. Check lists, procedures and instructions
Ship circulars
Charts
Other…

Sept. 2010 Rev. 0
Company Verification, Review and Evaluation ISM Code 12
12.1 The Company should carry out internal safety audits on

board and ashore at intervals not exceeding twelve months
to verify whether safety and pollution-prevention activities
comply with the safety management system. In exceptional
circumstances, this interval may be exceeded by not more
than three months.
12.2 The Company should periodically evaluate the
effectiveness of the SMS in accordance with procedures
established by the Company.
12.3 The audits and possible corrective actions should be
carried out in accordance with documented procedures.
12.4 Personnel carrying out audits should be independent of the
areas being audited unless this is impracticable due to the
size and the nature of the Company.
12.5 The results of the audits and reviews should be brought to
the attention of all personnel having responsibility in the
area involved.
12.6 The management personnel responsible for the area
involved should take timely corrective action on deficiencies
found.

Sept. 2010 Rev. 0
Audit definition
An SMS audit is a systematic and independent examination to
determine whether :
Safety and pollution activities and related results comply with planned
arrangements
These arrangements are implemented effectively and are suitable to
achieve the objectives.
Internal Audit
The company should carry out internal safety audits every twelve month to
verify whether safety and pollution prevention activities comply with the SMS
There shall be not less than five internal audits of ship and office during the five year
validity of certification
Some flags have published special requirements (e.g. Bahamas). The Company is
responsible for identifying and complying with flag state requirements
Corrective action according to documented procedures
Timely corrective action taken by personnel responsible for area involved

Sept. 2010 Rev. 0
Audit Procedure
Audit plan for office and fleet
Verification through interviews, record check, checking ship
conditions and working practises
Reporting and follow-up by personnel responsible for the area
involved
Management Review
Formal evaluation by the top management of the status and adequacy
of the SMS. (Anually)
Shall support companies’ efforts in achieving the general safety
management objectives as defined in section 1.2.2
Is the system good enough?
Is the system updated according to latest knowledge?

Sept. 2010 Rev. 0
Management Review Process The following should be evaluated

during the review :
Who? What? How often?
Company Safety and Environmental Policy
Course of action based on input Results from Internal audits
MR minutes Master’s reviews
Incident report analysis and handling
Distribution to all stake holders Risks assessed
Over all system effectiveness and real?
Record-keeping
improvement
Change in fleet and trade
Change in industry knowledge and trends
New and/or revised rules, regulations and
guidelines
Port State Control
External parties

Sept. 2010 Rev. 0
IMO A.741 (18)
13. Certification and periodical verification

14. Interim certification
15. Verification
16. Forms of certificates

Sept. 2010 Rev. 0
PART B – Certification and verification ISM Code 13
IMO
Flag states
Setting Standards
ADMINISTRATION
Flag states IACS

Detailed
interpretation
May delegate LR ABS DNV BV etc.

Sept. 2010 Rev. 0
The Administrations’s Responsibility and Authority
The flag Administration is responsible for verifying

compliance with the requirements of the ISM Code
and issuing the relevant Document of Compliance
(DOC) to companies and Safety Management
Certificates (SMC) to ships

Sept. 2010 Rev. 0
Recognised Organisations
Administrations may recognise organisations for issuing

DOC and SMS on their behalf
on the basis of
Resolution A.739(18) “Guidelines for the Authorisation of

Recognised Organisations acting on behalf of
Administrations”
Resolution A.740(18) “Interim Guidelines to assist flag

States”
Sept. 2010 Rev. 0
SOLAS Chapter IX reg. 4 Certification
SMC
Ship
Issued by the Flag
Administration or an
Company SMC organisation
Ship
recognised by the Flag
Administration
SMC
Ship
DOC Issued by the Flag
Administration or an
organisation recognised by the
Flag Administration or another
Contracting Government at the
request of the Administration

Sept. 2010 Rev. 0
Conditions for issuing a DOC
Objective evidence of 3 months operation
Objective evidence of 3 months operation onboard at least one ship of each type
operated by the company
Verification of completed corrective action for all major non-conformities
Records from internal audits
Agreement of schedule for corrective actions for other non-conformities

Sept. 2010 Rev. 0
Audit Plan (DOC)
0 1 2 3 4 5
Initial Audit Renewal Audit
Annual Audit
Additional Audits as required

Sept. 2010 Rev. 0
Conditions for issuing SMC
Existence of a valid and relevant DOC

Maintenance of valid statutory certificates
Objective evidence of at least 3 months operation
Records from internal audits
Verification of completed corrective action for all major non-conformities
Agreement of schedule for corrective actions for other non-conformities

Sept. 2010 Rev. 0
Audit Plan (SMC)
0 1 2 3 4 5
Initial Audit Intermediate Renewal Audit

Audit
Additional Audits as required

Sept. 2010 Rev. 0
Withdrawal of Certificates (DOC og SMC)

Corrective actions are not completed within the agreed schedule
A periodical/intermediate audit is not requested
Amendments to the Code are not taken into account
There is evidence of a major non-conformity

Sept. 2010 Rev. 0
Interim arrangements
When change of Flag State or company
For newly established companies
When new ship types are added to an existing DOC
Interim DOC Interim SMC

Document review to be performed DOC is relevant to that ship
Company to have plans for implementation The SMS includes key

elements of the Code, which
Validity: 12 months have been audited in
connection for DOC
Master and senior officers
familiar with the SMS
Plans for internal audit within 3
months
Validity: 6 months, but may be
extended another 6 months

Sept. 2010 Rev. 0
Summing up
Did we meet your expectations ?
Thank you for listening

Sept. 2010 Rev. 0
Safeguarding life, property
and the environment
www.dnv.com

Sept. 2010 Rev. 0

ISM Code 2010 UK Rev 0 PDF

Uploaded by

Copyright:

Available Formats

You might also like

ISM Code 2010 UK Rev 0 PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

ISM Code 2010 UK Rev 0 PDF

Uploaded by

Copyright:

Available Formats

MNBNO520/hsiv

International Safety Management Course

International Safety Management Course

Experience background (positions, type of vessels etc)

What are your expectations to this course?

International Safety Management Course

International Safety Management Course

1645 Summing up day 1 1700 End day 2

“TORREY CANYON” MARPOL - STCW

“HERALD OF FREE ENTERPRISE” IMO A647 (ISM)

“EXXON VALDEZ” OPA 90

“SCANDINAVIAN STAR” SOLAS CH II-2 +ISM speed up

International Safety Management Course

International Safety Management Course

RoRo cargo ships over 10,000 dwt

Human related accidents:

International Safety Management Course

International Safety Management Course

1993 1987 1996 1998 2011?

Maritime ”standards” ISPS Code 2004 Security

Overall objective of any standard

Overall company objective

To achieve the objectives one need a structured and systematic approach to

International Safety Management Course

Control of accidental loss (DNV/ILCI)

International Safety Management Course

Basis for a functional Safety Management System (SMS)

International Safety Management Course

Stress/ 1 planned Fast start

Clear Capacity 1 planned

International Safety Management Course

Safety in shipping is on the wrong track

International Safety Management Course

Systematic approach equals Risk Methodology (ref. ISO 31000:2009)

International Safety Management Course

Establish the context What is the problem? (Activity and Tasks)

Monitor and review

Control How do we do it? (Residual Risk)

International Safety Management Course

Something that you do is ; )

International Safety Management Course

International Safety Management Course

International Safety Management (ISM) Code

International Safety Management (ISM) Code Cont.

PART B – Certification and verification

13. Certification and periodical verification

International Safety Management Course

International Safety Management (ISM) Code Cont.

MSC-MEPC.7/Circ.6, 19 October 2007

MSC-MEPC.7/Circ.7, 10 October 2008

International Safety Management Course

International Safety Management Course

The code is based on general principles and objectives because:

No two shipping companies are the same

The code is expressed in broad terms for a widespread

International Safety Management Course

The cornerstone of good Safety

COMMITMENT FROM THE TOP