Study Guide Semi-Final

What significant development in shipping has the capsizing/sinking of the Herald of Free Enterprise lead
to?

 a tragic event that resulted in the loss of 193 lives. This disaster was a wake-up call for the maritime
industry regarding safety regulations, specifically focusing on the importance of implementing
measures to prevent similar incidents in the future.

There was, of course, a serious investigation after the sinking of the Herald of Free Enterprise, just like
any other significant accidents at sea. It was revealed after the inquiry that Townsend Car Ferries Ltd.,
was just as blameworthy for the event. What were the reasons?

 From top to bottom the body corporate was infected with the ‘disease of sloppiness’.

The ISM Code is the international standard for the safe management and operation of ships. What other
important matter does it concern aside from safe management or operation of ships?

 managing pollution prevention

What is SOLAS Chapter IX all about?

 Management for the safe operation of ships

Why does it serve as the basis for ISM Code ?

 It serves as a basis for ISM Code because it focuses on the establishment and implementation of
Safety Management Systems (SMS) to ensure safe and efficient ship operation, delineating
responsibilities, procedures, and protocols for shipowners and operators to maintain a high
standard of safety at sea.

At what late time/years the ISM Code’s origins go back or traces to?

 late 1980’s

What mounting concern/aspect in shipping existed that encouraged the IMO to develop the ISM Code?

 poor management standards

What is the purpose of the ISM Code? is to ensure safety at sea, prevent damage to property, personnel
and for pollution prevention and damage to the environment by providing which of the following?

 Oo sakto
When will the Document of Compliance (DOC) will be issued to a company?
 After the company has been audited
What is a Safety Management System?

 organized system planned and implemented by the shipping companies to ensure the safety of the
ship and marine environment.

Who will issue the Document of Compliance to a company?

 maritime administration of the flag state

What is the validity period of the Document of Compliance?

 5 years
How about the validity of the Safety Management Certificate?

 5 years
What process must a company first undergo in order to comply with the ISM Code?

 External audit
What must a company develop and submit before being audited?

 a company must first establish a comprehensive Safety Management System (SMS)

How often does a company is subjected to ISM Code auditing?

 every year (three months before and after anniversary date and before DOC expiration date)

In which possible time or period is a company subjected to an ISM audit?

 three months before and after anniversary date and before DOC expiration date

What is referred as an organized system planned that is implemented by the shipping companies to
ensure the safety of the ship and marine environment?

 ISM

What are two statutory certificates required as per ISM Code?

 DOC & SMC

If the validity of the DOC is for five years, what is required for it to be done?

 ensure continuous compliance with the Safety Management System (SMS) requirements outlined in
SOLAS Chapter IX. This involves conducting internal audits, reviews, and maintaining adherence to
safety protocols while addressing any identified deficiencies or improvements to sustain the validity
of the DOC.
Review the 7 Elements of the ISM…

If one has to read the ISM Code, one will notice that all the lines start with “Company Should’ or
“Company is responsible”. This indicates which of the 7 elements of the ISM Code?

 Company’s Responsibility

What s a Master’s Review with regards to the & element of the ISM?

 Review SMS manuals and suggest any edits or corrections. Also, if any requirement mentioned in
the SMS manual is against the industry practices or requirements.

 Make suggestions to improve the Safety Management System on board.

 Review and comment on the ship’s performance on safety and pollution prevention matters.

What does ISM Code require from a company?

 ensure the safety of ships, personnel, and the environment.

As an element of the ISM Code, what is referred as an observation?

 statement of fact made during a safety management audit and substantiated by objective evidence.

What about Minor non-conformity?

 observed situation where objective evidence indicates the non-fulfillment of a specified

requirement.

Or what about Major non-conformity?

 identifiable deviation that poses a serious threat to the safety of personnel or ship or a serious risk
to the environment that requires immediate corrective actions and includes the lack of effective
and systematic implementation of the requirement of the code.

As an element of the ISM Code, what is referred as an observed situation where objective evidence
indicates the non-fulfillment of a specified requirement?

 Minor non-conformity

As an element of the ISM Code, what is referred as an identifiable deviation that poses a serious threat
to the safety of personnel or ship or a serious risk to the environment that requires immediate
corrective actions?
 Major no-conformity

As an element of the ISM Code, one of the responsibilities of the Master is to review the effectiveness of
the SMS on board. How often does this review be carried out?

 At least annually
Regarding Internal Audit as an element of the ISM Code, what do most companies have to assign the
responsibility of looking after the internal audits of the ships under their company?

What is the significant role of a Designated Person Ashore as required to be nominated by a company
according to the ISM Code?

 who will be the link between the ship and shore.

In circumstances where a vessel is still complying the requirements of the SMS but has deviate from it in
exceptional situation, such situation if not corrected will lead to what?

 can have serious consequences, compromising safety and regulatory compliance.

In a company, who will be the person that can best serve as a link between the ship and shore?

 Designated Person Ashore

And what is the most important provisions for that person in order to carry out his function?

 Access to the highest level of management

As an element of the ISM Code, what is referred as the dividing line between a good ship management
and a bad shipping company?

 good shipping company adheres to the principles of the ISM Code by implementing and
continuously improving safety measures, fostering a safety-conscious culture, and prioritizing the
well-being of personnel, the environment, and the vessel. Conversely, a bad shipping company may
neglect these aspects, compromising safety and putting the ship, crew, environment, and cargo at
risk.

With regards to the minimum inventory of critical spares/spare parts, as per Section 10 of the ISM Code
(Maintenance of ship and equipment) what does the SMS require on board ship?

 ensure that a sufficient and adequate inventory of critical spares and spare parts is available
Case Studies:
There are five cases where the students need to choose correct choice, whether it’s an observation, a
near-miss, a minor, a major non-conformity, a deficiency, or etc. etc. Review that part of the 7 elements
of the ISM and study well the example cases I have given in our powerpoint.

An example question…

If Ship’s SMS requires that certain critical spares need to be onboard all the time and if these spare
parts are not onboard as these were recently consumed, how would this case be considered?
Choices will be:
A normal case as spares are consumables
Minor non-conformity
Major non-conformity
Observation (answer)