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Understanding the ISM Code

Course Format
1. Introduction to Management System 2. The ISM Code 3. The Company QMS

1. Introduction Management System

You can refer to :

Agency personnel
SOLAS The ISM code booklet Company Quality Manual Company Fleet Manual Company Crew Management Manual

ISM DOC SMC ISMA ISO DP International Safety Management System Document of Compliance Safety Management Certificate International Ship Manager Association International Standardizing Organisation Designated Person

Management Systems
At the end of this introductory session, participants should be able to define what is meant by a Safety Management System (SMS);
Its role in Quality Management;

The functional requirements of a Safety or Quality Management System; and

Understand the requirements for focusing on the software elements of the system rather than on the hardware elements as in the past.

What is Safety?

Safety can be defined as: The state in which the risk of harm (to persons) or damage (to property or the environment) is limited to an acceptable level.

What is Safety?
It can also be thought of as Freedom from Danger;
In the maritime sense, this refers to freedom from danger for the ship, the crew and the environment. Safe Ship Management is the major aspect of Quality Ship Management.

Managing Safety
It is never possible to eliminate all risk, but through careful and systematic management of onboard activities, we can considerably reduce the risk of accidents occurring. Ways to control or eliminate risks and dangers include: Following Procedures; Proper communication; Use of PPE; Planning & Supervision of Work; Training/Familiarisation; & Permits to Work, etc


Safety Management Systems

are 85 % of Quality Management Systems

What is Quality?
Quality is the totality of features and characteristics of a service to satisfy stated or implied needs; Examples of features & characteristics of a shipmanagement service are: Price, Economy of Use, Experience, Safety, Communication & Reputation. You as crew onboard have a direct impact on all of the above 6 items.

What is Quality Management?

A Quality Management System is specifically designed to offer independent assurance that the supplier (SHIPMANAGEMENT COMPANY) is capable of consistently delivering the service to the specifications required by the customer (OWNER OR CHARTERER).

Hardware v Software
What has the greatest effect on safety ?
The provision of equipment (hardware), does not, in itself make the ship safe. It merely provides that the ship has the capabilities to prevent some eventualities from endangering the ship. Of more significance, is the ability of the crew

(software) to operate a ship and its equipment in a safe manner.

Studies of casualties have shown, that on a number of occasions, the human element was a major contributing factor (up to 85%)!

Hardware v Software
Previous regulations focusing only on hardware (remember: equipment focused) include: SOLAS; MARPOL 73/78; Load Line; ILO 147; & Classification Society Survey Rules. Recent legislation (the ISM Code & STCW 95) focuses on the ability of the shore management and crew onboard (remember: software) to operate the ship and its equipment in a safe manner, with continuous regard for environmental protection.

Safety Management
Activities of shore based organization that determines the safety policy, objectives, responsibilities, support and controls the work activities of the crewmembers onboard; It is the responsibility of all levels of a companys management. Its implementation, involves all personnel in the organization;

Company Objectives
Safety Management objectives of the Companie`s are to: provide for safe practices in ship operation and a safe working environment; establish safeguards against all identifiable risks; and continuously improve the safety management skills of personnel ashore and onboard, including preparing for emergencies, related both to safety and environmental protection.

In Addition
The Safety or Quality Management System must ensure: compliance with mandatory rules and regulations; and in addition

that applicable codes, guidelines and standards recommended by IMO, Administrations, Classification Societies and other maritime industry organizations are taken into account.

Why We Have A System?

Because most accidents occur due to violations of basic safety principles; or the failure to follow established work instructions or procedures; or due to lack of proper training or familiarization. Having a written system onboard ensures that all crew are given sufficient guidance and training to operate the ship the way the company wants it done, there is no room for flexibility.

Functional Requirements of a Safety Management System

A Safety & Environmental Policy; Defined Levels of Authority between and amongst Shore and Shipboard Personnel including the Designated Person;

Clear statement regarding Masters Authority;

Written Instructions & Procedures for tasks onboard related to safe operation of the ship and protection of the environment; Maintenance, Testing & Inspection program; Emergency Preparedness & Contingency Planning;

Functional Requirements of a Safety Management System

Procedures for Reporting Accidents & NonConformities; Crew Training & Familiarisation;

Procedures for Internal Audits, Masters & Management Reviews;

Record Keeping; and Document Control Procedures.

The 3 Cs
Commitment, Common Sense & Communication;
These are the cornerstone of onboard quality & safety management; Communicate with each other at all times; &

Apply common sense to all aspects of your work; If youre unsure - ASK.

Without your commitment, a Safety and Quality System can not work!

Effective safety management is hard work but not impossible;

Do not leave safety to the Captain, Chief Engineer and Chief Officer;
All seafarers have a responsibility for the safe operation of their ship and for pollution prevention.

Recap - Management Systems

What is a Management System ?
The application and documentation of Common Sense. Basis for more effective management control. Requires commitment from the top.

Requires total company involvement.

Take a break, before you carry on! 10 minutes.

2. The ISM Code

The International Management Code for the Safe Operation of Ships and for Pollution Prevention or The International Safety Management Code or The ISM Code

Part 2 is aiming at
At the end of this session, participants: should be able to state the the objective, purpose and intent of the ISM Code; will have an insight into the history and relevant dates relating to the development and implementation of the Code; should understand how the ISM Code translates into the Operations Manuals onboard the ship; will understand the ISM certification arrangements for both Company and ships; and will also be made aware of the benefits and advantages to a shipmanagement company in complying with the ISM Code.

The ISM Code - What is it?

The only internationally accepted standard for the safe management and operation of ships & for pollution prevention; Chapter IX of SOLAS convention; Therefore compliance is mandatory under international maritime law.

Objectives of the ISM Code

to ensure safety at sea; the prevention of human injury or loss of life; and the prevention of damage to the environment, particularly, the marine environment and to property.

Purpose of the ISM Code

Is to ensure appropriate management by shipping companies, covering ALL aspects of their shipmanagement operations: Cargo Operations; Navigation; Machinery or Engine Room Operations; Maintenance; Testing & Inspection of Equipment of Machinery/Equipment; Emergency Preparedness & Contingency Planning; Recruiting, Selection and further training of Crew; Control of all documentation; & Supplying of Stores & Spare Parts, etc.

To whom does it apply?

Company management from the very top level; to
All shore staff;

The Master;
Officers; and Ratings onboard the ships.

The ISM Code is intended as a means of encouraging continuous improvement of safety management skills for persons within the maritime industry, that can be applied to all ships;

The Safety Management System becomes a living system and must allow for continual updating through reviews, audits and a reporting system being established between ship and shore.

Continuous Improvement
Nothing is perfect; As in life, we are always striving to make things better;

The management system requires that companies learn from past experiences and take steps to prevent the recurrence of past problems;
Be open to suggestions for improvement in your work; and Look for ways to improve safety onboard and report them.

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.

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.

Why the Manuals / Electronic Systems ?

The ISM Code gives guidance only, it does not tell the Company how to operate their ships; To comply, the Company using its specialized knowledge and experience has written their own Safety or Quality Management manuals for their fleet; These manuals cover ALL aspects of shipboard operations and shore based support; They clearly define the way the ships are to be operated;

The Safety or Quality Management System

Other companies manuals may look different, but the intent is just the same, its just that different companies operate in slightly different ways; Once implemented onshore and onboard, the system is audited for compliance with the ISM Code requirements;

Once compliant, a certificate is issued.

ISM Certification
The shipmanagement company is issued with a Document of Compliance (DoC), this confirms that their management system complies with ISM requirements; Each ship, upon compliance, will be issued with a Safety Management Certificate (SMC), this confirms that the ship complies with the companys management system;
Both certificates are valid for 5 years, but their status is reviewed on a regular basis.

ISM Certification
All seafarers must be aware that without a valid SMC, your ship will not be allowed to trade (sail); A ship that cannot sail does not need a crew - jobs will be put at risk; Commitment to safety is not a one time event, it is ongoing everyday whilst you are onboard and on vacation The ISM code applies to all Ship managers around the globe with the same standards and requirements!

What are the Benefits ?

Quality/Safety awareness program for all staff; Significant savings in efficiency, productivity, insurance, and an increase in profit and customer confidence and satisfaction; Less exposure to critical liability claims in the event of a major casualty Avoidance of duplication and waste of effort; Continuous improvement of the system and therefore company performance; and Improvement in morale throughout the company.

What are the Advantages ?

Reduction in operational errors, therefore costs; Reduction of accidents to personnel;

Protection and safe guarding of property

Protection of our nature and environment; Formal control of the system and of non-conformance;

Can be used as a marketing aid;

International acceptance of the companys management standard; and

An accepted means of interface between the Client and the Company regarding the quality of service.

Part 2 - review
During this session, we have: stated the the objective, purpose and intent of the ISM Code; studied the history and relevant dates relating to the development and implementation of the Code; explained how the ISM Code translates into the Operations Manuals onboard the ship;

explained the ISM certification arrangements for both Company and ships; and
covered the benefits and advantages to a shipmanagement company in complying with the ISM Code.

Lets make a break, before we carry on! 20 minutes

The Quality Management System

Part 3

W a r n i n g !
Quality & Safety Systems are living documents that are continually updated and modified to improve their ease of use and effectiveness;
Any reference to the Shipping Company QMS is correct at the time of writing this presentation; The information given here referring to the Company QMS must treated with caution, reference must always be made to the latest appropriate shipboard documentation or electronic stored data when cross referencing with this presentation.

Which Code applies?

Shipping Company QMS complies with both the ISM Code and the ISMA Code. Our offices and ships will therefore be audited against the requirements of BOTH codes; All ships are audited in line with the ISM Code as this is a mandatory requirement; Only selected ships are audited against ISMA requirements - this is sufficient for Company to prove compliance;

Company Objectives
Closer Communication - leads to better understanding for all concerned regarding safety & environmental issues;
Strict Compliance - with Company policy, mandatory rules & regulations; Understanding - Company policies to ensure safety of human life and protection of the environment; Accepting Criticism - on day to day working practices both onboard and ashore; & Continuous Improvement - in all that we do.

The Onboard Quality Management System

Composed of: The Quality Manual; Safety & Environmental Policy; Work Procedures and Instructions (Fleet Manuals Vol 1, 2 & 3 + Operational Procedures and Contingency Plans Manual); &Forms and Records. Think of it as a shipboard operation & safety reference library. It is available for use at any time. Computerized SMS on most FM ships since 2003 (Infomanager)

ISM Chapter 2 - Company Safety & Environmental Policy

It is a statement of The Shipping Companys commitment to operate ships safely and also to protect the marine environment;
We also make a commitment to you as our crew onboard that we will extend all possible support in order to ensure that your ship is a safe and healthy place to work;

Company Safety & Environmental Policy

In order to meet our commitment, we require all our seafarers to follow all instructions/procedures provided in our Quality Management System. Only this way can we be sure that our ships are operated to consistently high safety and pollution prevention standards.

Company Safety & Environmental Policy

Each policy is signed by the Company senior management; & It is available in various locations around your ship; Study it and remember what it stands for.
(It is a key question in every audit!)

ISM chapter 3 Responsibilities & Authority

Anyone within the Company who has a task related to safe ship operations, must have their duties & responsibilities defined; This also includes any persons who, should they do their job wrongly, could cause an accident; It therefore applies to all crew onboard the ship.

Responsibilities & Authority

Refer to Fleet Manual Vol 3, Chapter 3, Appendix 01 where main duties and responsibilities for all crew onboard ship can be found; It is YOUR responsibility to know what others expect of you when you work; If you have questions, address them to your Head of Dept.

Responsibilities & Authority

Responsibilities & Duties are stated in order to avoid misunderstandings, avoid duplication of work and to ensure that all tasks are completed by the appropriately trained and competent crewmember; They cannot be changed without the permission of the Company; Dept Heads are responsible for ensuring compliance.

ISM chapter 4 Designated Person

Is the person onshore that has been placed in charge of monitoring the safe operation and pollution prevention activities of all the vessels under management.

Designated Person
He has direct access to the highest levels of company management; He is also responsible for ensuring that the management makes adequate resources and shore based support available to the vessels. Knowing his Name and Contact details is essential!
It is a key question in every audit!

Designated Person
He is part of the QMS Dept and is your link between the ship and the shore; He is your point of contact if you require any assistance regarding safe ship operation or pollution prevention; He has the technical expertise of Shipping Company behind him to help answer your questions relating to the implementation or compliance with the Company Quality Management System onboard.

ISM chapter 5 - Masters Responsibility

To implement and maintain the Company Quality Management System onboard the ship; To ensure that ALL crew understand and follow the company instructions; To manage all activities onboard, ensuring safety and pollution prevention at all times; and To motivate crew to constantly improve and demonstrate their safety knowledge.

Masters Responsibility

the Master must verify that ALL Company requirements are followed; that he carries out a review of the Quality Management System during each contract onboard.

ISM chapter 5.1.5 - Masters Review

Refer to Quality Manual Chapter 1, Section 3.5.1 (v); As the system is a living system that is constantly capable of improvement, the Master through the Shipboard Management Committee is required to provide feedback to the Company regarding the effectiveness of the system onboard; As it is the ships crew that follow the system on a daily basis, he is best placed to give detailed information regarding areas for improvement.

ISM chapter 5.2 - Masters Authority

Refer Quality Manual Chapter 1, Section 3.5.1 (i);

The Master is issued over-riding authority in matters relating to Safety, Pollution Prevention & Requesting Company assistance as required!

ISM chapter 6 - Resources & Personnel

It is Shipping Companys responsibility to supply crew that are qualified, certified for the rank and medically fit; The Master must be properly qualified for command; and

Shipping Company also makes available resources for training and upgrading of crew knowledge.

ISM chapter 6.3 - Onboard Training & Familiarization

All seafarers must be familiarized with the ship, the safe operation of equipment onboard and their duties/responsibilities under our Quality Management System;

In order to achieve this, onboard training must be carried out regularly.

Onboard Training
Training must not be limited to Fire & Boat drills; It must include the correct use of all machinery and equipment onboard as well as; The training of crew for their next rank; & All onboard training is to be recorded (Masters File 3.7).

ISM chapter 6.5 shore based Training

Shipping Company is responsible for providing training which may be required in support of the QMS; Training Requirements for ships crew must be identified and reported on the Appraisal Report (Form 22); Company Agencies will then arrange training during the vacation period.

ISM chapter 7 - Procedures & Work

Clearly states how the company wants the ship to be operated;
Contains: Details of Responsibilities; Instructions on how to carry out critical tasks in order to promote safe ship operations and protect the marine environment; Record Forms and Checklists Good safety advice.

The Quality Manual

Presents a general overview of the Quality Management System;

Known as the what manual;

Describes, in general, what management controls the Company has put in place, to meet the ISM Code requirements.

Fleet Manuals
Know as the how, who, when & where manuals or the shipboard operations manuals; Fleet Manual Vol 1 contains information on Safety & Risk Management; Volume 2 contains information relating to the Technical Management of the vessel; & Volume 3 contains information relating to General Onboard Administration and Cargo Matters.

In 2003 Company has introduced an electronically based SMS on most vessels of the FM fleet which is deemed to greatly reduce the paperwork on board our ships. Alterations and amendments in Forms and Procedures will be updated directly and are immediately available online. IM becomes an approved controlled tool! Manuals, on vessels equipped with IM will automatically become uncontrolled. Any printout from IM will be an uncontrolled document!

Operational Procedures & Contingency Plans

Part general and part ship specific; To be reviewed by shipboard management committee and any suggestions or requirements for change must be presented to the QMS Dept and/or Designated Person.

Operational Procedures & Contingency Plans

Operational Procedures; Cargo Handling Procedures; Distress Message Transmission; Fire Detection & Protection System; Security Procedures; Emergency Contingency Plans; Resource Conservation; Mooring & Mooring Winches; & List of Essential Equipment.

Record Keeping - Masters File 5.2

It is necessary to keep a record of all activities that have been undertaken as part of the QMS; Can use reports, forms, checklists and log book entries; Required by any Quality Assurance System as it provides evidence that the system has been followed correctly; Auditors will examine samples of shipboard records during the audit.

Record Keeping
In the event of an accident, investigators will look for the paper trail; Documents in a chronological order showing what, when, how, who, where and why things happened; Good records will help protect the parties that you represent from un-necessary claims; More importantly, they will show that you acted with due diligence.

ISM chapter 8 - Emergency Preparedness

Even on the best managed vessels, things can still go wrong;
Crew must be confident to respond to any type of emergency situation; There are programs for emergency drills and training in the use of emergency equipment.

ISM chapter 9 Reporting & Analyses of Non Conformities, Accidents & Hazardous Occurrences
Onboard safety will only get better by reporting what has gone wrong and then, making changes to improve things; You must report ALL non conformities, accidents and hazardous occurrences to your Dept Head.

Non Conformities
Defined as:
An event where something or someone has not complied with an element of the Company QMS; not in accordance with system or procedure It maybe potentially hazardous and requires improvement to prevent recurrence; Usually highlighted as a result of an inspection.

Accidents are defined as unexpected happenings where someone is injured, something is damaged or pollution has occurred;

Hazardous Occurrences (Near Miss)

Are situations that have the potential to become accidents; This time we were lucky, the danger was identified before it resulted in an accident;

Next time, under different circumstances, it might become an accident!

Hazardous Occurrences (Near Miss)

Occur frequently in everyday life;
These are the situations that we must learn from; This time, no injury, damage or pollution resulted, however without improvement - who knows what will happen the next time?

ISM 9.2 Corrective Actions

The work instruction or procedure may require review, amendment or updating; More supervision or training maybe required; or Better quality equipment may need to be provided;

Whatever corrective action is decided, it must prevent recurrence of the original deficiency.

Benefits of Reporting
Lessons are learnt, updates and changes to the system are made and passed on to other vessels within the Company fleet; Statistics can be compiled and provided to 3rd parties upon request, promptly and accurately!

Reoccurrence might be avoided on other ship under Company management

ISM chapter 10 - Maintenance of the Ship & Equipment

Planned Maintenance Systems are in place on your ship to ensure that:

- The ship and all onboard equipment is kept in good operating condition;
- Standby equipment is regularly tested and ready for immediate use.

ISM 10.2 - Inspection & Test

Routines for the inspection and testing of all shipboard equipment are in place;

Ensure that these routines are followed and records of inspection & test are maintained;
Any deficiencies discovered must be reported to Company and rectified as soon as possible.

ISM 10.2 - Reporting of Maintenance Non Conformities

Machinery failure, repair or maintenance must be reported to the Technical Superintendent; Only if the equipment failure affects safety of the ship or pollution prevention, should these deficiencies be reported to QMS using forms 106/107.

ISM 10.3 - Critical Machinery/Equipment

Is identified as machinery, the sudden failure of which may place the ship or the crew in a hazardous situation; The RMS provides specific maintenance aimed at promoting the reliability of all equipment and systems onboard the ship.

ISM chapter 11 - Documentation

All management systems involve paperwork; Instructions, records, checklists & requisitions, etc; Also includes makers instructions and ships plans/drawings;

Effective document control helps keep all this paper in order.

ISM 11.1 - Document Control

Control is exercised to ensure that ALL information in use onboard is the latest edition; Changes to any documents are reviewed and approved by authorized persons; Obsolete documents must be removed.

Copying Controlled Documents

Copies of selected pages can be made for training purposes;
i.e. duties/responsibilities or specific procedures;

Any copied documents MUST be clearly marked UNCONTROLLED;

Copied pages are to be used for a short time only and then disposed of. Printouts from Infomanager are uncontrolled documents

Directives & Circulars

Issued by individual departments within Company; Advises manual holders of the parts of the system that have been updated or revised; As such, the information contained in the Directive or Circular supersedes all the applicable contents within the manuals; For ease of reference, Masters must indicate sections of the manuals that have been superseded by a Directive or Circular.

Directives & Circulars

Printed on blue and green paper & kept in a separate file for ease of reference; Crewmembers must review all latest Directives & Circulars (Masters File 5.2) upon re-joining the vessel - this will bring you up to date with latest revisions; Directives and Circulars are incorporated into the QMS at the end of each year, so as to reduce constant revision of the system.

ISM 11.2 - Documentation

Shipping Company has established a filing system for your ship; Ensure that all files, documents are labeled and stored in the correct location. Refer to FM Vol 3 Ch 2 - Senior Officers Files; Filing cabinets or lockers must be clearly labeled, this will make reference easier and assist with onboard organization.

ISM chapter 12 - Company Verification, Review & Evaluation

Company confirms the effectiveness of the system by performing audits;

Quality & Safety Officers will audit your ship at least once per year;
An audit is a means of comparing the actual practice onboard against the written procedures.

ISM 12.1 - Audits

Any discrepancy between actual practice and written procedure will be noted as a Non Conformity and will require corrective action to remedy the deficiency; Internal Audits are useful tools for identifying system weaknesses and for ensuring continuous improvement.

ISM 12.2 - Management Review

After a series of shipboard audits, patterns of non conformity can be established; These are used by management to review the effectiveness of the system; Other data used includes Masters Reviews, Accident & Hazardous Occurrence Reports, 3rd Party Audit Reports, etc.

ISM 12.2 - Management Review

Once the Company is aware of their areas of weakness, they can decide on the best form of corrective action:
Amend the written instructions;
Increase supervision; Ensure crew are properly trained/familiarised; & Make sufficient resources available for the above.

ISM chapter 13 - Certification, Verification & Control

A copy of the DoC must be available onboard the ship;

The original SMC must be available onboard the ship;

Both certificates are trading certificates

The Quality Management System

You have just completed a basic introduction into: The 13 elements of the ISM Code; &

How the 13 elements have been incorporated into the Shipping Company QMS.
In order to become fully familiar with the QMS, you must make time onboard to read the manuals.