Who Is Responsible To Update The Safety Management Manual On Board

The safety management system (SMS) is an organized system planned and implemented by the shipping companies to ensure the safety of the ship and marine environment. SMS is an important aspect of the International safety management (ISM) code and it details all the important policies, practices, and procedures that are to be followed in order to ensure the safe functioning of ships at the sea. Representation image What is included in the safety management system (SMS)? Every safety management policy should satisfy some of the basic functional requirements to ensure the safety of every ship. They are:

Procedure and guidelines to act in an emergency situation Safety and environmental protection policy Procedure and guidelines for reporting accidents or any other form of non-conformities Clear information on the level of authority and lines of communication among ship crew members, and between shore and shipboard personnel Procedures and guidelines to ensure safe operations of ships and protection of the marine environment in compliance with relevant international and flag state legislations Procedures for internal audits and management reviews Vessel details

In short, a safety management system would consist of details as to how a vessel would operate on a day to day basis, what are the procedures to be followed in case of an emergency, how are drills and training conducted, measures taken for safe operations, who is the designated person etc.

The safety management plan is mainly the responsibility of the owner of the vessel, or the designated person, or the person appointed by the owner. However, the ship’s master and the crew are the best people to make an SMS as they know the vessel inside-out. Sections An SMS is divided into sections for easy reference.

They are:

General Safety and environmental policy Designated person (DP) Resources and personnel Master’s responsibilities and authority Company’s responsibility and authority Operational procedures Emergency procedures Reporting of accidents Maintenance and records Documentation Review and evaluation

These are the main parts of a basic SMS; however, the plan might vary according to the type of the vessel and the cargo carried by the same. SMS plays an important role in the process of ISM code implementation on ships.

Contents

0.1 Who is responsible for developing and implementing an international safety management system on board?

1 Who are responsible for the safety of everybody on board ship?
- 1.1 What are the four 4 departments onboard?
  - 1.1.1 Who are responsible in issuing the Document of Compliance?
2 What is the difference between Document of Compliance and safety management certificate?
3 What are the responsibilities of a company in ISM?
- - 3.0.1 What are the responsibilities of ISM?
4 Who is responsible for enforcing safety standards in the workplace?
5 What is the ISM Code company?

Who is responsible for developing and implementing an international safety management system on board?

Important Terms Used in the ISM Code –

Safety Management System : A structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy. Designated Person : Also known as Designated Person Ashore (DPA), a designated person is the role identified by the ISM Code in effectively implementing a safety management system. DPA is a link between the company and those on board, having direct access to the highest levels of management. Document of Compliance : A document issued to a Company which complies with the requirements of this Code. Safety Management Certificate : A document issued to a ship which signifies that the Company and its shipboard management operate in accordance with the approved safety management system. Objective Evidence : Quantitative or qualitative information, records or statements of fact pertaining of safety or to the existence and implementation of a safety management system element, which is based on observation, measurement or test and which can be verified. Observation : A statement of fact made during a safety management audit and substantiated by objective evidence. Non-Conformity : An observed situation where objective evidence indicates the non-fulfillment of a specified requirement. 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 or the lack of effective and systematic implementation of a requirement of this Code. Anniversary Date : The day and month of each year that corresponds to the date of expiry of the relevant document or certificate. Convention : The International Convention for the Safety of Life at Sea (SOLAS), 1974 as amended.

Who are responsible for the safety of everybody on board ship?

The ISM Code was legislated under SOLAS to mee t the requirements set out in The Merchant Shipping and Fishing Vessels (Health and Safety at Work) Regulations 1997 (SI 1997 No.2962) (the Regulations) and the Code of Safe Working Practice for Merchant Seafarers (CoSWP).

It has been quoted by several studies done by various authorities that most of the accidents at sea occur due to Human Error.
Accidents at sea can be avoided with a proper training plan in place.
All sea-going vessels have a safety management plan with a manager to look after it.
The Ship Safety Officer is appointed to look after the safety of the fellow crew on board and to promote a safety culture and preach safety awareness by means of training and motivation.

If there is no safety culture and supervisor on board ship, it can be a dangerous situation for the ship’s crew and the cargo. Moreover, in case the ship is involved in an accident, it endangers the marine environment as well, and further increases downtime and financial losses.

Everyone is aware that during port state audits, ship survey etc. the first thing that is checked is how safe the ship is? Hence the ship’s crew must understand the importance of a safer ship and inculcate a safety awareness culture which can be better done with a qualified safety officer on board ship,

Under the International Safety Management (ISM) code, every ship must appoint a ship safety officer (SSO) who has the knowledge, experience, and skills to look over the important safety issues related to the ship and its crew’s health. The details of the training guidelines for the Ship Safety Officer is provided in STCW Code 2010 Table A-II/2 & A-III/2 and IMO Model Course 3.11 (Marine Accident & Incident Investigation). According to the ISM code, a ship safety officer should have a minimum of two years of consecutive sea service.

In the case of tanker ships, the safety officer should have six months of experience on tanker ships in addition to two years of consecutive sea service.
The responsibility for the position of the Ship safety officer is usually taken by one of the officers aboard ship.
The officer with relevant experience needs to do a Ship Safety Officer Course before joining the ship, which allows him/her to take the responsibility of SSO when onboard.

It is a general practice to not have the Master acting as ship safety officer as the ship captain is already been burdened with several other responsibilities. Officer of the watch is usually selected as Safety Officer and the responsibility is rotated on a regular basis.

Who is responsible for verifying compliance with the requirements of the ISM Code?

Guidelines on the Implementation of the ISM Code A.788(19) -1995 Guidelines on the Implementation of the International Safety Management (ISM) Code IMO Assembly Resolution A.788(19) – 1995

THE ASSEMBLY,
RECALLING Article 15(j) of the Convention on the International Maritime Organization concerning the functions of the Assembly in relation to regulations and guidelines concerning maritime safety and the prevention and control of marine pollution from ships,
RECALLING ALSO resolution A.741(18), by which the Assembly adopted the International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code)
NOTING that the ISM Code is expected, under the provisions of chapter IX of the International Convention for the Safety of Life at Sea (SOLAS), 1974, to become mandatory for companies operating certain types of ships, as from 1 July 1998,
RECOGNIZING that an Administration, in establishing that safety standards are maintained, has a responsibility to ensure that Documents of Compliance have been issued in accordance with the Guidelines.
RECOGNIZING ALSO that there may be a need for Administrations to enter into agreements in respect of issuance of certificates by other Administrations in compliance with chapter IX of SOLAS, 1974 and in accordance with resolution A.741(18),
HAVING CONSIDERED the recommendations made by the Maritime Safety Committee at its sixty-fifth session and by the Marine Environmental Protection Committee at its thirty seventh session,
1. ADOPTS the Guidelines on the Implementation of the International Safety Management (ISM) Code by Administrations as set out in the Annex to the present resolution;
2. URGES Governments, when implementing the ISM Code, to adhere to the Guidelines, in particular with regard to the validity of the Document of Compliance and Safety Management Certificate required by the ISM Code;
3. URGES ALSO Governments to request the companies concerned to apply for certification under the ISM Code as soon as possible but not later than trwelve months prior to the ISM Code becoming mandatory for ships belonging thereto,
4. REQUESTS Governments to inform the Organization of any difficulties they have experienced in using the annexed Guidelines;

5. REQUESTS ALSO the Maritime Safety Committee and the Marine Environment Protection Committee to keep the annexed Guidelines under review and to amend them as necessary;. Guidelines on the Implementation of the International Safety Management (ISM) Code Annex to IMO Assembly Resolution A.788(19) – 1995

INTRODUCTION
The ISM Code

The International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code was adopted by the Organization by resolution A.741(18) and will be made mandatory by virtue of the entry into force on 1 January 1998 of SOLAS chapter IX “Management for the Safe Operation of Ships”.

The ISM Code provides an international standard for the safe management and operation of ships and for pollution prevention.
The ISM Code requires that Companies establish safety objectives as described in section 1.2 of the ISM Code, and in addition that the Companies develop, implement and maintain a Safety Management System (SMS) which includes functional requirements as listed in section 1.4 of the ISM Code.

The application of the ISM Code should support and encourage the development of a safety culture in shipping. Success factors for the development of a safety culture are, inter alia, commitment, values and beliefs. Mandatory Application of the ISM Code The appropriate organisation of management, ashore and on board, is needed to ensure adequate standards of safety.

compliance with mandatory rules and regulations related to the safe operation of ships and protection of the environment; and
the effective implementation and enforcement thereof by Administrations.

Effective enforcement by Administrations must include verification that the Safety Management System (SMS) complies with the requirements as stipulated in the ISM Code, as well as verification of compliance with mandatory rules and regulations.
The mandatory application of the ISM Code should ensure, support and encourage that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organisations are taken into account.
Verification and Certification Responsibilities The Administration is responsible for verifying compliance with the requirements of the ISM Code and issuing Documents of Compliance (DOC) to Companies and Safety Management Certificates (SMC) to ships.

Resolution A.739(18) “Guidelines for the Authorization of Recognized Organizations acting on behalf of the Administrations”, which was made mandatory by the new SOLAS chapter XI and resolution A.740(18) “Interim Guidelines to assist flag States” are applicable when Administrations authorize organizations to issue DOC and SMC on their behalf.1. SCOPE AND APPLICATION 1.1 Definitions

1.1.1 “International Safety Management (ISM) Code” means the International Management Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the Organization by resolution A.741(18), as may be amended by the Organization.1.1.2 “Company” means the Owner of the ship or any other organization or person such as the Manager, or the Bareboat Charterer, who has assumed the responsibility for operation of the ship from the Shipowner and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by the ISM Code.1.1.3 “Administration” means the Government of the State whose flag the ship is entitled to fly.1.1.4 “Safety Management System” (SMS) means a structured and documented system enabling Company personnel to effectively implement the Company Safety and Environmental Protection Policy.1.1.5 “Document of Compliance” (DOC) means a document issued to a Company which complies with the requirements of the ISM Code.1.1.6 “Safety Management Certificate” (SMC) means a document issued to a ship which signifies that the Company and its shipboard management operate in accordance with the approved SMS.1.1.7 “Safety management audit” means a systematic and independent examination to determine whether the SMS activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives.1.1.8 “Observation” means a statement of fact made during a Safety Management Audit and substantiated by objective evidence.1.1.9 “Objective evidence” means quantitative or qualitative information, records or statements of fact pertaining to safety or to the existence and implementation of a SMS element, which is based on observation, measurement or test and which can be verified.1.1.10 “Non conformity” means an observed situation where objective evidence indicates the non fulfilment of a specified requirement.1.1.11 “Major non conformity” means an identifiable deviation which poses a serious threat to personnel or ship safety or a serious risk to the environment and requires immediate corrective action; in addition the lack of effective and systematic implementation of a requirement of the ISM Code, is also considered as a major non conformity.

1.2 Scope and application

for verifying that the Safety Management System (SMS) of a Company responsible for the operation of ships or the SMS for the ship or ships controlled by the company complies with the ISM Code; and
for the issue and periodical verification of the DOC and SMC.

1.2.2 These Guidelines are applicable to Administrations.

2. VERIFYING COMPLIANCE WITH THE ISM CODE 2.1 General

the conformity of the Company’s safety management system (SMS) with the requirements of the ISM Code; and
that the SMS ensures that the objectives defined in Section 1.2.3 of the ISM Code are met.

2.1.3 Determining conformity or non conformity of the SMS elements with the requirements specified by the ISM Code may demand that criteria for assessment be developed. Administrations are recommended to limit the development of criteria in the form of prescriptive management system solutions. Criteria for assessment in the form of prescriptive requirements may have the effect that safety management in shipping results in Companies implementing solutions prepared by others, it may then be difficult for a Company to develop the solutions which best suit that particular Company, that particular operation or that specific ship.2.1.4 Therefore, Administrations are recommended to ensure that these assessments are based on determining the effectiveness of the SMS in meeting specified objectives, rather than conformity with detailed requirements in addition to those contained in the ISM Code so as to reduce the need for developing criteria to facilitate assessment of the Companies’ compliance with the ISM Code.

2.2 The ability of the SMS in meeting general safety management objectives

to provide for safe practices in ship operation and a safe working environment,
to establish safeguards against all identified risks; and
to continuously improve the safety management skills of personnel ashore and aboard, including preparing for emergencies related both to safety and environmental protection.

The verification should support and encourage Companies in achieving these objectives.2.2.2 These objectives provide clear guidance to Companies for the development of SMS elements in compliance with the ISM Code. Since, however, the ability of the SMS in achieving these objectives cannot be determined beyond whether the SMS complies with the requirements of the ISM Code, they should not form the basis for establishing detailed interpretations to be used for determining conformity or non conformity with the requirements of the ISM Code.

2.3 The ability of the SMS in meeting specific requirements of safety and pollution prevention

compliance with mandatory rules and regulations; and
that applicable codes, guidelines and standards recommended by the Oganization, Administrations, classification societies and other maritime industry organizations are taken into account.

2.3.2 All records having the potential to facilitate verification of compliance with the ISM Code should be open to scrutiny during an examination. For this purpose the Administration should ensure that the Company provide auditors with statutory and classification records relevant to the actions taken by the Company to ensure that compliance with mandatory rules and regulations is maintained. In this regard the records may be examined to substantiate their authenticity and veracity.2.3.3 Some mandatory requirements may not be subject to statutory or classification surveys, such as:

maintaining the condition of ship and equipment between surveys; and
certain operational requirements.

Specific arrangements may be required to ensure compliance and to provide for the objective evidence needed for verification in these cases, such as:

documented procedures and instructions; and
documentation of the verification carried out by senior officers of day to day operation when relevant to ensure compliance.

taken into account the recommendations, as referred to in 1.2.3.2 of the ISM Code, when establishing the SMS; and
developed procedures to ensure that these recommendations are implemented on shore and on board.

2.3.6 Within an SMS, implementation of codes, guidelines and standards recommended by the Organization, Administrations, classification societies and other maritime industry organizations does not make these recommendations mandatory under the ISM Code. Nevertheless auditors should encourage companies to adopt these recommendations whenever applicable to the Company.

3. ISSUANCE AND VALIDITY OF DOC AND SMC
3.1 Issuance and validity of the DOC

3.1.1 The DOC should be issued to a Company following an initial verification of compliance with the requirements of the ISM Code.3.1.2 The DOC should be issued following verification that the SMS of the Company complies with the requirements of the ISM Code and determination of objective evidence proving that it is effectively implemented. The verification should include objective evidence demonstrating that the Company SMS has been in operation for at least three months, and an SMS has been in operation on board at least one ship of each type operated by the Company for at least three months. The objective evidence should, inter alia, include records from the internal annual audit performed by the Company, ashore and on board.3.1.3 The DOC is valid for the types of ships on which the initial verification was based.3.1.4 The validity of a DOC may be extended to cover additional ship types after verification of the Company’s capability to comply with the requirements of the ISM Code for such ship types of ships. In this context, types of ships refers to those stated in SOLAS chapter IX.3.1.5 The DOC is valid for a period of five years.3.1.6 The validity of the DOC is subject to annual verification within three months before or after the anniversary date to confirm the effective functioning of the SMS. This should include examining and verifying the correctness of the statutory and classification records presented for at least one ship of each type to which the DOC applies. Corrective actions and modifications to the SMS carried out since the previous verification should be verified.3.1.7 Renewal of the DOC for further period of five years should include assessment of all the elements of the SMS regarding its effectiveness in meeting the objectives specified in the ISM Code.3.1.8 Only the issuing Administration may withdraw the DOC. The issuing Administration should withdraw the DOC if the periodical verification is not requested or there is evidence of major non conformity with the ISM Code. The SMCs associated with the DOC should also be invalidated and withdrawn.

3.2 Issuance and validity of the SMC

3.2.1 The SMC should be issued to a ship following an initial verification of compliance with the requirements of the ISM Code. This includes the verification that the DOC for the Company responsible for the operation of the ship is applicable to that particular type of ship, and assessment of the shipboard SMS to verify that it complies with the requirements of the ISM Code, and that it is implemented. Objective evidence demonstrating that the Company’s SMS has been functioning effectively for at least three months on board the ship should be available, including, inter alia, records from the internal audit performed by the Company.3.2.2 The SMC is valid for a period of five years.3.2.3 The validity of the SMC is subject to at least one intermediate verification, confirming the effective functioning of the SMS, and that any modifications carried out since the previous verification comply with the requirements of the ISM Code. In certain cases, particularly during the initial period of operation under the SMS, the Administration may find it necessary to increase the frequency of the intermediate verification. Additionally, the nature of non conformities may also provide a basis for increasing the frequency of intermediate verifications.3.2.4 Renewal of the SMC for a further period of five years should include an assessment of all elements of the SMS pertaining to that ship and regarding its effectiveness of the SMS in meeting the objectives specified in the ISM Code.3.2.5 Only the issuing Administration may withdraw the SMC. The issuing Administration should withdraw the SMC, if intermediate verification is not requested or there is evidence of major non conformity with the ISM Code.

3.3 Interim DOC and SMC

the DOC, or the Interim DOC, is relevant to that ship;
the SMS provided by the Company for the ship includes key elements of the ISM Code and has been assessed during the audit for issuance of the DOC or demonstrated for issuance of the Interim DOC (see 3.3.3);
the master and relevant senior officers are familiar with the SMS and the planned arrangements for its implementation;
instructions which have been identified as essential to be provided prior to sailing have been given;
plans for Company audit of the ship within three months exist; and
the relevant information on the SMS is given in a working language or languages understood by the ship’s personnel.

4. THE CERTIFICATION PROCESS 4.1 Certification activities

initial verification
periodical or intermediate verification
renewal verification

These verifications are carried out at the request of the Company to the Administration, or to the organization recognized by the Administration to perform certification functions under the ISM Code. The verifications will include an audit of the SMS.

4.2 Initial Verification

the conformity of the Company’s SMS with the requirements of the ISM Code; and
that the SMS ensures that the objectives defined in section 1.2.3 of the ISM Code are met.

4.3 Periodical Verification of DOC

4.3.1 Periodical Safety Management Audits are to be carried out to maintain the validity of the DOC. The purpose of these audits is to verify the effective functioning of the SMS, and that any modifications made the SMS comply with the requirements of the ISM Code.4.3.2 Periodical verification is to be carried out within three months before and after each anniversary date of DOC. A schedule not exceeding three months is to be agreed for completion of the necessary corrective actions.4.3.3 Where the Company has more than one shore side premises, each of which may not have been visited at the initial assessment, the periodical assessments should endeavour to ensure that all sites are visited during the period of validity of the DOC.

4.4 Intermediate verification of SMC

4.4.1 Intermediate safety management audits should be carried out to maintain the validity of the SMC. The purpose of these audits is to verify the effective functioning of the SMS and that any modifications made to the SMS comply with the requirements of the ISM Code.4.4.2 If only one intermediate verification is to be carried out, it should take place between the second and third anniversary date of the issue of the SMC.

4.5 Renewal verification

4.5.1 Renewal verifications are to be performed before the validity of the DOC or the SMC expires. The renewal verification will address all the elements of the SMS and the activities to which the requirements of the ISM Code apply. Renewal verification may be carried out from six months before the expiry date of the DOC or the SMC and should be completed before their expiry date.

4.6 Safety management audits

4.6.1 The procedure for safety management audits outlined in the following paragraphs include all steps relevant for initial verification. Safety management audits for periodical verification and renewal verification should be based on the same principles even if their scope may be different.

4.7 Application for audit

4.7.1 The Company should submit a request for audit to the Administration or to the organization recognized by the Administration for issuing DOC or SMC on behalf of the Administration.4.7.2 The Administration or the recognized organization should then nominate the lead auditor and, if relevant, the audit team.

4.8 Preliminary review

4.8.1 As a basis for planning the audit, the auditor should review the safety management manual to determine the adequacy of the SMS in meeting the requirements of the ISM Code. If this review reveals that the system is not adequate, the audit will have to be delayed until the Company undertakes corrective action.

4.9 Preparing the audit

4.9.1 The nominated lead auditor should liaise with the Company and produce an audit plan.4.9.2 The auditor should provide the working documents which are to govern the execution of the audit to facilitate the assessments, investigations and examinations in accordance with the standard procedures, instructions and forms which have been established to ensure consistent auditing practices.4.9.3 The audit team should be able to communicate effectively with auditees.

4.10 Executing the audit

4.10.1 The audit should start with an opening meeting in order to introduce the audit team to the Company’s senior management, summarize the methods for conducting the audit, confirm that all agreed facilities are available, confirm time and date for a closing meeting and clarify possible unclear details relevant to the audit.4.10.2 The audit team should assess the SMS on the basis of the documentation presented by the Company and objective evidence as to its effective implementation.4.10.3 Evidence should be collected through interviews and examination of documents. Observation of activities and conditions may also be included when necessary to determine the effectiveness of the SMS in meeting the specific standards of safety and protection of the environment required by the ISM Code.4.10.4 Audit observations should be documented. After activities have been audited, the audit team should review their observations to determine which are to be reported as non conformities. Non conformities should be reported in terms of the general and specific provisions of the ISM Code.4.10.5 At the end of the audit, prior to preparing the audit report, the audit team should hold a meeting with the senior management of the Company and those responsible for the functions concerned. The purpose is to present the observations to ensure that the results of the audit are clearly understood.

4.11 Audit report

4.11.1 The audit report should be prepared under the direction of the lead auditor, who is responsible for its accuracy and completeness.4.11.2 The audit report should include the audit plan, the identification of audit team members, dates and identification of the Company, observations on any non conformities and observations on the effectiveness of the SMS in meeting the specified objectives.4.11.3 The Company should receive a copy of the Audit Report. The Company should be advised to provide a copy of the shipboard audit reports to the ship.

4.12 Corrective action follow up 4.12.1 The Company is responsible for determining and initiating the corrective action needed to correct a non conformity or to correct the cause of the non conformity. Failure to correct non conformities with specific requirements of the ISM Code may affect the validity of the DOC and related SMCs.4.12.2 Corrective actions and possible subsequent follow up audits should be completed within the time period agreed.

forming relevant employees about the objectives and scope of the ISM Code certification;
pointing responsible members of staff to accompany members of the team performing the certification;
Providing the resources needed by those performing the certification to ensure an effective and efficient verification process;
providing access and evidential material as requested by those performing the certification; and
cooperating with the verification team to permit the certification objectives to be achieved.

4.14 Responsibilities of the organization performing the ISM Code certification

4.14.1 The organization performing the ISM Code certification is responsible for ensuring that the certification process is performed according to the ISM Code and these Guidelines. This includes management control of all aspects of the certification according to the Annex to these Guidelines.

4.15 Responsibilities of the Verification Team

preparation of a plan for the verification; and
submission of the report of the verification.

4.15.2 Personnel participating in the verification are responsible for complying with the requirements governing the verification, ensuring confidentiality of documents pertaining to the certification and treating privileged information with discretion.

4.16 Forms of DOC and SMC

4.16.1 The DOC, SMC and Interim DOC and Interim SMC should be drawn up in the form corresponding to the models given in annex 2 to these Guidelines. If the language used is neither English or French, the text should include a translation into one of these languages.

Appendix 1 – STANDARDS ON ISM CODE CERTIFICATION ARRANGEMENTS 1. INTRODUCTION

1.1 The audit team, and the organization under which it may be managed, involved with ISM Code certification should comply with the specific requirements stated in this Annex.

2. STANDARD OF MANAGEMENT

ensuring compliance with the rules and regulations including certification of seafarers, for the ships operated by the Company;
the approval, survey and certification activities relevant for the maritime certificates;
the terms of reference that must be taken into account under the SMS as required by the ISM Code; and
practical experience of ship operation.

2.2 SOLAS 74 requires that organizations recognized by Administrations for issuing DOC and SMC at their request should comply with resolution A.739(18).2.3 Any organization performing verification of compliance with the provisions of the ISM Code should ensure that there exists independence between the personnel providing consultancy services and those involved in the certification procedure.

3. STANDARDS OF COMPETENCE 3.1 ISM Code certification scheme management

3.1.1 Management of ISM Code certification schemes should be carried out by those who have practical knowledge of ISM Code certification procedures and practices.

3.2 Basic competence for performing verification

qualifications from a tertiary institution recognized by the Administration or by the recognized organization within a relevant field of engineering or physical science (minimum two years programme), or
qualifications from a marine or nautical institution and relevant sea-going experience as a certified ship officer.

3.2.2 They should have undergone training to ensure adequate competence and skills for performing verification of compliance with the requirements of the ISM Code, particularly with regard to:

knowledge and understanding of the ISM Code;
mandatory rules and regulations;
the terms of reference which the ISM Code requires that Companies should take into account;
assessment techniques of examining, questioning, evaluating and reporting;
technical or operational aspects of safety management;
basic knowledge of shipping and shipboard operations; and
participation in at least one marine related management system audit.

3.2.3 Such competence should be demonstrated through written or oral examinations, or other acceptable means.

3.3 Competence for initial verification and renewal verification

determine whether the SMS elements conform or do not conform with the requirements of the ISM Code;
determine the effectiveness of the Company’s SMS, or that of the ship, to ensure compliance with rules and regulations as evidenced by the statutory and classification survey records;
assess the effectiveness of the SMS in ensuring compliance with other rules and regulations which are not covered by statutory and classification surveys and enabling verification of compliance with these rules and regulations; and
assess whether the safe practices recommended by the Organization, Administrations, classification societies and maritime industry organizations have been taken into account.

3.3.2 This competence can be accomplished by teams which together possess the total competence required.3.3.3 Personnel who are to be in charge of initial verification or renewal verification of compliance with the requirements of the ISM Code should have at least five years xperience in areas relevant to the technical or operational aspects of safety management; and have participated in at least three initial verifications or renewal verifications. Participation in verification of compliance with other management standards may be considered as equivalent to participation in verification of compliance with the ISM Code.

3.4 Competence for periodical, intermediate and interim verification

Personnel who are to perform periodical, intermediate and interim verifications should satisfy basic requirements for personnel participating in verifications and should have participated in a minimum of two periodical, renewal or initial verifications. They should have received special instructions needed to ensure that they possess the competence required to determine the effectiveness of the Company’s SMS.

4. QUALIFICATION ARRANGEMENTS Organizations performing ISM Code certification should have implemented a documented system for qualification and continuous updating of the knowledge and competence of personnel who are to perform verification of compliance with the ISM Code.

contract agreements with Companies;
planning, scheduling and performing verification;
reporting results from verification;
issuance of DOC, SMS and Interim DOC and SMC;
corrective action and follow-up of verifications, including actions to be taken in cases of major non-conformity.

*********************************
Appendix 2 – FORMS OF DOC, SMC, AND INTERIM DOC AND SMC
DOCUMENT OF COMPLIANCE

Issued under the provisions of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended Under the authority of the Government of:, Name of the State by,

Passenger ship

Passenger high-speed craft

Cargo high-speed craft

Bulk carrier

Oil tanker

Chemical tanker

Gas carrier

Mobile offshore drilling unit

Other cargo ship

This Document of Compliance is valid until,, subject to periodical verification. Issued at,

Place of issue of the document Date of issue, Signature of the duly authorized official issuing the document (Seal or stamp of issuing authority, as appropriate) * Adopted by the Organization by resolution A.741(18).

********************************* ENDORSEMENT FOR ANNUAL VERIFICATION THIS IS TO CERTIFY THAT, at the periodical verification in accordance with regulation 6 of chapter IX of the Convention, the safety management system was found to comply with the requirements of the ISM Code.

1st ANNUAL VERIFICATION		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,
2nd ANNUAL VERIFICATION		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,
3rd ANNUAL VERIFICATION		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,
4th ANNUAL VERIFICATION		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,

******************************** SAFETY MANAGEMENT CERTIFICATE Issued under the provisions of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended Under the authority of the Government of:,

Name of the State by, person or organization authorized Name of ship:, Distinctive numbers or letters:,

Port of registry:, Type of ship*:, Gross tonnage:,

IMO Number:,
Name of ship:,
Name and address of Company:,

see paragraph 1.1.2 of the ISM Code THIS IS TO CERTIFY THAT the safety management system of the ship has been audited and that it complies with the requirements of the International Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code),** following verification that the Document of Compliance for the Company is applicable to this type of ship.

This Safety Management Certificate is valid until,, subject to periodical verification and the validity of the Document of Compliance.
Issued at,(place of issue of the document) Date of issue,

(Signature of the duly authorized official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)
* Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high speed craft; bulk carrier; oil tanker; chemical tanker; gas carrier; mobile offshore drilling unit; other cargo ship.

** Adopted by the Organization by resolution A.741(18). ********************************* ENDORSEMENT FOR PERIODICAL VERIFICATION AND ADDITIONAL VERIFICATION (IF REQUIRED) THIS IS TO CERTIFY THAT, at the periodical verification in accordance with regulation 6 of chapter IX of the Convention, the safety management system was found to comply with the requirements of the ISM Code.

INTERMEDIATE VERIFICATION		Signed:.
To be completed between the 2nd and 3rd Anniversary Date		(Signature of authorized official)
		Place:,
		Date:,
ADDITIONAL VERIFICATION*		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,
ADDITIONAL VERIFICATION*		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,
ADDITIONAL VERIFICATION*		Signed:.
		(Signature of authorized official)
		Place:,
		Date:,

If Applicable ********************************* INTERIM DOCUMENT OF COMPLIANCE Issued under the provisions of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended Under the authority of the Government of:,

Name of the State by,
Person or organization authorized Name and address of the Company,

see paragraph 1.1.2 of the ISM Code THIS IS TO CERTIFY THAT the safety management system of the Company has been audited and that it complies with the requirements of the International Management Code for the Safe Operation of Ships and for the Pollution Prevention (ISM COde)* for the type(s) of ships listed below (delete as appropriate):

Passenger ship

Passenger high-speed craft

Cargo high-speed craft

Bulk carrier

Oil tanker

Chemical tanker

Gas carrier

Mobile offshore drilling unit

Other cargo ship

This Document is valid until, Issued at,(place of issue of the document) Date of issue,

(Seal or stamp of issuing authority, as appropriate)
* Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high speed craft; bulk carrier; oil tanker; chemical tanker; gas carrier; mobile offshore drilling unit; other cargo ship.

** Adopted by the Organization by resolution A.741(18). ********************************* INTERIM SAFETY MANAGEMENT CERTIFICATE Issued under the provisions of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended Under the authority of the Government of:,

Name of the State by, person or organization authorized Name of ship:, Distinctive numbers or letters:,

Port of registry:, Type of ship*:, Gross tonnage:,

IMO Number:, Name of ship:, Name and address of Company:,

This Safety Management Certificate is valid until,
Issued at,(place of issue of the document) Date of issue,

(Signature of the duly authorized official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)
* Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high speed craft; bulk carrier; oil tanker; chemical tanker; gas carrier; mobile offshore drilling unit; other cargo ship.

** Adopted by the Organization by resolution A.741(18). : Guidelines on the Implementation of the ISM Code A.788(19) -1995

Who is responsible for the ISM Code?

International Safety Management Code (ISM Code) What does it mean for shipowners and how can the Club assist? One only has to read Lloyd’s List or any of the array of shipping journals published today to note the interest (or should we perhaps classify it as panic?) being generated by the pending compulsory application of the ISM Code.

Hardly a day goes by without another article appearing on the subject. We regret we too are going to jump onto that bandwagon – for very soon the ISM Code will be something a shipowner can ignore only at his peril. So, what exactly is the International Safety Management Code (The ISM Code) that everyone is talking about? It is the work of the International Maritime Organisation (IMO) and was created with a view to providing an international standard or benchmark, for the safe management and operation of ships and for the prevention of pollution.

The purpose of the Code is to ensure safe practices in ship operation and to improve shipmanagement and thereby, hopefully, improve safety on board. The emphasis is upon the implementation by a shipowner of safe operating systems and procedures both ashore and on board.

The ISM Code does not introduce any new liability compensation schemes nor technical requirements as to operating standards and procedures.
It is purely about management.
The IMO is currently in the process of trying to raise awareness of the Code.
Ok, so we now know what it is – but why the panic? The ISM Code will be compulsorily applicable to passenger ships, oil tankers, chemical tankers, gas carriers, bulk carriers and cargo high speed craft of 500 gt and upwards on 1st July 1998.

For other cargo ships and mobile offshore units of 500 gt and upwards, it becomes compulsorily applicable on 1st July 2002. However, as regards Ro-Ro passenger vessels, the Council for the European Union has brought forward the date for the implementation of the code by a Regulation – having direct applicability to member states – as from 1st July 1996.

This will apply only to Ro-Ro ferries – irrespective of their flag – operating on a regular service to or from parts of EU member states. It is already mandatorily applicable to Norwegian passenger vessels capable of carrying more than 100 passengers.1st July 1998 – Plenty of time for most of us, no need for us to think about it yet We are sorry to shatter illusions but it is time to think about it now! To establish and then implement the ship management and operating procedures required in order to comply with the Code, will take time.

Members who have not already started the process should focus their attention on the Code and begin the process of preparing the required Safety Management Procedures. You had better tell us more about it A company that owns or operates ships will need to have in place a so-called Safety Management System (SMS).

The SMS will have to address the stated objectives of the Code which are to ensure safety at sea, prevention of human injury or loss of life and the avoidance of damage to the environment, particularly the marine environment. What precisely will the SMS have to cover? An SMS will need to ensure that quality control procedures are established in accordance with the ISM Code.

They will guarantee compliance with mandatory rules and regulations and ensure that applicable guidelines and standards recommended by bodies such as the classification societies and maritime industry organisations are taken into account. The ISM Code particularly requires that the SMS incorporate the following:(1) A safety and environmental protection policy;(2) Instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag state legislation;(3) Defined levels of authority and lines of communication between and amongst shore and shipboard personnel;(4) Procedures for reporting accidents and non-conformities with the provisions of the Code;(5) Procedures to prepare for and respond to emergency situations; and(6) Procedures for internal audits and management reviews.The procedures laid down by each vessel’s SMS have to be in writing and are required to be compiled in a document which will be referred to as the “Safety Management Manual”.

A copy of the manual has to be carried on board each vessel.
Communication and reporting sem to be important – what else does the Code have to say on those matters? A very important part of the SMS and really one of the issues at the heart of the ISM Code is communication between shorebased and shipboard personnel.

The thinking is that in order to ensure the safe operation of a ship there has to be a well-defined link between the shipowner or operator and those on board. Therefore, the Code requires every shipowner/operator to designate a person or persons ashore who will be the contact person for personnel on board the ship.

Under the Code such persons are known as the “Designated Person(s)”.
The Designated Person is assigned the following tasks under the Code:-“.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 ensuring that adequate resources and shore-based support are applied, as required”.

When we have organised our Safety Management System and produced our Safety Management Manual, what next? The shipowner or person who has assumed responsibility for operating the ship from the shipowner (e.g. a manager) will need to obtain certification of compliance with the Code.

In reality this means submitting both the SMS and shorebased and shipboard management to an audit with an accredited authority, such as for example a classification society.
There are two relevant certificates; the Document of Compliance (DOC) and the Safety Management Certificate (SMC).
The DOC is a document issued by the government of the State whose flag the ship is entitled to fly or by an organisation acting on behalf of that government (e.g.

Classification Society), evidencing that the relevant shipowner or operator (manager) has established a satisfactory SMS. A copy of the DOC will be required on board each ship. The SMC is similarly issued by the government of the flag State or an organisation recognised by that government.

The SMC is issued after the auditing body is satisfied that the shipowner and its shipboard management operate in accordance with an approved SMS (i.e.
Has obtained a DOC).
We can see the practical implications, are there going to be legal implications? To some extent the ISM Code will codify existing practice in an individual shipowner’s organisation so far as ship management procedures are concerned, especially in respect of communication with shipboard personnel and compliance with mandatory rules and regulations.

However, as the purpose of the Code is to establish an international standard of shipmanagement, a norm against which performance can be measured, it is almost inevitable that it will have a wide-ranging impact. It is arguable that failure to comply with an established SMS could have an impact upon an owner’s ability to defend claims under, for example, the Hague or Hague-Visby Rules or limit his liability under the limitation conventions, particularly the 1957 Limitation Convention.

It is also possible that failure to comply with the SMS could have an impact upon an owner’s insurance contracts, both hull and P&I. In any situation where a shipowner’s diligence to provide a seaworthy ship is involved or his knowledge of the condition of his ship is raised, the ISM Code is likely to have an impact.

If a claimant can demonstrate non-compliance with what will become an established standard for the safe operation and management of ships, an owner may be found to have been negligent and consequently liable for any damages flowing from such non-compliance.

Conversely, those owners who have established an effective SMS and adhere to it, may find it easier to defend claims against them.
They will now have an accepted standard to point to and if they can demonstrate they have acted in accordance with that standard, life may be easier when faced with claims.Additionally, those owners who have established a satisfactory SMS may see a reduction in claims as a result of a better-organised operation run by more highly-trained personnel.

How does the Club fit into all of this? Many Members have already implemented or are in the process of implementing SMS’s in accordance with the ISM Code. The Association believes the reduced number of claims it has witnessed in recent years, is at least in part due to the fact that the ISM Code has increased awareness of the importance of safe management and the need for the well-organised operation of ships.

This is one of the reasons why the Association wishes to draw attention to and assist owners with the implementation of the Code.
What assistance can the Club give to Members? Pursuant to Article 1.4 of the ISM Code, it is the owner himself who has the primary responsibility to establish a SMS in accordance with the principles laid down by the Code within the fixed time frame.

Although the Club cannot offer a full scale consultancy service with regard to the drafting and implementation of a SMS which complies with the Code, the Club can offer assistance in respect of some key areas relating to P&I risks and handling of P&I claims.

Gard’s philosophy is to share the Club’s experience with its Members, both in relation to claims’ prevention and claims’ handling.
Instructions and procedures included in an owner’s Safety Manual on these areas can be reviewed by the Club.
Additionally, emergency response plans should be harmonised with the Club’s own emergency plan, ensuring where possible and practicable that Club and Member work as an integrated team in an emergency situation.

ISM Code Resource Group The Club has established a team consisting of lawyers and master mariners to act as a resource group for Members with enquiries relating to the ISM Code. In addition to answering enquiries the team will also offer seminars and workshops for Members on issues relating to the Code, tailoring them to an individual Member’s requirement and needs.

Who is responsible for establishing and maintaining an effective safety management system?

Health and safety training and instruction – Everyone in the workplace ─ from senior management to frontline workers ─ needs to understand their responsibilities when it comes to implementing and maintaining a healthy and safe workplace. Senior management should understand their role in establishing policies and continually driving the OHS management system and programs.

Who is responsible for ensuring the overall safety of the ship and that safety on board is properly organised and coordinated?

The Company is responsible for ensuring the overall safety of the ship and that safety on board is properly organised and co-ordinated. Those who successfully complete this onboard training course should be able to successfully and effectively undertake the duties as a safety officer.

Who is in charge of the maintenance of the safety equipment onboard ship?

Seafaring is a profession that requires ranks and duties to be specific, so that everyone onboard will know what to do, as several procedures have to be conducted at the same time; Thus, each one of these roles carries unique responsibilities which are crucial for the successful operation of a vessel. – Specifically, the ranks on a vessel are divided into three categories:

the deck department
the engineering department
the steward’s / catering department

In 1978, IMO adopted a landmark Convention for all seafarers across the world to establish high standards of competence and professionalism in their duties on-board. The International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, the STCW Convention in brief, establishes the minimum basic requirements on training, certification and watchkeeping for seafarers on an international level.

Deck department Captain : The captain or master is the ship’s highest responsible officer, acting on behalf of the shipowner. He/she is responsible for all operations onboard. Chief mate: The head of the deck department on a merchant vessel, second-in-command after the ship’s Master. This position is responsible for cargo operations, the vessel’s stability, the deck crew and the safety and security of the vessel.

The chief mate is the one to train the crew and cadets on various operations, such as safety, firefighting, search and rescue, and various other contingencies. Second mate: The one that holds this position is a qualified Officer in Charge for Navigational Watch (OICNW), responsible for directing the bridge and navigating the ship.

The second mate is the third most experienced deck department officer after the Captain/Master and Chief mate.
One of their priorities is to update charts and publications, keeping them current, making passage plans, and all aspects of ship navigation.
Additional duties include directing line handlers, cargo watches, directing anchor detail and training and instructing crew members.

Third mate : The third officer is responsible for the maintenance of life-saving equipment and fire-fighting equipment under Safety Officer`s instruction. Also, the third mate conducts the drilling operations and handles all the port documents on behalf of the Master.

Bosun (head of the rating staff)
Welder/Fitter (this rank onboard renders his services to both the deck as well as the engine department)
Able Bodied Seaman (AB)
Ordinary Seaman (OS)
Trainee OS

Engineer/Technical Department Chief engineer: This person is the one overseeing the engine department and gives work orders for the ones operating in the engine room. Second engineer: This rank is responsible for supervising the daily maintenance and operation of the engine department, directly reporting to the chief engineer.

Third engineer: The third engineer or second assistant engineer is the one dealing with boilers, fuel, auxiliary engines, condensate and feed systems, always reporting to the second engineer. Fourth engineer : The fourth engineer or third assistant engineer is junior to the second assistant engineer/third engineer in the engine department.

Steward’s / catering department Chief cook: The chief cook is the senior unlicensed crew member working in the steward’s department of a ship. Their duty is to prepare meals regularly for the crew and passengers, inspects the galley and equipment ensuring all cleaning and proper storage operations are in line.

What are the four 4 departments onboard?

Seafaring is a tradition that encompasses a variety of professions and ranks. Each of these roles carries unique responsibilities that are integral to the successful operation of a seafaring vessel. A ship’s crew can generally be divided into four main categories : the deck department, the engineering department, the steward’s department, and other.

The reasoning behind this is that a ship’s bridge, filled with sophisticated navigational equipment, requires skills differing from those used on deck operations – such as berthing, cargo and/or military devices – which in turn requires skills different from those used in a ship’s engine room and propulsion, and so on.

The following is only a partial listing of professions and ranks. Ship operators have understandably employed a wide variety of positions, given the vast array of technologies, missions, and circumstances that ships have been subjected to over the years.

There are some notable trends in modern or twenty-first century seamanship. Usually, seafarers work on board a ship between three and six years. Afterwards, they are well prepared for working in the European maritime industry ashore. Generally, there are some differences between naval and civilian seafarers.

One example is nationality on merchant vessels, which is usually diverse and not identical like on military craft. As a result, special cross-cultural training is required – especially with regard to a lingua franca, Another notable trend is that administrative work has increased considerably on board, partly as an effect of increased focus on safety and security.

Who are responsible in issuing the Document of Compliance?

The International Safety Management Code (ISM Code 1993) The International Safety Management Code IMO Assembly Resolution A.741(18) – 1993

THE ASSEMBLY,
RECALLING Article 15(j) of the Convention on the International Maritime Organization concerning the functions of the Assembly in relation to regulations and guidelines concerning maritime safety and the prevention and control of marine pollution from ships,
RECALLING ALSO resolution A.680(17), by which it invited Member Governments to encourage those responsible for the management and operation of ships to take appropriate steps to develop, implement and assess safety and pollution prevention management in accordance with the IMO Guidelines on management for the safe operation of ships and for pollution prevention,
RECALLING ALSO resolution A.596(15), by which it requested the Maritime Safety Committee to develop, as a matter of urgency, guidelines, wherever relevant, concerning shipboard and shore-based management and its decision to include in the work programme of the Maritime Safety Committee and the Marine Environment Protection Committee an item on shipboard and shore-based management for the safe operation of ships and for the prevention of marine pollution, respectively,
RECALLING FURTHER resolution A.441(XI), by which it invited every State to take the necessary steps to ensure that the owner of a ship which flies the flag of that State provides such State with the current information necessary to enable it to identify and contact the person contracted or otherwise entrusted by the owner to discharge his responsibilities for that ship in regard to matters relating to maritime safety and the protection of the marine environment,
FURTHER RECALLING resolution A.443(XI), by which it invited Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities in regard to maritime safety and the protection of the marine environment,
RECOGNIZING the need for appropriate organization of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environmental protection,
RECOGNIZING ALSO that the most important means of preventing maritime casualties and pollution of the sea from ships is to design, construct, equip and maintain ships and to operate them with properly trained crews in compliance with international conventions and standards relating to maritime safety and pollution prevention,
NOTING that the Maritime Safety Committee is developing requirements for adoption by Contracting Governments to the International Convention for the Safety of Life at Sea (SOLAS) 1974, which will make compliance with the Code referred to in operative paragraph 1 mandatory,
CONSIDERING that the early implementation of that Code would greatly assist in improving safety at sea and protection of the marine environment,
NOTING FURTHER that the Maritime Safety Committee and the Marine Environment Protection Committee have reviewed resolution A.680(17) and the Guidelines annexed thereto in developing the Code,
HAVING CONSIDERED the recommendations made by the Maritime Safety Committee at its sixty-second session and by the Marine Environment Protection Committee at its thirty-fourth session,

ADOPTS the International Management Code for the Safe Operation of Ships and for Pollution Prevention, (International Safety Management (ISM) Code), set out in the Annex to the present resolution;
STRONGLY URGES Governments to implement the ISM Code on a national basis, giving priority to passenger ships, tankers, gas carriers, bulk carriers and mobile offshore units, which are flying their flags, as soon as possible but not later than 1 June 1998, pending development of the mandatory applications of the Code;
REQUESTS GOVERNMENTS to inform the Maritime Safety Committee and the Marine Environment Protection Committee of the action they have taken in implementing the ISM Code;
REQUESTS the Maritime Safety Committee and the Marine Environment Protection Committee to develop Guidelines for the implementation of the ISM Code;
REQUESTS ALSO the Maritime Safety Committee and the Marine Environment Protection Committee to keep the Code and its associated Guidelines, under review and to amend them, as necessary;
REVOKES resolution A.680(17).

The International Safety Management (ISM) Code Annex to IMO Assembly Resolution A.741(18) – 1993 PREAMBLE

The purpose of this Code is to provide an international standard for the safe management and operation of ships and for pollution prevention.
The Assembly adopted resolution A.443(XI) by which it invited all Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities with regard to maritime safety and the protection of the marine environment.
The Assembly also adopted resolution A.680(17) by which it further recognized the need for appropriate organization of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environmental protection.
Recognizing that no two shipping companies or shipowners are the same, and that ships operate under a wide range of different conditions, the Code is based on general principles and objectives.
The Code is expressed in broad terms so that it can have a widespread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awareness of the items outlined.
The cornerstone of good safety management is commitment from the top. 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.

1. GENERAL 1.1 Definitions 1.1.1 “International Safety Management (ISM) Code” means the International Management Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the Assembly, as may be amended by the Organization.1.1.2 “Company” means the Owner of the ship or any other organization or person such as the Manager, or the Bareboat Charterer, who has assumed the responsibility for operation of the ship from the Shipowner and who on assuming such responsibility has agreed to take over all the duties and responsibility imposed by the Code.1.1.3 “Administration” means the Government of the State whose flag the ship is entitled to fly.1.2 Objectives 1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular, to the marine environment, and to property.1.2.2 Safety management objectives of the Company should, inter alia:

provide for safe practices in ship operation and a safe working environment;
establish safeguards against all identified risks; and
continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.

1.2.3 The safety and management system should ensure:

compliance with mandatory rules and regulations; and
that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.

1.3 Application

The requirements of this Code may be applied to all ships.
1.4 Functional requirements for a Safety Management System (SMS)
Every Company should develop, implement and maintain a Safety Management System (SMS) which includes the following functional requirements:

a safety and environmental protection policy;
instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation;
defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
procedures for reporting accidents and non-conformities with the provisions of this Code;
procedures to prepare for and respond to emergency situations; and
procedures for internal audits and management reviews.

2. SAFETY AND ENVIRONMENTAL PROTECTION POLICY

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.

3. COMPANY RESPONSIBILITIES AND AUTHORITY

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.3.2 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.3.3 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.

4. DESIGNATED PERSON(S) 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.

implementing the safety and environmental protection policy of the Company;
motivating the crew in the observation of that policy;
issuing appropriate orders and instructions in a clear and simple manner;
verifying that specified requirements are observed; and
reviewing the SMS and reporting its deficiencies to the shore based management.

5.2 The Company should ensure that the SMS operating on board the ship contains a clear statement emphasizing the Master’s authority. The Company should establish in the SMS that 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.

6. RESOURCES AND PERSONNEL

properly qualified for command;
fully conversant with the Company’s SMS; and
given the necessary support so that the Master’s duties can be safely performed.

6.2 The Company should ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.6.3 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.6.4 The Company should ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.6.5 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.6.6 The Company should establish procedures by which the ship’s personnel receive relevant information on the SMS 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.

7. DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

The Company should establish procedures for the preparation of plans and instructions for key shipboard operations concerning the safety of the ship and the prevention of pollution. The various tasks involved should be defined and assigned to qualified personnel.

8. EMERGENCY PREPAREDNESS

8.1 The Company should establish procedures to identify, describe and respond to potential emergency shipboard situations.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.

9. REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES

9.1 The SMS should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analyzed with the objective of improving safety and pollution prevention.9.2 The Company should establish procedures for the implementation of corrective action.

10. MAINTENANCE OF THE SHIP AND EQUIPMENT

inspections are held at appropriate intervals;
any non-conformity is reported with its possible cause, if known;
appropriate corrective action is taken; and
records of these activities are maintained.

10.3 The Company should establish procedures in SMS to 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 10.3 should be integrated in the ship’s operational maintenance routine.

11. DOCUMENTATION

valid documents are available at all relevant locations;
changes to documents are reviewed and approved by authorized personnel; and
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.

12. COMPANY VERIFICATION, REVIEW AND EVALUATION

12.1 The Company should carry out internal safety audits to verify whether safety and pollution prevention activities comply with the SMS.12.2 The Company should periodically evaluate the efficiency and when needed review 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.

13. CERTIFICATION, VERIFICATION AND CONTROL

13.1 The ship should be operated by a Company which is issued a document of compliance relevant to that ship.13.2 A document of compliance should be issued for every Company complying with the requirements of the ISM Code by the Administration, by an organization recognized by the Administration or by the Government of the country, acting on behalf of the Administration in which the Company has chosen to conduct its business. This document should be accepted as evidence that the Company is capable of complying with the requirements of the Code.13.3 A copy of such a document should be placed on board in order that the Master, if so asked, may produce it for the verification of the Administration or organizations recognized by it.13.4 A Certificate, called a Safety Management Certificate, should be issued to a ship by the Administration or organization recognized by the Administration. The Administration should, when issuing a certificate, verify that the Company and its shipboard management operate in accordance with the approved SMS.13.5 The Administration or an organization recognized by the Administration should periodically verify the proper functioning of the ship’s SMS as approved.

: The International Safety Management Code (ISM Code 1993)

What is the difference between Document of Compliance and safety management certificate?

DOCUMENT OF COMPLIANCE (DOC) AND SAFETY MANAGEMENT CERTIFICATE (SMC) DOC A Document of Compliance or DOC is issued to a company based on the type of ship. This means that the DOC will be different for different type of ships i.e. if company have10 containers and 10 oil tankers then 2 different DOC will be issued, one to the container fleet and other to the tanker fleet.

DOC is issued under the authority of flag state government by successfully auditing and reviewing companies SMS and its implementations.
SMC A Safety Management Certificate is issued to the ship of a DOC holding Company by the administration.
A Safety Management Certificate is issued to the ship of a DOC holding Company by the administration.

Every individual ship must have a SMC which ensures that it complies with the onboard Safety Management Manual based on ISM. If a company owns 25 oil tanker ships, then SMC is issued to each ship with total of 25 SMC. SMC is issued after successfully auditing the ship for making sure that it is operating as per the SMS based on ISM code.

What are the responsibilities of a company in ISM?

ISM Code Part A (Section 3) Company Responsibilities and Authority – Section 3. Company Responsibilities and Authority ISM Code Company Responsibilities and Authority 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.3.2 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.3.3 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.

What are the responsibilities of ISM?

ISM Code – The purpose of the ISM Code is to provide an international standard for the safe management and operation of ships and for pollution prevention. The Assembly had already invited all Governments, by resolution A.443(XI), to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities with regard to maritime safety and the protection of the marine environment.

In resolution A.680(17), the Assembly recognized the need for appropriate organization of management to enable it to respond to the need of those on board ships in order to achieve and maintain high standards of safety and environmental protection. Recognizing that no two shipping companies or shipowners are the same, and that ships operate under a wide range of different conditions, the Code is based on general principles and objectives, which include assessment of all identified risks to one Company’s ships, personnel and the environment and establishment of appropriate safeguards.

The Code is expressed in broad terms so that it can have a widespread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awareness of the items outlined. The cornerstone of good safety management is commitment from the top.

Who is responsible for enforcing safety standards in the workplace?

Other resources –

Office of Workers’ Compensation Programs – Administers four major disability compensation programs which provide wage replacement benefits, medical treatment, vocational rehabilitation and other benefits to certain workers or their dependents who experience work-related injury or occupational disease. You can also read more at our workers’ compensation topic page, Office of the Ombudsman for the Energy Employees Occupational Illness Compensation Program (EEOMBD) and the SHARE initiative also play a role in the administration of DOL workplace safety and health programs.

For help in determining which safety and health standards apply to particular employment situations, select from the subtopics lists. Also, see the Occupational Safety and Health Administration’s webpages on safety and health in the workplace,

What is the role of management in safety management?

Action item 3: Allocate resources – Management provides the resources needed to implement the safety and health program, pursue program goals, and address program shortcomings when they are identified.

Who is in charge of implementing security plan and measures on board ship?

Skip to content A Definitive Guide to Ship Security Plan (SSP) Shipping is the backbone of international trade, as over 90% of all trade-related shipping is through the oceans. But braving the vast ocean for months is not for the faint-hearted. The risk related to economic losses and loss of life is also high.

The threat of terrorism and violence in the maritime world has also been increasing.
It is to curb these rising threats and risks-levels that there are safety measures in place which are implemented by the International Maritime Convention (IMO).
There are different safety and security measures to ensure the safety of the ship, crew and cargo.

One such safety measure is the Ship Security Plan (SSP). A Ship security plan or SSP is a detailed document specifying the action to be taken. In this article, we talk about SSP – what it is, its contents, implementation and more. SSP or Ship Security Plan is a mandatory document under the International Ship and Port Facility Security (ISPS) Code.

An SSP is developed to provide direction on the procedures to be followed onboard a ship during emergencies and threats.
The Chief Security Officer (CSO) is in charge of establishing roles and procedures to be followed to implement the ship’s SSP to protect the people and cargo on board.
Lack of clarity during such situations can be avoided by having a solid SSP.

An SSP is a crucial document that all vessels must have because the ISPS requires it.

What international agency is responsible for the safety and security of shipping?

IMO – the International Maritime Organization – is the United Nations specialized agency with responsibility for the safety and security of shipping and the prevention of marine and atmospheric pollution by ships. IMO’s work supports the UN SDGs. As a specialized agency of the United Nations, IMO is the global standard-setting authority for the safety, security and environmental performance of international shipping. Its main role is to create a regulatory framework for the shipping industry that is fair and effective, universally adopted and universally implemented.

In other words, its role is to create a level playing-field so that ship operators cannot address their financial issues by simply cutting corners and compromising on safety, security and environmental performance.
This approach also encourages innovation and efficiency.
Shipping is a truly international industry, and it can only operate effectively if the regulations and standards are themselves agreed, adopted and implemented on an international basis.

And IMO is the forum at which this process takes place. International shipping transports more than 80 per cent of global trade to peoples and communities all over the world. Shipping is the most efficient and cost-effective method of international transportation for most goods; it provides a dependable, low-cost means of transporting goods globally, facilitating commerce and helping to create prosperity among nations and peoples.

The world relies on a safe, secure and efficient international shipping industry – and this is provided by the regulatory framework developed and maintained by IMO.
IMO measures cover all aspects of international shipping – including ship design, construction, equipment, manning, operation and disposal – to ensure that this vital sector for remains safe, environmentally sound, energy efficient and secure.

Shipping is an essential component of any programme for future sustainable economic growth. Through IMO, the Organization’s Member States, civil society and the shipping industry are already working together to ensure a continued and strengthened contribution towards a green economy and growth in a sustainable manner.

The promotion of sustainable shipping and sustainable maritime development is one of the major priorities of IMO in the coming years.
As part of the United Nations family, IMO is actively working towards the 2030 Agenda for Sustainable Development and the associated SDGs,
Indeed, most of the elements of the 2030 Agenda will only be realized with a sustainable transport sector supporting world trade and facilitating global economy.

IMO’s Technical Cooperation Committee has formally approved linkages between the Organization’s technical assistance work and the SDGs. While the oceans goal,SDG 14, is central to IMO, aspects of the Organization’s work can be linked to all individual SDGs,

How the ISM Code is implemented on ships?

Implementation of ISM Code on ships – The ISM Code requires having a Safety Management System for ships in place. The SMS must be developed, implemented, and maintained by the ship owner or operator and must be approved by the ship’s flag state. The Safety Management System must include procedures for the following:

Safety and environmental protectionDesign and constructionMaintenance and inspectionCrew training and familiarisationEmergency preparedness and responseInternal audits and management reviewsCompliance with relevant national and international regulations

The ISM Code also requires that ships have a Designated Person Ashore (DPA), who ensures that the SMS is being implemented and followed correctly. The DPA must be easily accessible to the ship’s crew and have the necessary knowledge and expertise to assist the crew in implementing the SMS.

What is the ISM Code company?

Interim Document of Compliance – INTERIM DOCUMENT OF COMPLIANCE

(Official seal)	(State)
Certificate No.
Issued under the provisions of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended
Under the authority of the Government of _ (name of the State)

by _ (person or organization authorized)

Name and address of the Company	_ _ (see paragraph 1.1.2 of the ISM Code)
Company identification number,

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THIS IS TO CERTIFY THAT the safety management system of the Company has been recognized as meeting the objectives of paragraph 1.2.3 of the International Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code), for the type(s) of ships listed below (delete as appropriate): Passenger ship Passenger high-speed craft Cargo high-speed craft Bulk carrier Oil tanker Chemical tanker Gas carrier Mobile offshore drilling unit Other cargo ship

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This Interim Document of Compliance is valid until, Issued at, (Place of issue of the document) Date of issue, , (Signature of the duly authorized official issuing the document)

Seal or stamp of the issuing authority, as appropriate)

Jack Gloop