World Maritime University

Management for the Safe Operation of Ships

I S M Code

International Maritime Organization

UNITED NATIONS MARITIME CONFERENCE ADOPTED:

I.M.C.O. CONVENTION

ENTERED INTO FORCE

6 MARCH 1948

(INTER-GOVERNMENTAL MARITIME CONSULTATIVE ORGANIZATION.)

17 MARCH 1958

I.M.C.O. WAS ESTABLISHED 6 JANUARY 1959

NAME CHANGED TO I.M.O. MAY 1982

International Maritime Organisation

One of the Specialised Agencies of U. N. O.

Assembly (All member states)

Council (40 elected members)

Safety Management Committee

Maritime Environment Protection Committee

Legal Committee

Technical Co-operation Committee

Facilitation Committee

International Maritime OrganisationSTRUCTURE OF IMO BODIES

ASSEMBLY

COUNCIL

MEPC MSC FACILTATION LEGAL TECH CO.

LC

BLG COMSARSTAB.LL, FVS

FSI FP STW

DE DSC

NAV

SAFE & POLLUTION FREE OPERATIONS

PRE-REQUISITES FOR

QUALITY OPERATIONS

– RELLIABLE EQUIPMENT

– SOUND PROCEDURES

– COMPETENT OPERATORS

HUMAN ERROR

When someone says that an accident was due to human

error he usually means an error by someone at the bottom

of the organization who could not blame someone below

him……..

Responsible companies now accept that all accidents,

including human errors, are management failures.

T. A. Kletz

Types of Causes - changing perception

0102030405060708090

100

1960 1965 1970 1975 1980 1985 1990 1995 2000

Technology-Equipment Human Factor Organisation

?

?

?

( Hernquist - Swedish Club)

Accidents : Technical and Human Factors

I S M Code

Root Cause

CHANGE FROM INSTINCTIVE ATTITUDE :

“ THERE HAS BEEN AN ACCIDENT THEREFORE REGULATIONS MUST BE TIGHTENED”

TO

“THERE HAS BEEN AN ACCIDENT, LET US FIND THE REAL REASON AND ADDRESS THAT”

Root Cause

Herald of Free Enterprise - March 1987

Sheen-Commission report

“Board of Directors did not appreciate their responsibility; management form top and down to junior superintendent level shared the responsibility;….”

Exxon Valdez - April 1989

U S National Transportation Safety Board:

“the failure of the third mate to properly manoeuvre the vessel because of fatigue and excessive work load; ..the failure of the Exxon company to provide a fit master and a rested and sufficient crew…”

IMO Actions and Industry Initiatives

IMO ASSEMBLY:

“ THE GREAT MAJORITY OF MARITIME ACCIDENTS ARE DUE TO HUMAN ERROR AND FALLIBILITY AND THAT THE SAFETY OF SHIPS WILL BE GREATLY ENHANCED BY ESTABLISMENT OF IMPROVED OPERATING PROCEDURES”

IMO ASSEMBLY ADOPTED RESOLUTION A.596 (15)

IN NOVEMBER 1987:

CALLED UPON MSC TO DEVELOP GUIDELINES CONCERNING SHIPBOARD AND SHORE MANAGEMENT FOR SAFE OPERATION OF PASSENGER RO-RO FERRIES

IMO Actions and Industry Initiatives

EXXON VALDEZ GROUNDED - PRINCE WILLIUM SOUND –1989

IMO ASSEMBLY ADOPTED RESOLUTION A.647 (16) IN NOVEMBER 1989:

“IMO GUIDELINES ON MANAGEMENT FOR SAFE OPERATION OF SHIPS AND POLLUTION PREVENTION”

NORWEGIAN SHIPOWNERS ASSOCIATION - MARCH 1990 DEVELOPED GUIDELINES ON:

“QUALITY MANAGEMENT FOR SHIP OPERATION”

IMO Actions and Industry InitiativesINTERNATIONAL SHIPMANAGERS ASSOCIATIONDEVELOPED IN APRIL 1991:

ISMA CODE: CODE OF SHIP MANAGEMENT STANDARDS

INTERNATIONAL ASSOCIATION OF CLASSIFICATION SOCITIES (IACS) DEVELOPED IN EARLY 1990s:

SAFETY AND QUALITY MANAGEMENT CLASSIFICATION SERVICES

HELENIC MARINE ENVIRONMENT PROTECTION ASSOCIATION (HELMEPA) PUBLISHED IN 1993

“VOLUNTARY GUIDELINES ON MANAGEMENT FOR SAFE SHIP OPERATION”

IMO Actions and Industry Initiatives

IMO ASSEMBLY RESOLUTION A.680 (17)

IN NOVEMBER 1991: ADOPTED & KEPT UNDER REVIEW

REVISED GUIDELINES ( TO ITS PRESENT FORM)

IMO ASSEMBLY RESOLUTION A.741 (18)

IN NOVEMBER 1993: ADOPTED

THE ‘ISM CODE’

BY AMENDMENT TO SOLAS 1974 ON 24 MAY 1994

CODE BECAME MANDATORY

IMO Actions and Industry Initiatives

AMENDMENTS ADOPTED THROUGH RES. MSC 104(73)

IN DECEMBER 2000:

ENTERED INTO FORCE: 1 JULY 2002

IMO ASSEMBLY ADOPTED RES. A.788 IN 1995

GUIDELINES ON IMPLEMENTATION OF ISM CODE

IMO ASSEMBLY ADOPTED RES. A.913 (22) NOVEMBER 2001:

REVISED GUIDELINES ON IMPLEMENTATION

EFFECTIVE FROM : 1 JULY 2002

IMO Actions and Industry Initiatives

I S M CODE

(International Safety Management Code)

“INTERNATIONAL MANAGEMENT CODE

FOR

SAFE OPERATION OF SHIPS

AND FOR

POLLUTION PREVENTION”

MANAGEMENT FOR SAFE OPERATOINS OF SHIPS

AMENDMENT TO SOLAS 74 - ADDED CH. IX

(UNDER THE TACIT ACCEPTANCE PROCEDURE)

ISM CODE BECAME MANDATORY

PATH BREAKING AMENDMENT TO SOLAS 74

ENTRY IN TO FORCE - 1 JULY 1998 - First Phase

- 1 JULY 2002 - Second Phase

I S M Code

SOLAS _ Chapter IX

Management for the safe

Operation of ships

CHAPTER IX OF THE ANNEX TO THE 1974 SOLAS ONVENTION

REGULATION 1 : DEFINITIONS

REGULATION 2 : APPLICATION AND DATES

REGULATION 3 : SAFETY MANAGEMENT REQUIREMENTS

REGULATION 4 : CERTIFICATION

REGULATION 5 : MAINTENANCE OF CONDITIONS

REGULATION 6 : VERIFICATION AND CONTROL

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HAZARDOUS OCCURANCES – Situations which could have led to an accident if they had developed further (i.e. near miss situations)

ACCIDENTS – Incidents involving injury or damage to life, the environment, the ship or its cargo

VERIFY – To investigate and confirm that an activity or operation is in accordance with the specified requirement. (inspection, tests, checks, system audit etc.)

SPECIAL OPERATIONS – Where errors may become apparent only after they have created hazardous situations or when accidents have occurred

CRITICAL OPERATIONS – Where error may immediately cause an incident or a situation which could threaten people, environment or the ship

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PREAMBLE

(PURPOSE, SCOPE AND BACKGROUND))

*443(XI) SAFEGUARD SHIPMASTER IN PROPER DISCHARGE OF HIS RESPONSIBILITIES

*APPROPRIATE ORGANISATION OF MANAGEMENT TOENABLE IT RESPOND TO SHIPBOARD NEEDS

*CODE BASED ON GENERAL PRINCIPLES AND OBJECTIVES

*CODE IS EXPRESSED IN BROAD TERMS

Commitment, competence, attitudes and motivation of all at all levels

I S M Code

I S M Code

PART A

1.1 DEFINITIONS

1.2 OBJECTIVES OF

THE CODE

COMPANY

SAFETY MANAGEMENT SYSTEM

1.3 APPLICATON TO ALL SHIPS

1.4 FUNCTIONAL REQUIREMENTS FOR A S M S

* NO SPECIFIC REQUIREMENTS FOR SMS STRUCTURE

* CORE OF SMS IN OTHER PARAGRAPHS

I S M Code

I S M Code’s most vital Rules and Regulations

SOLAS 74 WITH AMENDMENTS AND PROTOCOLS

IBC INTERNATIONAL BULK CHEMICAL CODE

IGC INTERNATIONAL GAS CARRIERS CODE

MARPOL 73/78 INTERNATIONAL CONVENTION FOR PREVENTION OFPOLLUTION FROM SHIPS

COLREG 1972 CONVENTION ON THE INTERNATIONALREGULATIONSFOR PREVENTINF COLLISIONS AT SEA

I S M Code’s most vital Rules and Regulations

L L 1966 INTERNATIONAL CONVENTION ON LOAD LINES

Res 441 (XI) Identification of the contracted manager

ILO CONVENTION 147 MERCHANT SHIPPING MINIMUM STANDARDSCONVENTION 1976

STCW 78/95 INTERNATIONAL CONVENTION ON STANDARDS OFTRAINING CERTIFICATION AND WATCHKEEPINGFOR SEAFARERS

I C S – International Chamber of Shipping

O C I M F – Oil Companies International Marine Forum

S I G T T O – Society of international Gas Tanker and Terminal Operators

I S M Code

2. SAFETY AND ENVIRONMENTAL-PROTECTION POLICY

AIMS OF SAFETY MANAGEMENT SYSTEM

DESCRIPTION OF COMPANY’S OBJECTIVES

STRATEGIES FOR ACHIEVEMENT OF OBJECTIVES

IMPLEMENTATION AT ALL LEVELS ON BOARD & ASHORE

SIGNED BY THE TOP MANAGEMENT

EMPLOYEES AT ALL LEVEL REALISE COMMITMENT OF TOP MANAGEMENT

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3. COMPANY RESPONSIBILITY AND AUTHORITY

DETAILS OF MANAGING COMPANY TO ADMINISTRATION

DEFINE AND DOCUMENT RESPONSIBILITY, AUTHORITY & INTER-RELATIONS OF PERSONNEL

ADEQUATE RESOURCES & SUPPORT TO DESIGNATED PERSONS TO CARRY OUT THEIR FUNCTIONS

IMO Res. 441(XI) Information on identity of contracted operator

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I S M Code

4. DESIGNATED PERSON(S) ASHORE - DPACOMPANY TO DESIGNATE A PERSON OR PERSONS HAVING DIRECT ACCESS TO THE HIGHEST LEVEL OF MANAGEMENT

RESPONSIBLE FOR MONITORING OPERATIONAL SAFETY AND POLLUTION PREVENTION MEASURES

RESPONSIBLE TO ENSURE ADEQUATE RESOURCES AND SHORE BASED SUPPORT TO SHIPS AS REQUIRED

I S M Code

5. MASTER’S RESPONSIBILITY AND AUTHORITY

COMPANY TOCLEARLY DEFINE AND DOCUMENT MASTER’S RESPONSIBILITY

CLEAR STATEMENT EMPHASISING MASTER’S AUTHORITY

OVERRIDING AUTHORITY & RESPONSIBILITY OF MAKING DECISIONS W.R.T. ON SAFETY & POLLUTION

I S M Code

I S M Code

6. RESOURCES AND PERSONNELQUALIFICATIONS OF MASTER

QUALIFICATION & MEDICAL FITNESS OF SEAFARERS

PROCEDURES FOR FAMILIARISATION

KNOWLEDGE OF RELEVANT RULES & REGULATIONS

IDENTIFICATION OF TRAINING NEEDS IN SUPPORT OF SMS

RELEVANT SMS INFORMATION IN WORKING LANGUAGE

ENSURE EFFECTIVE COMMUNICATONS

STCW 78 / 95

REGULATION I/14 (RESPONSIBILITIES OF THE COMPANIES)

.1 -APPROPRIATE CERTIFICATES

.2 -SAFE MANNING REQUIREMENTS

.3 -READILY ACCESSIBLE PERSONAL DATA

.4 -FAMILIARATION - SPECIFIC DUTIES & ARRANGEMENTS

.5 -ABILITY TO EFFECTIVELY CO-ORDINATE ACTIVITIES IN EMERGENCY

I S M Code

7. DEVELOPMENT OF PLANS FOR SHIPBOARD

OPERATIONS

PROCEDURES FOR DEVELOPING PLANS

INSTRUCTIONS/CHECKLISTS FOR KEY OPERATIONS

TASKS TO BE DEFINED & ASSIGNED TO QUALIFIED PERSONS

I S M Code

CHECKLISTS ON BOARD : CHECKLISTS ON BOARD : BRIDGE PROCEDURESBRIDGE PROCEDURES

Familiarisation with bridge equipmentFamiliarisation with bridge equipment

Daily tests and checksDaily tests and checks

Preparation for seaPreparation for sea

Preparation for port/anchoragePreparation for port/anchorage

Embarkation/disembarkation of pilotEmbarkation/disembarkation of pilot

Navigation, deep seaNavigation, deep sea

Navigation, coastal watersNavigation, coastal waters

Navigation, restricted visibility; rough weather , ice Navigation, restricted visibility; rough weather , ice ……. . etc.etcetc.etc

I S M Code

I S M Code

EMERGENCY CHECK LISTS

Main Engine Failures

Gyro/compass failure

Steering failure

Bridge control failure

Collision

Fire

Pollution

Stranding/Grounding; Flooding

Search and Rescue; Man Overboard

Abandon ship

I S M Code

~'`"

.

MACHINERY AND MISCELLANEOUS CHECK LISTS

Safety training and familiarisation Port inspection

Main Engines Oil Spill equipment

Auxiliary Engines Fire Fighting equipment

Boilers Enclosed Spaces

Arrival & Departures Watertight Integrity

Chemicals storing and handling Calibration Meters

I S M Code

8. EMERGENCY PREPAREDNESSCOMPANY TO ESTABLISH PROCEDURES FOR:

IDENTIFYING, DESCRIBING & RESPONDING TO POTENTIAL EMERGENCY SITUATIONS

EMERGENCY DRILLS & EXERCISES TO PREPARE FOR EMERGENCY ACTIONS

CONTINGENCY PLANNING FOR EMERGENCY RESPONSE

I S M Code

TYPES OF EMERGENCIES

STRUCTURAL FAILURE

MAIN ENGINE FAILURE

STEERING GEAR FAILURE

ELECTRICAL POWER FAILURE

COLLISION, GROUNDING /STRANDING

SHIFTING OF CARGO , CARGO JETTISONING

SERIOUS INJURY, FIRE, FLOODING

MAN OVERBOARD, SEARCH AND RESCUE

HEAVY WEATHER DAMAGE , ETC. ETC.

I S M Code

SHIPBOARD CONTINGENCY PLANS

ALLOCATION OF DUTIES AND RESPONSIBILITIES

ACTION TO BE TAKEN TO REGAIN CONTROL

COMMUNICATION METHODS TO BE USED ON BOARD

MAINTAINING SHIP/SHORE COMMUNICATION

PROCEDURES FOR:

REQUESTING ASSISTANCE FROM THIRD JPARTIES

NOTIFYING COMPANY AND AUTHORITIES

DEALING WITH MEDIA AND OTHER PARTIES

I S M Code

SHORE BASED CONTINGENCY PLANS

.DUTIES OF PERSONS WITHIN A CONTINGENCY PLAN

.PROCEDURES FOR:

MOBILISATION OF EMERGENCY RESPONSE

FOR RESPONSE TO DIFFERENT TYPES OF ACCIDENTS

MAINTAINING SHIP/CONTACT

LIAISING WITH NEXT OF KIN OF PERSONS ON BOARD

ANSWERING QUERRIES FROM MEDIA AND PUBLIC

I S M Code

SHORE BASED CONTINGENCY PLANS (CONTD.)

AVAILABILITY OF :

SHIPS PARTICULARS, PLANS, STABILITY INFORMATION

EQUIPMENT CARRIED ON BOARD, CHARTS OF THE AREA

CHECKLIST APPROPRIATE TO THE TYPE OF EMERGENCY

NAMES AND CONTACT DETAILS OF RELEVANT PARTIES

BACK UP ARRANGEMENTS FOR INITIAL RESPONSE

I S M Code

9. REPORTS & ANALYSIS OF NON-CONFORMITIES,

ACCIDENTS AND HAZARDOUS OCCURANCES

THE SMS PROCEDURES SHOULD ENSURE :

NON-CONFORMITIES, ACCIDENTS & HAZARDOUS SITUATIONS ARE REPORTED TO THE COMPANY

THESE ARE INVESTIGATED AND ANALYSED

CORRECTIVE ACTION IS IMPLEMENTED

I S M Code

10. MAINTENANCE OF THE SHIP & EQUIPMENTPROCEDURES TO FOR ENSURING:

MAINTENANCE IS DONE IN CONFORMITY WITH RULES, COMPANY REQUIREMENTS & INDUSTRY RECOMMENDATIONS

PERIODIC INSPECTIONS, REPORTING OF NON-CONFORMITIES WITH POSSIBLE CAUSES, TAKING AND RECORDING CORRECTIVE ACTION

IDENTIFICATION OF EQUIPMENT AND TECHNICAL SYSTEMS CRITICAL FOR SAFETY & ENSURE SPECIFIC MEASURES IN PLACE TO PROMOTE THEIR RELIABILITY

THESE PROCEDURES TO BE INTEGRATED IN SHIP’S OPERATIONAL MAINTENANCE ROUTINES

I S M Code

11. PROCEDURES FOR CONTROL OF DOCUMENTS AND DATA

VALID DOCUMENTS AVAILABLE AT RELEVANT LOCATIONS

CHANGES TO DOCUMENTS ARE REVIEWED AND APPROVED BY AUTHORIDES PERSONS

OBSOLETE DOCUMENTS ARE PROMPTLY REMOVED

SAFETY MANAGEMENT MANUAL RELEVANT TO THE PARTICULAR SHIP

SAFETY MANAGEMENT MANUAL – TO BE RETURNED WHEN SHIP LEAVES THE COMPANY

I S M Code

12. COMPANY VERIFICATION, REVIEW AND EVALUATION

PROCEDURES FOR PERIODIC INTERNAL SAFETY AUDITS

PLANS FOR AUDITS AND PROCEDURES FOR REPORTING

PROCEDURES FOR :

MANAGEMENT REVIEW

OBJECTIVE EVALUATION

INFORMATION TO RESPONSIBLE PERSONS

CORRECTIVE ACTION AND CONTROL

I S M Code

13. CERTIFICATION, VERIFICATION AND CONTROL

Document of Compliance (DOC) issued to the company by:

THE ADMINISTRATIONORAN ORGANIZATION RECOGNISED BY THE ADMINISTRATIONORA PARTY UPON REQUEST BY THE A DMINISTRATION

VALIDITY - 5 YEARS; - FOR TYPES OF SHIPS - ANNUAL VERIFICATION

COPY MUST BE AVAILABLE ON BOARD

CONDITIONS FOR WITHDRAWL OF DOC

I S M Code

13. CERTIFICATION, VERIFICATION AND CONTROLSafety Management Certificate (SMC) issued to the ship holding a valid DOC by:THE ADMINISTRATIONORAN ORGANIZATION RECOGNISED BY THE ADMINISTRATIONORA PARTY UPON REQUEST BY THE A DMINISTRATION

VALIDITY - 5 YEARS; - SHIP SPECIFIC, - INTERMEDIATE VERIFICATION

HELD ON BOARD

CONDITIONS FOR WITHDRAWALOF SMC

I S M Code

14. INTERIM CERTIFICATION

INTERIM DOC FOR:A NEW COMPANY OR NEW SHIP TYPE TO BE ADDED TO DOC

SMS TO BE IMPLEMENTED WITH IN ITS VALIDITY

VALIDITY 12 MONTHS

COPY ON BOARD

ISSUING AUTHORITIES SAME AS THOSE FOR FULL TERM DOC

I S M Code

14. INTERIM CERTIFICATION

INTERIM SMC FOR:A NEW SHIPON DELIVERY, SHIP NEW TO THE COMPANY,

OR WHEN A SHIP CHANGES FLAG

VALID DOC OR INTERIM DOC IN PLACE

COMPANY SMS CONTAINS KEY ELEMENTS OF CODE

AUDIT PLANNED WITH IN 3 MONTHS

MASTER & OFFICERS ARE FAMILIAR WITH SMS & ARRANGEMENTS FOR ITS IMPLEMENTATION

PRIOR SAILING ESSENTIAL INSTRUCTIONS BEEN PROVIDED

RELEVANT SMS INFORMATION IN WORKING LANGUAGE

II S M Code

YEARS

1

3m

2 3 4 506m3m 3m

RA AA A A A

VERIFICATION FOR D O C

0 YEARS

0 1

N.B. A = ANNUAL; R = RENEWAL; INTER. = INTERMEDIATE

VERIFICATION FOR S M CR

3m2 3 4 5

I NTER.

Safety Culture