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Resolution A. 741(19) - INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE 2010

PART A: IMPLEMENTATION
1. GENERAL
1.1

Definitions
The following definitions apply to parts A and B of this Code.

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 ship-owner 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.

1.1.4

Safety Management System means a structured and documented system enabling Company personnel to
implement effectively the Company safety and environmental protection policy.

1.1.5

Document of Compliance means a document issued to a Company which complies with the requirements
of this Code.

1.1.6

Safety Management Certificate means a document issued to a ship which signifies that the Company and
its shipboard management operate in accordance with the approved safety management system.

1.1.7

Objective evidence means 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.

1.1.8

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

1.1.9

Non-conformity means an observed situation where objective evidence indicates the non-fulfilment of a
specified requirement.

1.1.10 Major non-conformity means 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.
1.1.11 Anniversary date means the day and month of each year that corresponds to the date of expiry of the
relevant document or certificate.
1.1.12 Convention means the International Convention for the Safety of Life at Sea, 1974 as amended.
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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:

.1 provide for safe practices in ship operation and a safe working environment;
.2 assess all identified risks to its ships, personnel and the environment and establish appropriate
safeguards; and
.3 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-management system should ensure:

.1 compliance with mandatory rules and regulations; and
.2 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

Every Company should develop, implement and maintain a safety management system (SMS) which
includes the following functional requirements:
.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 this Code;
.5 procedures to prepare for and respond to emergency situations; and
.6 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.
The Company should ensure that the policy is implemented and maintained at all levels of the organization
both, ship-based and shore-based

2.2

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.
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.
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.

3.2
3.3

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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. 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.

5.

MASTER'S RESPONSIBILITY AND AUTHORITY

5.1

The Company should clearly define and document the master's responsibility with regard to:
.1 implementing the safety and environmental-protection policy of the Company;
.2 motivating the crew in the observation of that policy;
.3 issuing appropriate orders and instructions in a clear and simple manner;
.4 verifying that specified requirements are observed; and
.5 periodically reviewing the SMS and reporting its deficiencies to the shore-based management.
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.

5.2.1

6.

RESOURCES AND PERSONNEL

6.1

The Company should ensure that the master is:

.1 properly qualified for command;
.2 fully conversant with the Company's SMS; and
.3 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 & protection of 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.

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SHIPBOARD OPERATIONS
The Company should establish procedures, plans and instructions, , including checklist as appropriate, for
key shipboard operations concerning the safety of the personnel, ship and protection of the environment.
The various tasks should be defined and assigned to qualified personnel.

8.

EMERGENCY PREPAREDNESS

8.1

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

8.2

The Company should establish programmes for drills and exercises to prepare for emergency actions.

8.3

The SMS should provide for measures ensuring that the Company's organization can respond at any time to
hazards, accidents and emergency situations involving its ships.

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 analysed with the objective of improving safety and pollution
prevention.

9.2

The Company should establish procedures for the implementation of corrective action, including measures
intended to prevent recurrence.

10.

MAINTENANCE OF THE SHIP AND EQUIPMENT

10.1

The Company should establish procedures to ensure that the ship is maintained in conformity with the
provisions of the relevant rules and regulations and with any additional requirements which may be
established by the Company.

10.2

In meeting these requirements the Company should ensure that:

.1 inspections are held at appropriate intervals;
.2 any non-conformity is reported, with its possible cause, if known;
.3 appropriate corrective action is taken; and
.4 records of these activities are maintained.
The Company should identify equipment and technical systems the sudden operational failure of which
may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the
reliability of such equipment or systems. These measures should include the regular testing of stand-by
arrangements and equipment or technical systems that are not in continuous use.

10.3

10.4

The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the
ship's operational maintenance routine.

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11.

DOCUMENTATION

11.1

The Company should establish and maintain procedures to control all documents and data which are
relevant to the SMS.
The Company should ensure that:
.1 valid documents are available at all relevant locations;
.2 changes to documents are reviewed and approved by authorized personnel; and
.3 obsolete documents are promptly removed.
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.

11.2

11.3

12.

COMPANY VERIFICATION, REVIEW AND EVALUATION

12.1

The Company should carry out internal safety audits on board and ashore at intervals not exceeding twelve
months to verify whether safety and pollution-prevention activities comply with the SMS. In exceptional
circumstances, this interval may be exceeded by not more than three months.
The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures
established by the Company.
The audits and possible corrective actions should be carried out in accordance with documented procedures.
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.
The results of the audits & reviews should be brought to the attention of all personnel having responsibility
in the area involved.
The management personnel responsible for the area involved should take timely corrective action on
deficiencies found.

12.2
12.3
12.4
12.5
12.6

PART B CERTIFICATION AND VERIFICATION

13

CERTIFICATION AND PERIODICAL VERIFICATION

13.1

The ship should be operated by a Company which has been issued with a Document of Compliance or with
an Interim Document of Compliance in accordance with paragraph 14.1, relevant to that ship.
The Document of Compliance should be issued by the Administration, by an organization recognized by
the Administration or, at the request of the Administration, by another Contracting Government to the
Convention to any Company complying with the requirements of this Code for a period specified by the
Administration which should not exceed five years. Such a document should be accepted as evidence that
the Company is capable of complying with the requirements of this Code.
The Document of Compliance is only valid for the ship types explicitly indicated in the document. Such
indication should be based on the types of ships on which the initial verification was based. Other ship
types should only be added after verification of the Companys capability to comply with the requirements
of this Code applicable to such ship types. In this context, ship types are those referred to in regulation IX/1
of the Convention.
The validity of a Document of Compliance should be subject to annual verification by the Administration
or by an organization recognized by the Administration or, at the request of the Administration by another
Contracting Government within three months before or after the anniversary date.

13.2

13.3

13.4

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13.5

13.5.1
13.6

13.7

13.8

13.9

13.10

13.11

13.12

13.13

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The Document of Compliance should be withdrawn by the Administration or, at its request, by the
Contracting Government which issued the document, when the annual verification required in paragraph
13.4 is not requested or if there is evidence of major non-conformities with this Code.
All associated Safety Management Certificates and/or Interim Safety Management Certificates should also
be withdrawn if the Document of Compliance is withdrawn.
A copy of the Document of Compliance should be placed on board in order that the master of the ship, if so
requested, may produce it for verification by the Administration or by an organization recognized by the
Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The
copy of the document is not required to be authenticated or certified.
The Safety Management Certificate should be issued to a ship for a period which should not exceed five
years by the Administration or an organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government. The Safety Management Certificate should be issued
after verifying that the Company and its shipboard management operate in accordance with the approved
safety management system. Such a certificate should be accepted as evidence that the ship is complying
with the requirements of this Code.
The validity of the Safety Management Certificate should be subject to at least one intermediate verification
by the Administration or an organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government. If only one intermediate verification is to be carried
out and the period of validity of the Safety Management Certificate is five years, it should take place
between the second and third anniversary date of the Safety Management Certificate.
In addition to the requirements of paragraph 13.5.1, the Safety Management Certificate should be
withdrawn by the Administration or, at the request of the Administration, by the Contracting Government
which has issued it when the intermediate verification required in paragraph 13.8 is not requested or if there
is evidence of major non-conformities with this Code.
Notwithstanding the requirements of paragraphs 13.2 and 13.7, when the renewal verification is completed
within three months before the expiry date of the existing Document of Compliance or Safety Management
Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid
from the date of completion of the renewal verification for a period not exceeding five years from the date
of expiry of the existing Document of Compliance or Safety Management Certificate.
When the renewal verification is completed more than three months before the expiry date of the existing
Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new
Safety Management Certificate should be valid from the date of completion of the renewal verification for a
period not exceeding five years from the date of completion the renewal verification.
When the renewal verification is completed after the expiry date of the existing Safety Management
Certificate, the new Safety Management Certificate should be valid from the date of completion of the
renewal verification to a date not exceeding five years from the date of expiry of the existing Safety
Management Certificate.
If a renewal verification has been completed and a new Safety Management Certificate cannot be issued or
placed on board the ship before the expiry date of the existing certificate, the Administration or
organization recognized by the Administration may endorse the existing certificate and such a certificate
should be accepted as valid for a further period which should not exceed five months from the expiry date.
If a ship at the time when a Safety Management Certificate expires is not in a port in which it is to be
verified, the Administration may extend the period of validity of the Safety Management Certificate but this
extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in
which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No Safety
Management Certificate should be extended for a period of longer than three months, and the ship to which
an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue
of such extension to leave that port without having a new Safety Management Certificate. When the

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renewal verification is completed, the new Safety Management Certificate should be valid to a date not
exceeding five years from the expiry date of the existing Safety Management Certificate before the
extension was granted.
14

INTERIM CERTIFICATION

14.1

An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:
.1 a Company is newly established; or
.2 new ship types are to be added to an existing Document of Compliance, following verification that the
Company has a safety management system that meets the objectives of paragraph 1.2.3 of this Code,
provided the Company demonstrates plans to implement a safety management system meeting the full
requirements of this Code within the period of validity of the Interim Document of Compliance. Such an
Interim Document of Compliance should be issued for a period not exceeding 12 months by the
Administration or by an organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government. A copy of the Interim Document of Compliance
should be placed on board in order that the master of the ship, if so requested, may produce it for
verification by the Administration or by an organization recognized by the Administration or for the
purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the document is not
required to be authenticated or certified.
An Interim Safety Management Certificate may be issued:
.1 to new ships on delivery;
.2 when a Company takes on responsibility for the operation of a ship which is new to the Company; or
.3 when a ship changes flag. Such an Interim Safety Management Certificate should be issued for a period
not exceeding 6 months by the Administration or an organization recognized by the Administration or, at
the request of the Administration, by another Contracting Government.
An Administration or, at the request of the Administration, another Contracting Government may, in
special cases, extend the validity of an Interim Safety Management Certificate for a further period which
should not exceed 6 months from the date of expiry.
An Interim Safety Management Certificate may be issued following verification that:
.1 the Document of Compliance, or the Interim Document of Compliance, is relevant to the ship concerned;
.2 the safety management system provided by the Company for the ship concerned includes key elements of
this Code and has been assessed during the audit for issuance of the Document of Compliance or
demonstrated for issuance of the Interim Document of Compliance;
.3 the Company has planned the internal audit of the ship within three months;
.4 the master and officers are familiar with the safety management system and the planned arrangements for
its implementation;
.5 instructions, which have been identified as being essential, are provided prior to sailing; and
.6 relevant information on the safety management system has been given in a working language or
languages understood by the ships personnel.

14.2

14.3

14.4

15.

VERIFICATION

15.1

All verifications required by the provisions of this Code should be carried out in accordance with
procedures acceptable to the Administration, taking into account the guidelines developed by the
Organization*.
*: Refer to the Guidelines on implementation of the International Safety Management (ISM) Code by
Administrations adopted by the Organization by resolution. A.1022 (26)

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FORMS OF CERTIFICATES

16.1

The Document of Compliance, the Safety Management Certificate, the Interim Document of Compliance
and the Interim Safety Management Certificate should be drawn up in a form corresponding to the models
given in the appendix to this Code. If the language used is neither English nor French, the text should
include a translation into one of these languages.
16.2.1 In addition to the requirements of paragraph 13.3 the ship types indicated on the Document of Compliance
and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the
ships described in the safety managing system.
Additionally, Resolution A.1022 (26) - Guidelines for Implementation of ISM by Admin

Difference between ISM Code 1997 and ISM Code 2002

ISM 1997 13 Chapters
ISM 2002 16 Chapters
Chapters added:

14. Interim Certification

15. Verification
16. Forms of Certificates

Part A: Implementation (Chapters 1 12)

Part B: Certification and Verification (Chapters 13 16)

Difference between ISM Code 2002 and ISM Code 2010

(Underlined text is added / changed in the Contents of ISM 2010)
Foreword
Chapter IX Management for the safe operation of ships (SOLAS, 1974)
Resolution A.741 (18) as amended by MSC.104 (73), MSC.179 (79), MSC.195 (80), MSC.273 (85) ISM Code
Resolution A.1022 (26)

Guidelines on implementation of the ISM Code by Administrations

(Revoked A.913 (22) applicable in ISM Code 2002 on 1st July 2010)

MSC-MEPC.7/Circ.5

Guidelines for the operational implementation of the ISM Code by Companies

MSC-MEPC.7/Circ.6

Guidelines on the qualifications, training and experience necessary for undertaking

the role of the designated person under the provisions of the ISM Code

MSC-MEPC.7/Circ.7

Guidelines on near-miss reporting

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AMENDMENTS to the ISM Code 2002 effective 1st July 2010 incorporated in ISM Code 2010
Resolution MSC.273 (85) (adopted on 4 December 2008)
1. 1.1 Definitions:
1.1.10 "Major non-conformity" means an identifiable deviation that poses a serious threat to the safety of
personnel or the ship or a serious risk to the environment that requires immediate corrective action and
includes or the lack of effective and systematic implementation of a requirement of this Code.
2. 1.2 Objectives
1.2.2 Safety management objectives of the Company should, inter alia:
.2 establish safeguards against all identified risks; and
.2 assess all identified risks to its ships, personnel and the environment and establish appropriate
safeguards; and
3. 5 MASTER'S RESPONSIBILITY AND AUTHORITY
5.1 The Company should clearly define and document the master's responsibility with regard to:
.5 Periodically reviewing the safety management system and reporting its deficiencies to the shorebased management.
4. 7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS
The Company should establish procedures .. assigned to qualified personnel.
7 SHIPBOARD OPERATIONS
The Company should establish procedures, plans and instructions, including checklists as appropriate, for
key shipboard operations concerning the safety of the personnel, ship and protection of the environment.
The various tasks should be defined and assigned to qualified personnel.
5. 8 EMERGENCY PREPAREDNESS
8.1 The Company should establish procedures to shipboard situations.
8.1 The Company should identify potential emergency shipboard situations, and establish procedures to
respond to them.
6. 9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS
OCCURRENCES
9.2 The Company should establish procedures for the implementation of corrective action.
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9.2 The Company should establish procedures for the implementation of corrective action, including
measures intended to prevent recurrence.
7. 10 MAINTENANCE OF THE SHIP AND EQUIPMENT
10.3 The Company should establish procedures in its safety management system to identify equipment and
technical systems . technical systems that are not in continuous use.
8. 12 COMPANY VERIFICATION, REVIEW AND EVALUATION
12.1 The Company should carry .. the safety management system.
12.1 The Company should carry out internal safety audits on board and ashore at intervals not exceeding
twelve months to verify whether safety and pollution-prevention activities comply with the safety
management system. In exceptional circumstances, this interval may be exceeded by not more than three
months.
9. 12.2 The Company should periodically evaluate the efficiency of and, when needed, review effectiveness
of the safety management system in accordance with procedures established by the Company.

10. 13 CERTIFICATION AND PERIODICAL VERIFICATION

13.12 When the renewal verification is completed after the expiry date of the existing Safety Management
Certificate, the new Safety Management Certificate should be valid from the date of completion of the
renewal verification to a date not exceeding five years from the date of expiry of the existing Safety
Management Certificate.
13.13 If a renewal verification has been completed and a new Safety Management Certificate cannot be
issued or placed on board the ship before the expiry date of the existing certificate, the Administration or
organization recognized by the Administration may endorse the existing certificate and such a certificate
should be accepted as valid for a further period which should not exceed five months from the expiry date.
13.14 If a ship at the time when a Safety Management Certificate expires is not in a port in which it is to be
verified, the Administration may extend the period of validity of the Safety Management Certificate but this
extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in
which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No Safety
Management Certificate should be extended for a period of longer than three months, and the ship to which
an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue
of such extension to leave that port without having a new Safety Management Certificate. When the
renewal verification is completed, the new Safety Management Certificate should be valid to a date not
exceeding five years from the expiry date of the existing Safety Management Certificate before the
extension was granted.

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11. 14 INTERIM CERTIFICATION

14.4 An Interim Safety Management Certificate may be issued following verification that:
.3 the Company has planned the internal audit of the ship within three months;
12. 16 FORMS OF CERTIFICATES
The following new form is added after existing form of ENDORSEMENT FOR INTERMEDIATE
VERIFICATION AND ADDITIONAL VERIFICATION (IF REQUIRED):
Certificate No.
ENDORSEMENT WHERE THE RENEWAL VERIFICATION HAS BEEN
COMPLETED AND PART B 13.13 OF THE ISM CODE APPLIES
The ship complies with the relevant provisions of part B of the ISM Code, and the Certificate should, in
accordance with part B 13.13 of the ISM Code, be accepted as valid until ..
Signed ...............................................
(Signature of authorized official)
Place .................................................
Date ..................................................
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL
REACHING THE PORT OF VERIFICATION WHERE PART B 13.12
OF THE ISM CODE APPLIES OR FOR A PERIOD OF GRACE
WHERE PART B 13.14 OF THE ISM CODE APPLIES
This Certificate should, in accordance with part B 13.12 or part B 13.14 of the ISM Code, be accepted as valid
until ..
Signed ...............................................
(Signature of authorized official)
Place .................................................
Date ..................................................
(Seal or stamp of the authority, as appropriate)
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1. How will you ensure from your office that the ship you are joining is a safe ship (before joining)?
By checking DOC, SMC, SMS Manuals, Internal / External audits reports, PSC & Flag state deficiency reports.

2. What is the purpose of ISM?

To provide an international standard for the safe management and operation of ships and for pollution prevention

3. What are the functional requirements of the SMS?

Every Company should develop, implement and maintain a safety management system (SMS) which
includes the following functional requirements:
.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 this Code;
.5 procedures to prepare for and respond to emergency situations; and
.6 procedures for internal audits and management reviews
4. Oil in Water. What will you do?
1.

Prepare report as per ISM Ch.9 Report NCs, Accidents or hazardous occurrences

2.

Report to nearest coastal state as per SOLAS, MARPOL and MSA

(Refer ALRS Vol.1 Maritime Radio Stations or ITU List of Coast Stations).

The master or person in charge of the vessel involved in an incident must report details to:

the appropriate officer or government agency of the affected country; and

either:

the National Response Center (NRC) at 800-424-8802 (telex 892427),

the nearest Coast Guard Captain of the Port (COTP),
Coast Guard of EPA presdesignated OSC for the geographic area where the discharge occurs, or
if it is not possible to notify any of the above, reports may be made to the nearest Coast Guard unit,
provided that the NRC is notified as soon as possible.

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5. How does Company ensure compliance with ISM Code?

By conducting Internal / External audits.
6. What do you understand by Safety Management Manual?
It is the documentation used to describe and implement the Safety Management System (SMS).
7. What is difference between Internal and external audits? Who conducts them?
To check that the companies are carrying out all the regulations properly both on ship and on shore, audits
are carried out.
Audits are mainly divided into - Internal and External Audits.
A certificate is granted to the ship after successful completion of every survey.
The internal audits are carried out by the company itself. This is to ensure that all the on board practices
and methods are in accordance with the SMS.
The external audits are carried out by the classification bureau and a DOC is granted only if the
conditions are met satisfactorily.
8. Can onboard staff conduct the internal audit for ISM Code?
Yes, if documented in the Safety Management Manual.
(Code: 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.)
9. What do you understand by "Audit" ?
Audit means a process of systematic and independent verification, through the collection of objective
evidence, to determine whether the SMS complies with the requirements of the ISM Code and whether the SMS is
implemented effectively to achieve the Codes objectives.
Auditor means a person who is qualified and authorised to carry out ISM audits in accordance with the
requirements of PR10
10. What is the procedure for annual audits of DOC?
Annual audits to be carried out within 3 months of anniversary date of DOC.
1. Annual audit shall ensure that all Branch Offices are visited during period of validity of the DOC
The audit of the branch offices shall be agreed with the company.
The frequency of branch office audits shall be determined based on the nature and extent of the
activities undertaken by each branch office.
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2. If an additional Branch Office is included by the Company in its SMS during the period of validity of
the DOC, it shall be verified at the next scheduled verification.
The additional Branch Office shall be included in the DOC when the DOC is endorsed.
11. What is the purpose of SMS / DOC audit ?
Purpose of an audit is to ensure that:
(i) the SMS complies with the requirements of the ISM Code;
(ii) the SMS is being implemented effectively and in such a way as to ensure that the objectives of the ISM
Code are met.
12. Can an SMC audit be carried out whilst the vessel is in Dry-Dock?
No, since the vessel is not considered operational at that time.
13. What are the bare-bones of a S.M.S.?
The Code of Safe Working Practice
14. What are the bare-bones of the I.S.M. code?
The Safety Management System (S.M.S.)
15. Why was 1 July 2002 a critical date?
From 1 July 2002, all cargo ships and mobile offshore drilling units (MODUs) of 500 GT had to comply
with the requirements of the ISM Code.
On 1 July 1998, the ISM Code became mandatory under SOLAS and from that date it applied to passenger
ships, including passenger high-speed craft; and oil tankers, chemical tankers, gas carriers, bulk carriers
and cargo high-speed craft of 500 GT and above.
On 1 July 2002, for other cargo ships including general cargo ships and container ships and mobile
offshore drilling units of 500 GT and above.
16. On what basis is the DOC and SMC issued?
The Company must develop, implement and maintain a safety-management system (SMS), in accordance
with the functional requirements listed in the ISM Code.
This means there must be documentation on board the ship which outlines the procedures and policies
listed above.
The company must show the Administration or recognized organization assessing verification with the
Code that the policies and procedures are being implemented in a practical way, in order to gain the
Document of Compliance (DOC) and Safety Management Certificate (SMC).

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17. What is Risk Management

Life itself is fundamentally risky, and even if you stayed indoors all day, statistics inform us that more accidents
happen in the home than elsewhere! Humans learn to mitigate risks from the earliest age, parents teaching
their children that heat burns and traffic can kill. The sorts of risks that can be encountered aboard ship are
really just an advanced development of these basics.
If you understand risks, you can minimise their consequences or perhaps avoid them entirely, and this is behind
the principle of Risk Management. And if you have formal procedures for this, rather than relying on instinct, it
will be the most effective method of circumventing all the hazards you are likely to encounter.
If you are to properly manage a risk you need first of all to recognise that it exists, which requires a risk
assessment. This is best explained by a simple example of, say, a seaman wishing to undertake a task at
height. What could be simpler - requiring just the use of a ladder. But a proper risk assessment would
recognise that ladders aboard a moving ship are fundamentally hazardous and it would be necessary to lash
the ladder to prevent it from moving. In addition, the assessment would also conclude that to work at a height
may well require a lifeline, and that the work ought not to be done unaccompanied. It might also require
protective clothing and hard hats.
This may appear to be common sense, but such a risk assessment needs to be formally undertaken for any task
that involves hazards, and even to ascertain that there is no risk. Some might suggest that merely looking
before you leap is sufficient management of a potential risk, but experience (and analysis of many accidents)
have shown that a more formal approach, with written rules and procedures for potentially hazardous tasks
are much more effective at preventing accidents caused by people making wrong judgements, possibly on the
spur of the moment. The level of risk requires first to be identified and assessed, if proper precautions are to be
taken to keep people safe. It may not be possible to eliminate risk, but by understanding it, and employing safe
procedures, most risks will become manageable.
So the proper management of risk becomes an inherent part of any task aboard ship, whether it is assessing
how to use that ladder properly to work at height, to safely moor or unmoor the ship or to conduct a safe
navigational passage. Forethought, understanding of the hazards, obtaining the best possible information, and
use of the proper tools and the right procedures might all be thought of as important elements in the
management of risks.
18. As per ISM, how do you contact your company in case of an emergency?
1ST CONTACT DP OR ALTERNATE DP AS PER EMERGENCY CONTACT LIST
2ND SEND EMERGENCY REPORT FORM
3RD FOLLOW UP WITH SPECIFIC EMERGENCY REPORT FORM
4TH NCR FOR RECORD OF INVESTIGATION, CORRECTIVE ACTION TAKEN AND MEASURES TO
PREVENT REOCCURANCE
19. Who is responsible for the safety of the crew?
The Captain
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20. Who is responsible for the running costs and repairs to the ship?
The Owners
21. Who's signature goes on the health and safety policy on the ship?
The Chief Executive of the company
22. What is the main cause of accidents/pollution on a ship?
Human Error
23. Why is so important to have muster drills and debriefs on a ship?
To minimize accidents and prepare for emergencies on a ship
24. What pre-cautions while bunkering a ship (re-fuelling a ship)?
(i) Double up mooring ropes
(ii) Have someone man ready to shut off the fuel stop at the fuelling rig
(iii) Have someone ready to shut off the fuel stop on the ship
(iv) Have fire extinguishers handy
(v) Have an oil dispersant ready
(vi) Block freeing ports incase of spillage
(vii) Use Save-alls
(viii) Have no smoking signs (placards) posted
(ix) Make sure no hot work to be carried out
(x) No Naked flames
(xi) Make sure you have adequate ventilation
(xii) Make sure you know the amount of fuel you need and slow it down the last 100 litres
25. What are your responsibilities if you have a fuel spill?
To alert the Coastguard and then follow the procedures in the S.O.P.E.P. manual
26. The Coastguard is responsible for oil pollution monitoring, what if you had a fuel spill?
In the S.O.P.E.P. manual you would have a list of authorities you are required to report too
27. What is a D.P. and who regards this person as important?
A Designated Person and the M.C.A regards information from him with the highest esteem
28. A D.P. what level of management can he approach?
Straight to the top (Chief Executive)
29. What does a company receive when it achieves a successful audit?
A D.O.C. (Document of Compliance)
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30. What documents are required to get a D.O.C.?

An S.M.S. (Safety and Management System)
31. How long does a D.O.C. last for?
5 years plus/minus 3 months (it also has an annual inspection)
32. How long does a S.M.S. last for?
5 years with an inspection every 2-3 years to keep it valid
33. What ships does the I.S.M. apply to?
From 2002 all ships over 500grt
34. If under 500grt do they have to use the I.S.M. code?
No, they use it voluntary, but the M.C.A wants everyone to use it
35. What is the corner stone of good safety management?
Commitment from the head of the company (Chief Executive)
36. Who should define and document the responsibility in authority of shipboard personnel?
The Company
37. What document will the company supply to all their ships under its management?
The Safety and Management manual (Health & Safety Policy)
38. How do you report any accident(s) and non-conformities?
By reporting to the skipper/safety officer, to the D.P. ashore or by V.H.F. to the M.C.A. /M.A.I.B. on an
I.R.F. as well as to the company
39. What size of ships should voluntarily use the I.S.M. code?
Ships between 150grt and 500grt
40. What two statutory instruments do you require for an application for an I.S.M. code?
D.O.C. & S.M.C. (Document of Compliance & Safety Management Certificate)
41. When will a D.O.C. be issued?
When a company demonstrates plans to implement a S.M.S. meeting the full requirements of the code

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42. What will be issued to each ship after a successful onboard audit of the S.M.S.?
An S.M.C.
43. What should be the safety management objectives of the company?
(i) Provide safe ship operations and safe working practice
(ii) Do a risk assessment on the vessel
(iii) Keep improving safety standards & skills of personnel onboard & ashore (Musters and drills)
44. What should the safety management system ensure?
Its should ensure compliance with rules/regs and all codes/guidelines and standards recommended by
I.M.O. /M.C.A. and classification societies
45. What should a company do to implement/maintain and develop an S.M.S.?
(i) A safety and environmental policy
(ii) Instruction on procedures for safe operation of ships and protection of the environment
(iii) Defined levels of authority and lines of communication between shore/ship personnel
(iv) Reporting procedures for accidents and defects of the ship
(v) Musters and drills
(vi) Internal audits
46. What is the master's responsibility?
(i) Carrying out the safety and pollution control policy of the company
(ii) The master has the authority to take any steps and issue any orders for the preservation of live and
safety of the ship
47. What should provide the required training in support of the S.M.S.?
The Company
48. Who is responsible for correcting defects on a ship?
The Company
49. What action is taken to review the companies/ships S.M.S.?
Internal audits
50. Where are the D.O.C. / S.M.C. kept at?
Its kept onboard the vessel
51. Does the M.C.A. have power to impound a ship if it has defects or does not have a D.O.C.?
Yes the ship can be impounded for both
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