ISM

Question 1

How did ISM come into law?

Answer 1

Under the SI 1998 No.1561 Merchant Shipping (International Safety Management (ISM) Code) Regulations.

Question 2

Which vessel was the catalyst for the development of the ISM Code?

Answer 2

The Herald of Free Enterprise.

The ferry that was crossing from Holland to the Uk and left the bow door open and leading to her capsize.
Killed 191 passengers and crew.

Question 3

What is the Aim of the ISM code?

Answer 3

• To support and encourage the development of a safety culture within the shipping industry.
• Whilst improving compliance with the requirements of the international CONVENTIONS!

Question 4

The first version of the ISM code was focused around which two concepts?

Answer 4

1. Carry a ships operations booklet containing instructions and information for safe and efficient operation.
2. DPA - to oversea and ensure proper provisions are made so that the requirements of the Booklet are being complied with.

Question 5

What chapter is ISM in SOLAS?

Answer 5

Chapter IX - Management For the safe operation of ships.

Question 6

What are the 6 functional requirements of ISM?

Answer 6

S O C R E M

1. Safety and environmental policy.
2. Operational procedures
3. Communication lines via hierarchy
4. Reporting procedures for non-conformity, accidents or near misses
5. Emergency procedures
6. Management review and audit procedures.

Question 7

How many sections in the ISM Code?

Answer 7

16 sections:
• Safety and environmental Policy.
• Company Responsibilities and authority
• Designated persons.
• Masters responsibility and authority
• Development of plans for shipboard operations.
• Emergency Preparedness
• Reports and Analysis of non-conformities, accidents and hazardous occurrences.
• Maintenance of the ship and equipment.

Question 8

What are the Masters responsibilities and authority regarding ISM?

Answer 8

I M O V R

1. Implement the safety and environmental policy.
2. Motivating the crew through drills, training and table tops.
3. Order in clear, concise and fair manner.
4. Verify the ISM requirements are being followed.
5. Review the SMS and report deficiencies.

Question 9

What is the difference Between an audit, an inspection and a survey?

Answer 9

An Audit focuses on the past!
Detects faults, focuses on operations, system operation and documentation and has the SMS been followed and maintained.

An Inspection focuses on the present!
Is a check of physical conditions of items, such as life boats, fire extinguishers! Verifying that at present the equipment, systems and people onboard are all in order.

A Survey focuses on the future!
Ensuring that the equipment, system operations and certification onboard will be compliant for the foreseeable future.

Question 10

What is the name of the policy that the company establishes within the SMS?

Answer 10

Safety and Environmental Protection Policy.

Question 11

Who can suspend or cancel a DOC or SMC?

Answer 11

Only the MCA can!
When a major non-conformity(NC) has been Identified the MCA may either suspend or cancel the DOC and require such a certificate to be surrendered.

Question 12

Define a Major Non-Conformity?

Answer 12

It 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.

In short, it’s something that identifies as an immediate hazard to people property and the environment.

If a vessel is detained, it is physically blocked from moving.
If a vessel is arrested, it’s a block on the financial assets.

Question 13

Define a Non-Conformity?

Answer 13

Means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement!

Example: like not being able to carry out a drill.

Question 14

What does SMS stand for and what is it?

Answer 14

Safety Management System.
It is a structured and documented system enabling company personnel to implement effectively the company safety and environmental policy.

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.

Question 15

Who does ISM apply to?

Answer 15

• All passenger ships.
• All cargo ships of 500 GT and above.

Question 16

Why is there an ISM Code?

Answer 16

The origins of the ISM Code go back, internationally, to the late 1980s when there was mounting concern about poor management standards in shipping.

The tragic loss of the Herald of Free Enterprise in 1987 was a catalyst in this process.

Question 17

What is a Document of Compliance(DOC)?

Answer 17

A Document of Compliance (DOC) will be issued to a Company when the shore-side aspects of the SMS are fully compliant with the requirements of the ISM Code. The DOC is specific to the ship type(s) operated by the Company and for which the SMS is implemented at the time of audit.

A copy of the DOC is kept on board(does not need to be certified), while the original is kept with the shore side management company.

Question 18

What is an SMC?

Answer 18

Following a successful audit an SMC will be issued to each individual ship provided that the Company holds a valid DOC. A copy of each SMC should be retained in the Company’s office records, the original being placed on board and retained with all other statutory certificates.

SMC is Valid for 5 years and subject to an intermediate survey.

Question 19

ISSUE OF INTERIM DOC AND SMC

Answer 19

An interim DOC may be issued to facilitate initial implementation of the Code when:

• A Company is newly established; or
• New ship types are to be added to an existing DOC (as described above).

An interim DOC, valid for a maximum of 12 months, may be issued providing a Company can demonstrate its SMS meets the objectives of the ISM Code. The Company will need to prove that measures are in place to implement the full requirements of the ISM Code within the period of validity of the interim DOC.

An interim SMC may be issued:

• • To new ships on delivery;*
• • When a Company takes on responsibility for the operation of a ship which is new to the Company; or*
• • When a ship changes flag.*

An interim SMC, valid for not more than six months. In special circumstances the interim SMC may be extended for a further six months. This is only to be done in consultation with MCA HQ. When an interim SMC is extended, the full-term SMC should be dated from the expiry of the first interim certificate.

Question 20

What are the sections of ISM?

Answer 20

1 General

• 1.1 Definitions*
• 1.2 Objectives*
• 1.3 Application*
• 1.4 Functional requirements for a safety management system (SMS)*

2 Safety and environmental protection policy

3 Company responsibilities and authority

4 Designated person(s)

5 Master’s responsibility and authority

6 Resources and personnel

7 Development of plans for shipboard operations

8 Emergency preparedness

9 Reports and analysis of non-conformities, accidents and hazardous occurrences

10 Maintenance of the ship and equipment

11 Documentation

12 Company verification, review and evaluation

13 Certification and Periodical Verification

14 Interim Certification

15 Verification

16 Forms of Certificate

Question 21

Define Objective Evidence?

Answer 21

means quantitative or qualitative information, records or statements of fact pertaining to 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.

Question 22

Define Designated Persons Ashore (DPA)?

Answer 22

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.

Question 23

What is Emergency prepareness with regards to ISM?

Answer 23

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

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

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

Question 24

Anytime a piece of critical equipment fails, we will raise a non conformity!

Question 25

Anytime a piece of Critical Equipment fails, what would be our priority with regards to ISM compliance?

Answer 25

Once we’ve dealt with the matter if needed, we then raise a Non-conformity with management.

Question 26

What is Safety Culture?

Answer 26

The Code aims to support and encourage the developement of a safety culture within the shipping industry whilst improving compliance with the requirements of international conventions.

The code requires that companies establish safety and pollution prevention objectives and develope, implement and maintain a SMS and a systematic approach to the safe management of ships by those responsible, both ashore and afloat.