ISM

Question 1

What is the ISM code?

Answer 1

The International Safety Management (ISM) code was proposed by the IMO after the tragedy of the Herald of Free Enterprise in 1987. Adopted in 1995 under SOLAS as chapter IX and came into effect in 2002. It is a framework code which sets minimum international standard for the safe management and operation of ships. Applies to all passenger vessels regardless of size. All other vessels over 500GT.
The vessel must have an appointed safety management company, who in turn will appoint a designated person ashore. The safety management company will define a safety and environmental protection policy which outlines the objectives of the company and how they will be achieved. The means by which the policy will be implemented is the Safety Management System. The master has an obligation to implement the Safety Management System onboard and retains overriding authority.
The auditing procedure consists of a systematic observation of the implementation of the safety management system against the company policies and the flag state requirements. The vessel will be audited annually by the company and will undergo initial, intermediate and renewal audits form the flag state. The company will be audited annually by flag state. Upon satisfactory compliance, the company will hold a document of compliance. The Vessel will hold a safety management certificate.

Question 2

What does ISM mean to you?

Answer 2

It is an extremely effective and thorough system to ensure that people are aware of their responsibilities, the proper procedures are followed, that any discrepancies or deficiencies in that regard are either raised through appropriate lines of communication or identified during the audit process, leading to appropriate corrective action, thus preventing human injury or loss of life, pollution of the marine environment or damage to marine property. This process provides an element of satisfaction which contributes towards the development of safety culture onboard.

Question 3

What is an SMS?

Answer 3

A structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy and ensure such policy is maintained at all levels of the organisation both onboard as well as shore based. It should include:
• procedures to ensure compliance with relevant international and flag State legislation
• defined levels of authority and lines of communication between personnel
• procedures for reporting accidents and non-conformities
• procedures to prepare for and respond to emergency situations
• procedures for internal audits and management reviews

Question 4

What is contained in a safety and environmental protection policy?

Answer 4

A policy which sets out the objectives of the Safety management company and describes how the following objectives will be achieved.
• provide for safe practices in ship operation and a safe working environment;
• assess all identified risks and establish appropriate safeguards;
• continuously improve safety management skills of personnel ashore and aboard ships

Question 5

What are the Responsibilities of the Master under ISM?

Answer 5

• Implementing the safety and environmental protection policy of the Company;
• Motivating the crew in the observation of that policy; Lead by example.
• Issuing appropriate orders and instructions in a clear and simple manner; (Standing orders)
• Observe any requirements
• Reporting its deficiencies to the shore-based management.
• Periodically reviewing the safety management system (once per year)

Question 6

How would you motivate the crew?

Answer 6

• Lead by example.
• Be fully conversant with the SMS
• Ensure that the relevant personnel are fulfilling their duties by conducting a sampling process
• Provide guidance and assistance where necessary
• Carry out inspections and walkarounds
• Put safety in the centre of all activities to be undertaken.
• Participate in drills and training.
• Allow personnel the room to carry out their duties, not micromanage.

Question 7

What are the responsibilities of the company under ISM?

Answer 7

• 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

Question 8

What are the shoreside considerations under the ISM code?

Answer 8

DPA must ensure that the SMS meets the requirement of the ISM code. Must take into account the following requirements:
• Management company policies are met
• Flag state requirements (Also prescribed by the ISM code)
• Classification society requirements
• Underwriter requirements. Insurance.
• Port state control. Requirements of the sovereign state of the relevant territorial waters
• Maritime Accident Investigation Branch

Question 9

What is the role of the DPA?

Answer 9

A person ashore having direct access to the highest level of management acting as a link between the company and those on board. Responsible for monitoring the safety and pollution prevention aspects of the operation of each ship and to ensure that adequate resources and shore-based support are applied, as required. The contact details of the DPA must be made available.

Question 10

What are Classification societies? Which classification societies are recognised by the UK?

Answer 10

A classification society is a non-governmental organization that establishes technical standards for the construction and operation of ships and offshore structures. Classification societies certify that the construction of a vessel comply with relevant standards and carry out regular surveys in service to ensure continuing compliance. 
•	Lloyds
•	Bureau Veritas
•	Der Norske Veritas Germanischer Lloyd
•	RINA
•	NK Class
•	American Bureau of shipping

Question 11

What is the relation between the classification society and the flag state?

Answer 11

Classification societies can issue certificates on behalf of the flag state if the standards are equivalent to those of the flag state.

Question 12

Why would you get certified by class?

Answer 12

TBD

Question 13

What are the main international conventions?

Answer 13

SOLAS, MARPOL, STCW, Loadline, Tonnage, MLC

Question 14

What is the difference between flag state and port state?

Answer 14

enforces laws and regulations to ensure the safety of life at sea, protection of the marine environment, and compliance with minimum international standards.
• Responsible to carry out surveys and audits of vessels
• Responsible to investigate accidents and incidents
Port state. Representative of the sovereign state in which territory the vessel is in. Uses local laws to enforce minimum international standards as defined by the convention.
• Responsible for carrying out inspections to enforce minimum international standards
• Withing the territorial waters there may be additional laws in addition to the minimum international standards

Question 15

What underwriting is compulsory?

Answer 15

• 3rd party liability. Under the P&I convention. Liability insurance to be able to pay 3rd parties.
• Bunker oil pollution damage insurance. Under Bunkers convention. Compulsory for vessels over 1000 GT.
• Wreck removal insurance. Under Nairobi wreck removal convention. All vessels over 300 GT.
• Ship owner liability under MLC
• Seafarer repatriation under MLC

Question 16

What are P&I clubs?

Answer 16

A Protection and Indemnity or P&I club is a mutual or cooperative association of shipowners and charterers, owned and controlled by the insured shipowner or charterer “Members”. They operate on a non-profit mutual basis, that is to say the Members pool their resources together in order to meet losses suffered by each individual Member.

Question 17

What is the MAIB?

Answer 17

The Marine Accident Investigation Branch (MAIB) is a UK government organisation, authorised to investigate all maritime accidents in UK waters and accidents involving UK registered ships worldwide. It´s objectives are:
• Cary out investigations to determine the cause of marine accidents
• Publish reports which include recommendations on improving safety
• Increase awareness as to how accidents happen, preventing reocurrance
• Improve national and local cooperation on marine accident investigations
• Not for apportioning blame or liability but to establish facts. (Mature organisation)

Question 18

How do you report to MAIB? What is contained on the form?

Answer 18

Fill out the ARF. Give them a call.
•	Contact details/ Vessel details / Company details. 
•	Occurrence details and description
•	Voyage data
•	Consequences
•	Injuries and fatalities

Question 19

What is the audit procedure for ISM?

Answer 19

An audit is a systematic observation of the SMS implementation against agreed flag state and company defined standard.
The Company should carry out internal safety audits on board and ashore at intervals not exceeding twelve months to verify the implementation of the SMS
The flag state administration must carry out initial, renewal and Intermediate verification audits between the 2nd and 3rd anniversary.

Question 20

What is the audit procedure when initially implementing the ISM?

Answer 20

Prior to entering service, an initial survey is carried out by flag state administration. Upon confirming that a safety management company has been appointed and a SMS is in place, flag state will issue an interim safety management certificate valid for nor more than 6 months.
Following a minimum period of 3 months, an initial audit is undertaken by flag state to verify implementation of the SMS. Upon satisfactory completion of the audit, flag state will issue a safety management certificate valid for 5 years.

Question 21

How would you prepare for an ISM audit onboard?

Answer 21

• Internal audits by safety management company
• Ensure certificates are in order
• Ensure planned maintenance is up to date
• Ensure Safety management System is well implemented
• Carry out drills and training as appropriate
• Ensure paperwork is up to date

Question 22

What would you expect during an ISM audit?

Answer 22

• Surveyor/Auditor will come onboard for a day
• Representative of the safety management company sometimes would be present
• Check vessel certification is in order
• Check crew certification is in order and minimum safe manning is met
• Ensure the SMS is implemented effectively
• Ensure planned maintenance of equipment
• Check paperwork is in order (Official logbook, crew lists)
• Check Nautical charts and publications are in compliance with carriage requirements and are updated
• Assess level of crew knowledge in regard to safety. (Interview junior crewmembers)
• Ask the crew to carry out a drill

Question 23

How can the findings during an ISM/ISPS/MLC audit be classified?

Answer 23

Observation. An observation means a statement of fact made during a safety management audit and substantiated by objective evidence. Requires minimal action to rectify.
Non-conformity. A non-conformity means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement of the ISM Code. A non-conformity should be normally closed out within three months from the date of the audit.
Major non-conformity. A major non-conformity means an identifiable deviation which poses a serious threat to the safety of personnel, the ship or to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of the ISM Code.
A deficiency is a fault with the vessel, equipment or paperwork.

Question 24

What Certification is required by the ISM code?

Answer 24

Document of Compliance. Serves as evidence that the company is capable of complying with the requirements of the ISM code. Issued by the flag state administration. Valid for a period specified by the Administration which should not exceed five years. Subject to annual verification by the Administration. Valid only for the ship types explicitly indicated on the document. A copy of the document of compliance should be kept onboard the ship.
Safety Management Certificate. 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 the ISM code. Issued to a ship for a period which should not exceed five years by the Administration. subject to at least one intermediate verification by the Administration between the second and third anniversary date of the Certificate
All other certificates must be valid

Question 25

What is meant by the Master´s overriding authority under ISM?

Answer 25

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

Question 26

What is considered critical equipment?

Answer 26

Equipment, the single failure of which will result in harm to somebody on the ship or pollution of the marine environment.

Question 27

What does port state control look for?

Answer 27

General inspection of the vessel to ensure compliance with international standards and conventions
Concentrated Inspection Campaign from the Paris Memorandum of Understanding

Question 28

What is the Paris MoU?

Answer 28

Agreement between 27 maritime authorities to implement a harmonized system of Port State Control. Consists of commitments and relevant international conventions, inspection procedures, exchange of information.

Question 29

Why are drills conducted?

Answer 29

• Emergency signals are understood
• Knowledge of Muster stations
• Crew trained in the use of equipment
• Crew know their emergency duties
• Equipment is tested and maintained
• Limitations are identified.

Question 30

What drills are required at what intervals? Who must attend?

Answer 30

SOLAS Ch III Reg. 19. Also MGN 71
Weekly
•	General alarm
•	Man overboard (On passenger ships)
•	Fire and abandon ship (On passenger ships)
•	WTD door tests (On passenger ships)
Monthly
•	Fire and abandon ship
•	Man overboard (Preferable include launching the boat)
•	Rescue boat 
2-monthly
•	Rescue from enclosed spaces
•	SOLAS training manual LSA/FFE drill
3-monthly
•	Man overboard (rescue boat away)
•	Emergency steering
•	Security (Bomb search, stowaway search, contraband, security levels)
4-monthly
•	Davit launched liferaft training
6-monthly
•	Freefall lifeboat
•	Shoreside security
Annual
•	SSAS

If more than 25% of the crew change, within 24 hours.
All crew must attend at least 1 fire and abandon ship drill every month.
Other drills required
• Damage control
• Helicopter operations
• Oils spill response

Question 31

What is the Lifeboat maintenance required?

Answer 31

Weekly
•	Engine run for 3 minutes
•	Broken from it´s stowed position
•	Check steering
•	Check batteries
•	Check general condition
•	Reset hooks (Check Fall preventer devices)
Monthly
•	General condition
•	Water 
•	Fuel
•	Small gear
3-monthly
•	Launched
MGN 560

Question 32

What should be included in a passenger safety briefing?

Answer 32

On a ship engaged on a voyage where passengers are scheduled to be onboard for more than 24 hours, musters of newly-embarked passengers shall take place prior to or immediately upon departure. Passengers shall be instructed in the use of the lifejackets and the action to take in an emergency

Question 33

What are the elements of good practice when conducting a drill?

Answer 33

• Drills should be held on time, advertised and adjusted to minimise disruption
• Varied in their application and designed to engage not alienate
• All types of equipment should be tested
• Consult the safety training manual and SMS
• Hold debrief at the end of the drill
• Record drills in the official log book and compile a drill report

Question 34

Describe how you would conduct an Abandon ship drill

Answer 34

Summoning of passengers and crew to muster stations with the general emergency alarm followed by drill announcement on the public address Additionally:
• reporting to stations and preparing for the duties described in the muster list;
• checking that passengers and crew are suitably dressed;
• checking that lifejackets are correctly donned;
• liferaft launching operation
• a mock search and rescue of passengers trapped in their staterooms; and
• instruction in the use of radio life-saving appliances.
• Emergency lighting for mustering and abandonment shall be tested at each abandon ship drill.

Question 35

Describe how you would conduct a fire drill

Answer 35

Fire drills shall be planned in such a way that due consideration is given to regular practice in the various emergencies that may occur. Each fire drill shall include-
• reporting to stations and preparing for the duties;
• starting of a fire pump, using at least the two required jets of water to show that the system is in proper working order;
• checking of fireman’s outfit and other personal rescue equipment;
• checking of relevant communication equipment;
• checking the operation of watertight doors, fire doors, fire dampers and main inlets and outlets of ventilation systems in the drill area;
• checking the necessary arrangements for subsequent abandoning of the ship.
The equipment used during drills shall immediately be brought back to its fully operational condition and any faults and defects discovered during the drills shall be remedied as soon as possible.

Question 36

Describe how you would conduct an enclosed space entry and rescue drill

Answer 36

Enclosed space entry and rescue drills shall be planned and conducted in a safe manner Each enclosed space entry and rescue drill shall include:
• checking and use of personal protective equipment required for entry;
• checking and use of communication equipment and procedures; checking and use of instruments for measuring the atmosphere in enclosed spaces;
• checking and use of rescue equipment and procedures; and
• instructions in first aid and resuscitation techniques.

Question 37

What are the contents of a SOLAS Safety training manual?

Answer 37

instructions and information on
the life-saving appliances carried, personal
protective equipment and its location, in addition
to information and instructions on survival,
hazards of exposure, methods of retrieval and
emergency repair of life-saving appliances

Question 38

Give examples of Marine casualties

Answer 38

• The death of, or serious injury to a person.
• The loss of a person from a ship.
• The loss, presumed loss or abandonment of a ship.
• At sea, a breakdown of the ship, requiring towage.
• The stranding or disabling of a ship, or the involvement of a ship in a collision.
• Material damage to a ship.
• Material damage to marine infrastructure external of a ship
• The ship being unfit to proceed, or requires flag state approval or a condition of class before it may proceed.
• Pollution, caused by damage to a ship or ships.

Question 39

Give examples of marine incidents

Answer 39

• Any event that had the potential to result in a serious injury.
• A person overboard who was recovered without serious injury.
• Close-quarters situations where urgent action was required to avoid collision.
• An unintended temporary grounding on soft mud, where there was no risk of stranding or material damage.
• A fire that did not result in material damage.
• Snagging of fishing gear resulting in a dangerous heel