ISM OBJECTIVE

 Safety of life at Sea (Prevention of the human injury and Loss of Life)
 Safety of the ship
 Protection of the marine environment.
 Reduce chance of human error.

Tell me about ISM code?

 International management code for the safe operation of ships & for
Pollution prevention.
 Under the ISM code the company should setup a safety management
system for all ships.
 Provide for safe practices in ship operation and a safe working
environment.
 Assess all identified risks to its ships, personnel and the environment
and establish appropriate safeguards.
 Continuously improve safety management skills of personal ashore
and aboard ships, including preparing for emergency related both to
safety and Environment protection.
It applicable to
 All Passenger ships domestic or international voyage.
 Cargo ships 500 GT and above on international voyage.
 Domestic cargo ships in categorised water A and B
 All MODUS domestic or international voyage.

SMS

 Safety management system means a structured and documented system

enabling company personal to implement effectively the company safety and
Environment protection policy.

 The safety management system (SMS) therefore ensures that each and every
ship comply with the mandatory safety rules and regulations, and follow the
codes, guidelines, and standards recommended by the IMO, classification
societies, and concerned maritime organizations.

The six functional requirements of SMS are

 Safety and environmental protection policy.
 Operational procedure for routine jobs.
 Communication line hierarchy of the company.
 Reporting procedures for accident and nonconformities.
 Management reviews and Audit procedures.
An SMS is divided into sections for easy reference. They are:
1. General
2. Safety and environmental-Protection policy.
3. Company responsibilities & Authority
4. Designated person(s)
5. Master’s responsibilities and authority
6. Resources and personnel
7. Shipboard Operations.
8. Emergency preparedness
9. Reports and analysis of non-conformities, accident 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 certificates.

SMC- DOC
An interim document of compliance may be issued to
1. A company is newly established or,
2. New ship types are to be added to an existing document of compliance,

A Document of Compliance (DOC) will be issued to a Company when the shoreside aspects
of the SMS are fully compliant with the requirements of the ISM Code.

Interim document of compliance should be issued for period not Exceeding 12

months.

1. The DOC or interim DOC is relevant to that ship.

2. Key elements of the ISM Code have been included in the shipboard SMS and
have been assessed during the audit of the Company’s SMS.
3. The master and officers are familiar with the SMS and arrangements for its
implementation.
4. Instructions identified as being essential have been provided prior to sailing.
5. There are plans in place for the Company to carry out an internal audit of the
ship within three months.
6. Relevant information on the SMS is given in a working language understood
by the ship’s personnel.

Interim safety management certificate issued

1. To new ships on delivery.
2. When company takes on responsibility for operation of a ship which is new to the
company (management change)
3. When a ship changes flag.
4. Laid up ships.
  Interim safety management certificate should be issued for a period not
exceeding 6 months. For interim safety management certificate, the document
of compliance or the interim document of compliance is required.
 A ship undergoes initial audit with interim SMC and it must fulfil the entire
requirements to comply the SMS based on ISM code to get the main SMC.
 The company has planned the internal audit of the Ship within the three
months.
 In between 3-6 months MCA surveyor will be invited on ship and initial
Inspection is carry out thoroughly and confirming that vessel is complying
SMS procedure. And issue Full time SMC certificate valid for 5 years.

1. Interim Verification
2. Initial Verification by MCA or RO if vessel in EAS scheme.
3. Annual Audit by Company First year and Fourth Year.
4. Intermediate verification between 2nd & 3rd anniversary of the issue of SMC.
5. Renewal Verification
6. Additional Verification (Clear ground, require an additional verification to
check if SMS still function effectively)

C/o responsibility

 Safety of crew and ship including its equipment’s.

 Safe Loading, Discharging & care of cargo in transit.
 Maintenance of ship & its equipment’s as per PMS.
 Completing familiarization of newly joined crew member.
 Reporting of any defects or any non-conformities (NCs).
 Carry out risk assessment before assigning any job to ship's crew.
 Compliance with SMS procedures.

How will you implement on board?

1. Read the SMS manual and sign on joining.

2. Lead by example.
3. Have regular safety meetings.
4. Check safety officer and representative records.
5. Safety video
6. Safety quiz
7. PMS shakes
8. Check gally hygiene
9. Placards displayed
10.Permit to work issued
11.Through accommodation cleanliness
12.Training drills
 13.Naming shamming board
14.Near miss box
15.Health surveillance
16.Noise
17.hours of rest
18.Food and water

Master responsibility under ISM

1. implement the safety and environment protection policy -P
2. motivate the crew to follow the policy- M
3. give clear and simple orders- C
4. verify specific requirements of SMS are being met- V
5. periodically review SMS and reports accidents/NCs- R
6. master must familiar with overriding authority.

ISM AUDIT

You have joined vessel and how will you come to know that your vessel is
complying with ism?
  Ship must have valid DOC copy and Original SMC.
 By verifying that SMS is updated and being implemented.
 By checking last audit report and confirming if any findings than it’s been
rectified.
 By checking all records/documentation related to ISM i.e. crew
familiarization, Drills & Exercises, PMS, Master's SMS reviews etc.

What are the certificates associated with ism?

 ISM DOC
 ISM SMC

Master overriding authority under ISM

 The master has the overriding authority and the responsibility to make
decisions with respect to safety and pollution prevention and to the
request company assistance as maybe necessary.

DPA responsibility.
 Safety Operation of the ship- S
 Provide link between ship/Shore. - P
 Access to highest authority- A
 Monitor ships and pollution prevention. -M
 Support shore-based resources. -S

company responsibility under ISM?

1. Vessel Manned with Qualified officers.

2. Undertake Health surveillance of the crew.
3. Maintain ship as per National and international regulations (setup PMS).
4. Provide resources & support to the master and ship, appoint DPA.
5. Provide training to the crew.
6. Arrange for survey and audits.

Emergency preparedness
The company should
  Establish procedures to identify, describe and respond to potential
emergency shipboard situations.
 Establish programs for drills and exercises to prepare for
emergency actions.
 Ensure that shore management can respond at any time to
emergencies involving its ships.

Planned Maintenance Schedule

The company should ensure that
 The ship is maintained as per relevant rules.
 Regular inspections are held.
 Any non-conformity is respond & corrective action is taken.
 The ship’s routine operational maintenance is carried out.
 Records of these activities are maintained.

 Observation: An observation means a statement of fact made during a safety

management audit and substantiated by objective evidence.

 Non conformity: A non-conformity means an observed situation where

objective evidence indicates the non-fulfillment of a specified requirement of
the ISM code. A non-conformity should normally be 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 actions.

What is the procedure to change a SMS?

 Fill the document change form detailing what changes need to be made.
 Send that to the company.
 Company will make the necessary changes.
 Issue new pages and also send the ship an Amendment number.
 Once you receive the changes, update your SMS and also update the
amendment log.
 Discuss the changes with ship staff in next safety meeting.
 MCA have to be informed about changes in the next Audit.
Masters annual review.

 As per the ISM code 5.1.5 under the Master responsibility is Periodically
review the safety management system and reporting its deficiencies to the
shore- based management.

How does ISM support the Chief Officer?

 ISM provides guidelines and procedures for risk assessment, helping the
Chief Officer to effectively identify to ensure the safety of the vessel, crew,
and cargo.
 The Chief Officer, with the support of ISM guidelines, ensures that the crew is
adequately trained in emergency procedures and that drills are regularly
conducted.
 ISM provides guidelines for record-keeping, facilitating compliance with
regulatory requirements.
 The Chief Officer, with ISM's support, conducts regular audits and reviews of
safety procedures and practices to identify areas for improvement.
 The Chief Officer, with the support of ISM guidelines maintain the records of
the hours of rest records, Work permits, daily routine job checklist.

How would you change something? DPA not interested?

Company SMS does not specify the period of validity of Checklist in above case.
Ship on a new operation, work scope not covered in SMS. How will you proceed.

Actions. – Risk Assessment carried out, NC against company, SMS procedure to be

changed.

Intermediate survey of SMC. What is the window period for Audit.

 The intermediate SMC verification must be carried out between the 2nd and
3rd anniversary dates of the SMC. the intermediate SMC verification is not carried out
within the specified window the relevant certificate (SMC) becomes invalid. When
the verification is subsequently carried out, a major non-conformity needs to be raised
which can be downgraded on successful completion of the verification. An additional
audit would then need to be carried out within 3 months to close out the downgraded
major non conformity.

ISM certificates Validity and extensions.

The audit for the renewal of a DOC or SMC should be carried out prior to the expiry
date of the existing certificates. If the renewal audit is conducted within three months
of the expiry date of the existing certificate, the new certificate will run for a period
of no more than five years from the date of expiry of the existing certificate. In this
case a certificate may appear to have been issued with a validity of more than five
years.

If the audit is conducted more than three months prior to the expiry date of
the existing DOC or SMC then the new certificate will be valid for a period of no
more than five years from the date of completion of the audit.
The Company should carry out internal safety audits on board and ashore at
intervals not exceeding 12 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 3 months.

Annual Audit of DOC

The annual DOC verification must be carried out within a six-month window that falls three
months either side of the anniversary date of the DOC. If the annual DOC verification is not
carried out within the specified window, the relevant certificate (DOC) becomes invalid.

The audit for the renewal of a DOC or SMC should be carried out prior to the expiry
date of the existing certificates.

DOC Content
 Name of the State (Authority of government)
 Name of the Person or organization authorized
 Name & Address of the company
 Company identification number
 Type of the ship
 Completion date of verification
 DOC issue date
 Expiry date
 Place of issue
Endorsement for annual verification
 1st Annual verification (Signature of the authorized official, Place, Date)
 2nd Annual Verification (Signature of the authorized official, Place, Date)
 3rd Annual Verification (Signature of the authorized official, Place, Date)
 4th Annual Verification (Signature of the authorized official, Place, Date)

How you would review your SMS as a Master.

 The Master shall carry out review of the safety management system on board with
inputs from the shipboard management team.

This includes:
  Review the on-board management system for relevance and effectiveness.

 Review any third-party audit/ inspection reports and make any comments that are
appropriate.

 Review safety meetings, assess their value to the SMS and, if appropriate, make
suggestions for improvement.

 Comment on safety and vessel operations generally as influenced by the SMS.

 Comment on defects and deficiencies and progress on corrective actions.

 Comment on accidents and incidents.

 Crew performance and motivation.

 Also, it is advisable that you may explain your company procedure in reviewing your
company SMS.

Why PMS is important onboard ship?

 A planned maintenance system on ships is mandatory according to the International

Safety Management Code (ISM). An effective planned maintenance system helps
meet safety and environmental objectives laid out in the ISM Code.

 A planned maintenance system allows shipowners and operators to plan, perform and
document vessel maintenance at intervals complying with Class, Flag and
manufacturer requirements. The objective is to ensure safe and reliable vessel
operations, including equipment, in addition to compliance with all applicable
regulations.

Vessel in mid Sea, away from Hazards, 3rd Officer reported, Emergency fire pump Critical
equipment) malfunctioning. Action? Whom to report?

Inform Company, DPA, MCA & Class.

Safety equipment certificate and class certificate gets affected.
Carry out risk assessment.
Find a temporary solution.
Put it in the Corrective action plan.
Submit CAP to the MCA and request for dispensation letter.
Find a root cause and Raise NC against the company.

Inform Local Authority (Agent, Port Authority) and arrange for technicians.
After repair of the fire pump Request to Class for the survey.

Content of SMC.

 Name of the State (Authority of government).

 Name of the Person or organization authorized.
 Name of ship
 Distinctive numbers or letters.
 Port of registry
 Type of ships
 Gross tonnage
 IMO number
 Name and address of the company
 Company identification number
 SMC expiry date
 Completion date of verification
 Date of Issue/ Place of Issue.

Endorsement for intermediate verification and additional verification.

 intermediate verification (Signature of the authorized official, Place, Date)

 additional verification (Signature of the authorized official, Place, Date)