THE ISM CODE AND THE

SUPERINTENDENT
AIMS

 To introduce superintendents to the background, content and

objectives of the ISM Code
 To introduce superintendents to the management system principles
that underpin the code’s implementation
 To distinguish between audits and surveys/inspections
 To enable superintendents to recognise potential management system
failures.
 To establish the action to be taken when a superintendent identifies a
potential management system failure.
WHY ?
 Ships audits by external auditor may take place up to 3 years apart, but
superintendent visit the ship much more frequently.

 The existing separation of the condition of the ship and its equipment
from their management is artificial, and is beginning to disappear.

 Greater co-operation between superintendents and internal auditors

will considerably increase the value of the services that both are
providing.
TERMINOLOGY

“ISM CODE”
“International Management Code for the Safe Operation of Ships and for
Pollution Prevention” (SOLAS Ch.IX)

“Company”
“… The owner of the ship or any other organisation or person such as
the manager, or the bareboat charterer, who has assumed responsibility
for operation of the ship from the shipowner and who, on assuming such
responsibility, has agreed to take over all the duties and responsibility
imposed by the code.”
SAFETY MANAGEMENT SYSTEM (SMS)

A structured and documented system enabling company

personnel to implement effectively the company’s safety
and environmental policy
SAFETY MANAGEMENT SYSTEM (SMS)
“Document of Compliance” (DOC)
A document issued to a company that complies with the requirements of
the ISM Code.

“Safety Management Certificate” (SMC)

A document issued to a ship to certify that the company and its shipboard
management operate in accordance with the approved SMS.

Both Certificates are valid for 5 years

APPLICATION OF THE ISM CODE

 NOT LATER than 1st July 1998

Passenger ships (including high-speed passenger craft), oil and
chemical tankers, gas carriers, bulk carriers and high-speed cargo
craft of 500 gross tonnage and upwards, regardless of the date of
construction.

 NOT LATER than 1st July 2002

Other cargo ships and mobile offshore drilling units of 500 gross
tonnage and upwards, regardless of the date of construction.
OBJECTIVES OF THE CODE
To provide an international standard for the safe management and
operation of ships and the prevention of pollution in order to:

 Ensure safety at sea

 Prevent personal injury and loss of life
 Prevent damage to property and the environment.
CONTENTS OF A SAFETY
MANAGEMENT SYSTEM

 A safety and environmental protection policy

 Instructions and procedures to ensure safe operation of ships and
protection to the environment
 Defined levels of authority and lines of communication
 Procedures for reporting accidents and non-conformities
 Procedures to prepare for and respond to emergencies
 Procedures for internal audits and management reviews
KEY ELEMENTS IN A (SAFETY)
MANAGEMENT SYSTEM

 The policy (objectives and commitment)

 The identification, allocation and organisation of resources, including

the definition of responsibilities, authorities and interrelations.

 The systematic planning and control of operations and emergency

responses (the elimination or reduction of risk)

 The measurement, analysis and continual improvement of the

system’s performance
MANAGEMENT SYSTEM AUDITS

 An audit is NOT a technical inspection

 The purpose of a technical inspection is to ascertain the condition of

the ship’s structure, fittings and equipment, and to determine the
extent to which they are functioning as required

 A management system audit is an assessment, through sampling, of

the safety management system
 MANAGEMENT SYSTEM AUDITS

A Superintendent may become aware of the possibility of a management

system failure in the following ways:

i. A situation observed during a routine or special class or statutory

survey
ii. A situation observed during attendance on board following a Port State
Control detention arising from purely technical deficiencies
iii. Notification of a Port State Control detention citing failures in the
shipboard SMS
iv. Information received from the company or other source indicating a
possible problem with respect to the adequacy or implementation
of the SMS
REPORTING MANAGEMENT SYSTEM
FAILURES

The following situations should be reported:

i. Existing or unresolved technical deficiencies that are not being

adequately addressed by the company
ii. Numerous technical deficiencies which suggest a lack of effective
maintenance of ship and equipment.
iii. Port state control deficiency reports resulting in detention
iv. Other conditions not related to class or statutory requirements which
may seriously affect the safety of the ship, its personnel or the
environment
v. To identify objective evidence of possible breakdown in the SMS
 QUESTION #1
“ A valid copy on the DOC and original SMC for the
appropriate ship type Has been Sighted”

 Check for valid IMO ship type: passenger ship, passenger HSC, cargo
HSC, bulk carrier, oil tanker, chemical tanker, gas carrier, MODU, other
cargo ship

 Check for expiry date and endorsements

 Valid for Flag of ship

 Check for same company address on DOC and SMC

 QUESTION #2
“ An authorised copy of the company safety and
environment protection policy is available “

 Must be in the SMS documentation

 Copy maybe displayed on bulkheads

 Personnel awareness ?
 QUESTION #3
“ A documented Safety Management System (SMS)
is available

 Maybe in form of manuals or electronic

 Available to ships’ officers
 QUESTION #4
“ The Master can identify, within the SMS, his
overriding authority”

ISM Code requires a clear statement in the SMS that the Master has the
overriding authority and responsibility to make decisions with respect to
safety and pollution prevention and to request the company’s assistance as
may be necessary

Master must show this within the SMS

 QUESTION #5
“ Procedures are in place for contacting the
company in an emergency “

 Check the following documents where applicable: SOPEP, emergency

response plan

 Ensure that personnel and contact numbers are current

 QUESTION #6
“ A company internal audit has been carried
out as required by the SMS “

 Generally carried out annually

 Sight last audit report

 QUESTION #7

“ Records of Fire , Boat and Emergency drills

Have been Sighted “

 Check official log book or current deck log for entries

 Sight programme for emergency drills

 QUESTION #8
“ Crew are qualified, certificate and medically
fit in accordance with Flag requirements”

 Originals of licences and certificates to be on board

 After 2 February 2002, licences and certificates to be endorsed by
Flag State
 Compliance with Safe Manning Certificate
 QUESTION #9
“ Report to company/class of accidents,
deficiencies and hazardous occurrences are
available “

 Sight report forms and relate to survey status and vessel condition

 Sight procedures for reporting if no report forms available.

 QUESTION #10
“ Records of maintenance of major plant and
equipment have been Sighted and reflect the
current operational status “

 Plant and equipment to include: main engine, steering gear,

generators, fire pumps …
 Records must reflect operational status
 QUESTION #11

“ Records of maintenance of all life saving and Fire

Fighting appliances have been sighted and reflect
the current operational Status”

 Equipment to include EPIRB’s, SARTS, fire detection equipment, fire

flaps, quick closing valve, fire-fighting and life-saving equipments

 Records must reflect operational status

 QUESTION #12

“ The Master and Senior officers can identify

the designated person “

 Identify the name of the designated person

 Sample of senior officers

 QUESTION #13
“ Ship personnel have received training and
understand relevant sections of the SMS
identified during the overall survey Status “

The superintendent, whilst performing regular visit to the ship and

communicating with the ship personnel, should be satisfied that they
have received training sufficient for effective implementation of the SMS
 THE EXPERIENCE FACTOR …

The most important indicator of the company’s success in establishing

and maintaining a safety culture is something that cannot be measured,
but is, nevertheless, easily recognised by experienced people when
they encounter it.

It is the atmosphere of orderliness, efficiency, the confident and

professional manner of the personnel (“the look in the eye”) that creates
the unmistakable impression of a safe and well-managed working
environment.
Thank You
The ISM Code and The Superintendent