ISM CODE

ISM CODE
IMO Resolution A.647 (16) - 1989. “Guidelines on
Management for the Safe Operation of Ships and
for Pollution Prevention” was the first set of
management guidelines for the marine industry. •
IMO Resolution A.680 (17) - 1991. Recognized the
need for an appropriate organization of
management to respond to the unique needs of
shipboard personnel. • IMO Resolution A.741 (18) -
1993. A shift from the IMO philosophy of hardware
regulations to the software element of ship
management.
 ISM CODE
• ISM CODE -International Safety Management Code.
• As per the chapter IX of the SOLAS, ISM has been
made mandatory in 1994 by the adoption of the
Chapter IX to SOLAS 1974
• It came into force on 1st July 1998 for (i) Passenger
Ships, including high speed crafts, (ii) Oil Tankers, (iii)
Chemical Tankers, (iv) Gas Carriers, (v)Bulk Carriers ,
(vi) Cargo high speed craft of 500 GT & over.
• The ISM came in to force on 1 July 2002 and
mandatory for the wider range of cargo ships and for
Mobile Offshore Drilling Units (MODUs).
 ISM CODE
• This has arisen out of the fact that human error is
the direct cause of 80-90%of accidents on board
ships and the human element plays a part in
virtually all accidents on board.
• While legislation such as SOLAS, MARPOL and the
STCW conventions lay down requirements for the
construction of the ship, the equipment to be
provided on board and rules regarding safety,
pollution prevention and the training and
qualification of seafarers , the ISM Code is different,
 ISM CODE
• Compliance with the ISM Code is optional/voluntary for all
vessels of less than 500 GT.
• Amendments to the ISM Code came into force on January 2015
• IMO adopted amendments to the ISM Code through
MSC.353(92)
• Paragraph 6.2 has been amended requiring the
Company to ensure that each ship is:
(1) manned with qualified, certificated and medically fit
seafarers in accordance with national and international
requirements and,
(2) appropriately manned ships in order to encompass all
aspects of maintaining safe operations on board.
 ISM CODE
• (3) A new Paragraph 12.2 has also been adopted
requiring the Company to:
• periodically verify whether all those undertaking
delegated ISM-related tasks are acting inconformity
with the Company's responsibilities under the Code
 ISM CODE
• The amended ISM-Code includes various new
footnotes with guidelines and recommendations
developed by the IMO.
• (4) Although the footnotes given in the ISM-Code
are inserted for reference and guidance purposes
and do not constitute requirements under the
Code, in accordance with paragraph [Link], all
relevant guidelines, recommendations, etc. should
be taken into account.
• The following guidelines have been added as
 ISM CODE
(5) Procedures concerning observed ISM Code major
non-conformities
(6) List of codes, recommendations, guidelines and
other safety and security related mandatory
instruments
(7) Revised Guidelines for the operational
implementation of the International Safety
Management (ISM) Code by companies
 ISM CODE
(8) Guidance on the qualifications, training and
experience necessary for undertaking the role of
the Designated Person under the provisions of the
International Safety Management (ISM) Code
(9) Guidelines for a structure of an integrated system
of contingency planning for shipboard emergencies
(10) Guidance on near-miss reporting
 ISM CODE
(11) Revised list of certificates and documents
required to be carried on board ships

Ship managers are advised to ensure that all the

above mentioned guidelines have been
incorporation the Safety Management System
(SMS).
Where necessary, amendments to existing
procedures must be carried out.
 ISM CODE REQUIREMENTS
• 1. The ISM Code requires every Company to develop,
implement and maintain a safety management
system (SMS) which includes these functional
requirements:
• (i) A safety and environmental protection policy;
• (ii) Instructions and procedures to ensure safe
operation of ships, and protection of the
environment, in compliance with relevant
international and flag State legislation;
• (iii) Defined levels of authority and lines of
 ISM CODE REQUIREMENTS
• shore and shipboard personnel;
• (iv) Procedures for reporting accidents and non-
conformities with the provisions of this Code;
• (v) Procedures to prepare and respond to
emergency situations; and
• (vi) Procedures for internal audits and management
reviews.
 Elements of ISM code
• PART A – IMPLEMENTATION
• 1. General.
• 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. 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,
 Elements of ISM code
• PART B – CERTIFICATION AND VERIFICATION.

• 13. Certification and periodical verification.

• 14. Interim certification.
• 15. Verification.
• 16. Forms of certificates
 Elements of ISM code
• 1. GENERAL
• 1.1 Definitions
• 1.2 Objectives
• 1.3 Application
• 1.4 Functional requirements for a safety
management system An introduction to the general
purpose of the code and its objectives:
 Purpose & Objectives of of ISM code
• The purpose of the code is to provide an
international standard for the safe management
and operation of ships and for prevention of
pollution •
• 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.
 2. SAFETY & ENVIRONMENTAL
PROTECTION POLICY.
• (i) The company should establish a safety and
environmental protection policy which describes
how objectives listed above will be achieved.
• (ii) The company should ensure that the policy is
implemented and maintained at all levels of the
organization both ship based as well as shore based.
 3. Company responsibilities and
authority
• There must be disclosure from the owner to the
administration as to who is responsible for the
operation of the ship.
• The company should define and document
responsibility, authority and interrelation of all
personnel who manage, perform and verify work
relating to and affecting safety and pollution
prevention - The company must ensure there are
adequate resources and shore based support for
the designated person or persons to carry out
 3. Company responsibilities and
authority
• their function.
• DPA Chartering, Operations, Commercial, Technical
Stores, Spares, Research & Maintenance, Marine,
Crew, Nautical Management .
• 4. Designated Person(s) - A person or persons who
has direct access to the highest levels of
management providing a link between the company
and those on board.
• The responsibility and authority of the designated
person is to provide for the safe operation of the
 4. Designated Person(s)
• A person or persons who has direct access to the
highest levels of management providing a link
between the company and those on board.
• The responsibility and authority of the designated
person is to provide for the safe operation of the
vessels.
• He should monitor the safety and pollution
prevention aspects of the operation of each vessel
and ensure there are adequate shore side resources
and support
5. Master's responsibility and authority
• The roles and responsibilities of the Master should
be clearly defined by the company with regard to
the implementation of the companies policies with
respect to SMS and methods for review and
reporting deficiencies to the shore based
management. -
5. Master's responsibility and authority
• The company should ensure that the SMS operating
onboard the vessel contains a clear statement
emphasizing the masters authority.
• The company should make it clear that the Master
has the overall responsibility for decision making
and has overriding authority with the option of
adequate shore back up.
 6. Resources and Personnel.
• 1. The company should ensure that the Master is
suitably qualified and fully conversant with the SMS.
• They should also ensure that the ship is suitably
manned.
• 2. The company should ensure that there is
adequate familiarization with safety and protection
of the environment for new personnel.
• They should ensure that the personnel has an
adequate understanding of the relevant rules,
regulations, guidelines and codes.
• [Link] is to be provided where necessary.
 6. Resources and Personnel
• Relevant information for the SMS should be
promulgated and be written in an easy to
understand method.
7. Development of plans for ship board
operations.
• The company should establish procedures for the
generation of shipboard plans and instructions with
regard to the prevention of pollution and that these
should be generated by qualified personnel.
 8. Emergency Preparedness.
• The company should establish procedures for the
response actions to potential emergency situations.
Programs for drill should be established and
measures taken to ensure that the company's
organization can respond to hazards and accidents.
 9. Reports and analysis of non-
conformities, accidents and hazardous
occurrences.
• The company should ensure there is a
procedure for the reporting and analysis of
accidents, hazardous occurrences and non-
conformities, and for the corrective action.
 10. Maintenance of the ship and
equipment
• (i) The company is to ensure that the vessel is
properly maintained.
• (ii) Procedures within the SMS should be in place to
identify, record and plan for repairing the defects.
• (iii) A system of preventive maintenance should be
in operation.
• (iv) Regular inspections integrated with the ships
operational maintenance routine should take place
to ensure that the vessel is in compliance with
relevant regulations.
 11. Documentation
• The company should establish and maintain
procedures for the control of all documentation
relevant to the SMS.
• This should include
• (i) Valid documents are available at all relevant
locations.
• (ii) Changes to documents are reviewed and
approved to authorized personnel.
• (iii) Obsolete documents are promptly removed - All
documents, carried in a company approved relevant
form, should be present on board.
 12. Company verification, review and
evaluation.
(i) The company should carry out periodic audits to verify that
safety and pollution preventions are complying with SMS.
(ii) The audits and corrective actions should be carried out as
per laid down procedures.
(iii) Personnel carrying out the audits should be independent of
the areas that they are carrying out the audit unless size of
the company is such that this is impractical.
(iv) Deficiencies or defects found should be brought to the
attention of the personnel in that section and the
management team so effective corrective action can be
carried out.
 13. Certification and Periodical
Verification
(i) The ship should be operated by a Company which
has been issued with a DOC or with an Interim DOC.
(ii) The DOC should be issued by the Administration to
any Company complying with the requirements of
this Code for a period specified by the Administration
which should not exceed 5 years.
(iii) Such a document should be accepted as evidence
that the Company is capable of complying with the
requirements of this Code.
(iv) The DOC is only valid for the ship types explicitly
indicated in the document.
13. Certification and Periodical Verification
(v) The validity of a DOC should be subject to annual
verification by the Administration and at the request of the
Administration within 3 months before or after the
anniversary date.
(vi) A copy of the DOC should be held on board to allow the
Master to produce it to the relevant authorities as required.
(vii) The SMC should be issued to a ship for a period which
should not exceed five years by the Administration.
(vii) The SMC should be issued after verifying that the
Company and its shipboard management operate in
accordance with the approved SMS.
(viii) Such a Certificate should be accepted as evidence that
 14. Interim Certification
• (i) An Interim Document of Compliance may be issued to
facilitate initial implementation of this Code when a Company
is newly established or new ship types are to be added to an
existing Document of Compliance.
• (ii) Such an Interim Document of Compliance should be
issued for a period not exceeding 12 months by the
Administration.
• (iii) An Interim Safety Management Certificate 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 when a ship changes flag.
• (iv) Such an Interim Safety Management Certificate should be
issued for a period not exceeding 6 months by the
 15. Verification
• 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.
 16. Forms of Certificates
(i) 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.
(ii) If the language used is neither English nor French,
the text should include a translation into one of
these languages.
 Requirements on board ship
• 1. Proof that the vessel is being maintained in a satisfactory
condition at all times, and not only at the time of surveys-
objective evidence in the form of no overdue surveys, no overdue
recommendations from port or flag state inspections and that
planned maintenance is being carried out and records kept.
• 2. Applicable codes and guidelines are being taken into
consideration when operating the vessel. Vessels staff must be
able to demonstrate that operations are carried out in a
controlled manner utilizing information contained in these codes,
guidelines and standards.
• 3. That emergency situations have been identified and drills are
conducted to ensure the vessel and company are ready to
respond to emergency situations
Examples of the type of documentation
• Examples of the type of documentation the auditor will
wish to see to verify compliance with the ISM are as
follows:
• (i) Log books.
• (ii) Safety and management meeting minutes and follow
up actions.
• (iii) Medical log
• (iv) Company circular letters.
• (v) Planned maintenance records.
• (vi) Records of verification.
Examples of the type of documentation
(viii)Records of internal audits and follow up.
(ix) Records of chart corrections.
(x) Class quarterly listings.
(xi) Records of passage planning.
(xii) Oil record books.
(xiii) Garbage logs.
(xiv) Company manual and forms
 DEFINITIONS OF ISM CODE
• 1. Safety Management System (SMS):
• The safety management system is a structured and
documented system under the International Safety
Management (ISM) code which enables shipping companies
and its ship’s crew to effectively implement all safety policies
regarding ship, crew, and environment while at sea.
• 2. Document of Compliance:
• Document of compliance is a certificate issued to a shipping
company which complies with all the requirements of the ISM
code.
• Document of compliance is one of the most important
documents of the ship which are often checked during port
state control survey.
 DEFINITIONS OF ISM CODE
• 3. Safety Management Certificate (SMC)
• Safety management certificate (SMC) is a document provided
to a ship signifying that the company and its ship personnel
operate in accordance with the safety management system
(SMS). SMC should be produced by the ship whenever asked
by a PSC.
• 4. Objective Evidence
• Objective evidence is any form of information, records, or
statements of facts which indicates implementation of safe
management system by the shipping company and its ships.
The objective evidence is based on observations,
measurements, or tests that are made during an audit and
• 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. 
• Administration – means the Government of
the State whose flag the ship is entitled to fly.
• Safety Management System (SMS) – means a
structured and documented system enabling
Company personnel to implement effectively
the Company safety and environmental
protection policy.
• Document of Compliance (DOC) – means a document issued
to a Company which complies with the requirements of this
Code.  Safety Management Certificate (SMC) – 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.
•  Objective evidence – 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.
• Observation – means a statement of fact made during a safety
management audit and substantiated by objective evidence. 
Non-conformity – means an observed situation where objective
evidence indicates the non-fulfillment of a specified requirement.
 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.  Anniversary date – means the day and
month of each year that corresponds to the date of expiry of the
relevant document or certificate.  Convention – means the
International Convention for the Safety of Life at Sea, 1974, as
amended
• Accidents – means incidents involving injury or
damage to life, the environment, the ship or
its cargo.
• Cold Work – Work that cannot create a source
of ignition.
• Critical Equipment –The equipment or technical
systems, the sudden operational failure of which may
result in a hazardous situation.
• Corrective Action – Action to eliminate the cause of a
detected non-conformity or other undesirable situation.
• Chemical tanker – means a chemical tanker as defined in
regulation VII/8.2, ―a cargo ship constructed or
adapted and used for the carriage in bulk of any liquid
product listed in chapter 17 of the International Bulk
Chemical Code‖.
• Dynamic Positioning System – A dynamic positioning system
is defined as all the equipment necessary to provide means of
controlling the position and heading of a floating installation
within predetermined limits by means of vectored thrust. 
Designated Person Ashore (DPA) – is a person ashore
appointed by the Safety, Occupational Health and
Environmental Committee with direct access to the highest
levels of management, who has the responsibility and the
authority to monitor 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.
• Fixed Offshore Installation (or Installation) – Fixed
Offshore Installation is used as a collective term to
cover any construction or system, buoyant or non-
buoyant, permanently supported by or fixed to the
seafloor by gravity, piles or by other means and
designed and built for installation at a particular
offshore site.
• The Fixed Offshore Installation is used primarily for
such functions as; drilling, production, processing,
storage, loading and/or accommodation. Sub-sea
production system and sub-sea pipeline systems are
also covered by this term. 
• Hazard – means a source or situation with a potential to harm in terms of injury or ill health,
damage to property, damage to workplace environment or combination of these.  Hazardous
Occurrences – means situations which could have led to an accident, if they had developed
further.  High-speed Craft – is a craft capable of a maximum speed in metres per second (m/s)
equal to or exceeding: 3.7 0.1667, where:  = displacement corresponding to the design
waterline (m3).  Incident – An unplanned sequence of events and/or condition that results, or
could have reasonably resulted, in a loss event.  International Safety Management Code – means
the International Management Code for the Safe Operation of Ships and for Pollution Prevention,
as adopted by the International Maritime Organisation (IMO) by resolution A.741 (18), as may be
amended by the Organisation.  Material Safety Data Sheet (MSDS) – A document identifying a
substance and all its constituents. It provides the recipient with all necessary information to
manage the substance safely.  Mobile Offshore Drilling Unit (MODU) – means a vessel capable of
engaging in drilling operations for the exploration for or exploitation of resources beneath the
sea-bed such as liquid or gaseous hydrocarbons, sulphur or salt.  Multi Support Vessel – means a
vessel constructed to handle various offshore specialised support services like sub sea structural
and sub sea pipeline maintenance repairs, fire fighting operations at offshore platforms and rigs,
pollution control services, crane assistance, helicopter rescue operations. These vessels maintain
their position either on dynamic positioning system or on spread mooring system.  Near Miss –
means sequence of events and/or conditions that could have resulted in a loss. 
• Oil Tanker – means an oil tanker as defined in
regulation II-1/2.22 e. the oil tanker defined in
regulation 1 of Annex 1 of the Protocol of
1978 relating to the International Convention
for the Prevention of Pollution from Ships,
[Link] ship is constructed or adapted
primarily to carry oil in bulk in its cargo spaces
and includes combination carriers.
• Preventive Action – Action to eliminate the
cause of a potential non-conformity or other
undesirable potential situation.
• facility.  Risk – Combination of the likelihood
and consequence(s) of a specified hazardous
event occurring.  Risk Assessment – Overall
process of estimating the magnitude of risk
and deciding whether or not the risk is
tolerable.
 DEFINITIONS OF ISM CODE
• 5. Non Conformity and Major Non-Conformity:
• When objective evidence indicates non fulfillment of a specific
requirement stated by the safety management system, a situation
of non conformity is considered to have occurred.
• A major non-conformity is an extremely serious situation which
poses serious threat to the safety of personnel, ship, or the
environment. It indicates a major lapse in effective and systematic
implementation of the ISM code. Major non conformity would
require immediate corrective action to be taken by the ship’s
management.
• 6. Anniversary Date
• Anniversary date can be defined as the day and month of each year
which marks the expiry of a relevant certificate or document of the