RESOLUTION A.741(18)
Adopted on 4 November 1993
INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION PREVENTION
(INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE)
SAFETY AND POLLUTION PREVENTION MANAGEMENT REQUIREMENTS
Adopted on 4 November 1993
INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION PREVENTION
(INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE)
SAFETY AND POLLUTION PREVENTION MANAGEMENT REQUIREMENTS
INTRODUCTORY TEXT and CONTENTS
THE ASSEMBLY,
RECALLING Article 15(j) of the
Convention on the International Maritime Organization concerning the functions
of the Assembly in relation to regulations and guidelines concerning maritime
safety and the prevention and control of marine pollution from ships,
RECALLING ALSO resolution A.680(17), by which it invited Member Governments to encourage those responsible for
the management and operation of ships to take appropriate steps to develop,
implement and assess safety and pollution prevention management in accordance
with the IMO Guidelines on management for the safe operation of ships and for
pollution prevention,
RECALLING ALSO resolution
A.596(15), by which it requested the Maritime Safety Committee to develop, as a
matter of urgency, guidelines, wherever relevant, concerning shipboard and
shore-based management and its decision to include in the work programme of the
Maritime Safety Committee and the Marine Environment Protection Committee an
item on shipboard and shore-based management for the safe operation of ships
and for the prevention of marine pollution, respectively,
RECALLING FURTHER resolution
A.441(XI), by which it invited every State to take the necessary steps to
ensure that the owner of a ship which flies the flag of that State provides
such State with the current information necessary to enable it to identify and
contact the person contracted or otherwise entrusted by the owner to discharge
his responsibilities for that ship in regard to matters relating to maritime
safety and the protection of the marine environment,
FURTHER RECALLING resolution A.443(XI), by which it invited Governments to take the necessary steps to safeguard
the shipmaster in the proper discharge of his responsibilities in regard to
maritime safety and the protection of the marine environment,
RECOGNIZING the need for
appropriate organization of management to enable it to respond to the need of
those on board ships to achieve and maintain high standards of safety and
environmental protection,
RECOGNIZING ALSO that the most
important means of preventing maritime casualties and pollution of the sea from
ships is to design, construct, equip and maintain ships and to operate them
with properly trained crews in compliance with international conventions and
standards relating to maritime safety and pollution prevention,
NOTING that the Maritime Safety
Committee is developing requirements for adoption by Contracting Governments to
the International Convention for the Safety of Life at Sea (SOLAS) 1974, which
will make compliance with the Code referred to in operative paragraph 1
mandatory,
CONSIDERING that the early
implementation of that Code would greatly assist in improving safety at sea and
protection of the marine environment,
NOTING FURTHER that the Maritime
Safety Committee and the Marine Environment Protection Committee have reviewed
resolution A.680(17) and the Guidelines annexed thereto in developing the Code,
HAVING CONSIDERED the
recommendations made by the Maritime Safety Committee at its sixty-second
session and by the Marine Environment Protection Committee at its thirty-fourth
session,
1. ADOPTS the International Management Code for the
Safe Operation of Ships and for Pollution Prevention, (International Safety
Management (ISM) Code), set out in the Annex to the present resolution;
2. STRONGLY URGES Governments to implement the ISM
Code on a national basis, giving priority to passenger ships, tankers, gas
carriers, bulk carriers and mobile offshore units, which are flying their
flags, as soon as possible but not later than 1 June 1998, pending development
of the mandatory applications of the Code;
3. REQUESTS GOVERNMENTS to inform the Maritime
Safety Committee and the Marine Environment Protection Committee of the action
they have taken in implementing the ISM Code;
4. REQUESTS the Maritime Safety Committee and the
Marine Environment Protection Committee to develop Guidelines for the
implementation of the ISM Code;
5. REQUESTS ALSO the Maritime Safety Committee and
the Marine Environment Protection Committee to keep the Code and its associated
Guidelines, under review and to amend them, as necessary;
6. REVOKES resolution A.680(17).
ANNEX
INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR
POLLUTION PREVENTION
CONTENTS
PART A - IMPLEMENTATION
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
PART B - CERTIFICATION AND VERIFICATION
13 Certification and periodical verification
14 Interim certification
15 Verification
16 Forms of certificates
Appendix - Forms of DoC, SMC, Interim DoC, Interim SMC
INTERNATIONAL SAFETY
MANAGEMENT (ISM) CODE
PREAMBLE
1 The purpose of this Code is to provide an
international standard for the safe management and operation of ships and for
pollution prevention.
2 The Assembly adopted resolution A.443(XI) by which it invited all Governments to take the necessary steps to
safeguard the shipmaster in the proper discharge of his responsibilities with
regard to maritime safety and the protection of the marine environment.
3 The Assembly also adopted resolution
A.680(17) by which it further recognized the need for appropriate organization
of management to enable it to respond to the need of those on board ships to
achieve and maintain high standards of safety and environmental protection.
4 Recognizing that no two shipping companies
or shipowners are the same, and that ships operate under a wide range of
different conditions, the Code is based on general principles and objectives.
5 The Code is expressed in broad terms so
that it can have a widespread application. Clearly, different levels of
management, whether shore-based or at sea, will require varying levels of
knowledge and awareness of the items outlined.
6 The cornerstone of good safety management
is commitment from the top. In matters of safety and pollution prevention
it is the commitment, competence, attitudes and motivation of individuals at
all levels that determines the end result.
PART A - IMPLEMENTATION
1
GENERAL
1.1 Definitions
The following definitions apply to parts A and B of this Code.
1.1.1 "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.
1.1.2 "Company" means the Owner of the ship or any other
organization or person such as the Manager, or the Bareboat Charterer, who has
assumed the 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.
1.1.3 "Administration" means the Government of the State
whose flag the ship is entitled to fly.
1.1.4 "Safety Management System" means a structured and
documented system enabling Company personnel to implement effectively the
Company safety and environmental protection policy.
1.1.5 "Document of Compliance" means a document issued to
a Company which complies with the requirements of this Code.
1.1.6 "Safety Management Certificate" 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.
1.1.7 "Objective evidence" means quantitative or
qualitative information, records or statements of fact pertaining to safety or
to the existence and implementation of an safety management system element,
which is based on observation, measurement or test and which can be verified.
1.1.8 "Observation" means a statement of fact made during
a safety management audit and substantiated by objective evidence.
1.1.9 "Non-conformity" means an observed situation where
objective evidence indicates the non-fulfilment of a specified requirement.
1.1.10 "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 and includes the lack
of effective and systematic implementation of a requirement of this Code.
1.1.11 "Anniversary date"
means the day and month of each year that corresponds to the date of expiry of
the relevant document or certificate.
1.1.12 "Convention"
means the International Convention for the Safety of Life at Sea, 1974 as
amended.
1.2 Objectives
1.2.1 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, in
particular, to the marine environment, and to property.
1.2.2 Safety management objectives of the Company should, inter alia:
.1 provide for safe practices in ship operation and
a safe working environment;
.2 assess all identified risks to its ships,
personnel and the environment and establish appropriate safeguards; and
.3 continuously improves safety management skills
of personnel ashore and aboard ships, including preparing for emergencies
related both to safety and environmental protection.
1.2.3 The safety and management system should ensure:
.1 compliance with mandatory rules and regulations;
and
.2 that applicable codes, guidelines and standards
recommended by the Organization, Administrations, classification societies and
maritime industry organizations are taken into account.
1.3 Application
The requirements of this Code may be applied to all ships.
1.4 Functional requirements for a Safety Management
System (SMS)
Every Company should develop, implement and maintain a Safety Management
System (SMS) which includes the following functional requirements:
.1 a safety and environmental protection policy;
.2 instructions and procedures to ensure safe
operation of ships and protection of the environment in compliance with
relevant international and flag State legislation;
.3 defined levels of authority and lines of
communication between, and amongst, shore and shipboard personnel;
.4 procedures for reporting accidents and
non-conformities with the provisions of this Code;
.5 procedures to prepare for and respond to
emergency situations; and
.6 procedures for internal audits and management
reviews.
2
SAFETY AND ENVIRONMENTAL PROTECTION POLICY
2.1 The Company should establish a safety and
environmental protection policy which describes how the objectives, given in
paragraph 1.2, will be achieved.
2.2 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
3.1 If the entity who is responsible for the operation of
the ship is other than the owner, the owner must report the full name and
details of such entity to the Administration.
3.2 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.
3.3 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.
4
DESIGNATED PERSON(S)
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 to ensure that adequate resources and shore
based support are applied, as required.
5
MASTER'S RESPONSIBILITY AND AUTHORITY
5.1 The Company should clearly define and document the
master's responsibility with regard to:
.1 implementing the safety and environmental
protection policy of the Company;
.2 motivating the crew in the observation of that
policy;
.3 issuing appropriate orders and instructions in a
clear and simple manner;
.4 verifying that specified requirements are
observed; and
.5 periodically reviewing the SMS and
reporting its deficiencies to the shore based management.
5.2 The Company should ensure that the SMS operating on
board the ship contains a clear statement emphasizing the Master's authority.
The Company should establish in the SMS 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.
6
RESOURCES AND PERSONNEL
6.1 The Company should ensure that the master is:
.1
properly qualified for command;
.2 fully conversant with the Company's SMS; and
.3 given the necessary support so that the Master's
duties can be safely performed.
6.2 The Company should ensure that each ship is manned
with qualified, certificated and medically fit seafarers in accordance with
national and international requirements.
6.3 The Company should establish procedures to ensure
that new personnel and personnel transferred to new assignments related to
safety and protection of the environment are given proper familiarization with
their duties. Instructions which are essential to be provided prior to sailing
should be identified, documented and given.
6.4 The Company should ensure that all personnel involved
in the Company's SMS have an adequate understanding of relevant rules,
regulations, codes and guidelines.
6.5 The Company should establish and maintain procedures
for identifying any training which may be required in support of the SMS and
ensure that such training is provided for all personnel concerned.
6.6 The Company should establish procedures by which the
ship's personnel receive relevant information on the SMS in a working language
or languages understood by them.
6.7 The Company should ensure that the ship's personnel
are able to communicate effectively in the execution of their duties related to
the SMS.
7
DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS
The Company should establish procedures, plans and instructions, including
checklists as appropriate, for key shipboard operations concerning the safety
of the personnel, ship and protection of the environment. The various tasks
should be defined and assigned to qualified personnel.
8
EMERGENCY PREPAREDNESS
8.1 The Company should identify potential emergency
shipboard situations, and establish procedures to respond to them.
8.2 The Company should establish programmes for drills
and exercises to prepare for emergency actions.
8.3 The SMS should provide for measures ensuring that the
Company's organization can respond at any time to hazards, accidents and
emergency situations involving its ships.
9
REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS
OCCURRENCES
9.1 The SMS should include procedures ensuring
that non-conformities, accidents and hazardous situations are reported to the
Company, investigated and analyzed with the objective of improving safety and
pollution prevention.
9.2 The Company should establish procedures for
the implementation of corrective action, including measures intended to prevent
recurrence.9.1 The SMS should include procedures
ensuring that non-conformities, accidents and hazardous situations are reported
to the Company, investigated and analyzed with the objective of improving
safety and pollution prevention.
9.2 The Company should establish procedures for the implementation of corrective action, including measures intended to prevent recurrence.
9.2 The Company should establish procedures for the implementation of corrective action, including measures intended to prevent recurrence.
10
MAINTENANCE OF THE SHIP AND EQUIPMENT
10.1 The Company should establish procedures to ensure that the ship
is maintained in conformity with the provisions of the relevant rules and
regulations and with any additional requirements which may be established by
the Company.
10.2 In meeting these requirements the Company should ensure that:
.1 inspections are held at appropriate intervals;
.2 any non-conformity is reported with its possible
cause, if known;
.3 appropriate corrective action is taken; and
.4 records of these activities are maintained.
10.3 The Company should identify equipment and technical systems the
sudden operational failure of which may result in hazardous situations. The SMS
should provide for specific measures aimed at promoting the reliability of such
equipment or systems. These measures should include the regular testing of
stand-by arrangements and equipment or technical systems that are not in
continuous use.
10.4 The inspections mentioned in 10.2 as well as the measures
referred to in 10.3 should be integrated in the ship's operational maintenance
routine.
11 DOCUMENTATION
11.1 The Company should establish and maintain procedures to control
all documents and data which are relevant to the SMS.
11.2 The Company should ensure that:
.1 valid documents are available at all relevant
locations;
.2 changes to documents are reviewed and approved
by authorized personnel; and
.3 obsolete documents are promptly removed.
11.3 The documents used to describe and implement the SMS may be
referred to as the "Safety Management Manual". Documentation should
be kept in a form that the Company considers most effective. Each ship should
carry on board all documentation relevant to that ship.
12
COMPANY VERIFICATION, REVIEW AND EVALUATION
12.1 The Company
should carry out internal safety audits on board and ashore at intervals not
exceeding twelve months to verify whether safety and pollution-prevention
activities comply with the safety management system. In exceptional
circumstances, this interval may be exceeded by not more than three months.
12.2 The Company should periodically evaluate the effectiveness of
the SMS in accordance with procedures established by the Company.
12.3 The audits and possible corrective actions should be carried out
in accordance with documented procedures.
12.4 Personnel carrying out audits should be independent of the areas
being audited unless this is impracticable due to the size and the nature of
the Company.
12.5 The results of the audits and reviews should be brought to the
attention of all personnel having responsibility in the area involved.
12.6 The management personnel responsible for the area involved
should take timely corrective action on deficiencies found.
PART B
13 CERTIFICATION
AND PERIODICAL VERIFICATION
13.1 The ship should be operated by a Company which has been issued
with a Document of Compliance or with an Interim Document of Compliance in
accordance with paragraph 14.1, relevant to that ship.
13.2 The Document of Compliance should be issued by the
Administration, by an organization recognized by the Administration or, at the
request of the Administration, by another Contracting Government to the
Convention to any Company complying with the requirements of this Code for a
period specified by the Administration which should not exceed five years. Such
a document should be accepted as evidence that the Company is capable of
complying with the requirements of this Code.
13.3 The Document of Compliance is only valid for the ship types
explicitly indicated in the document. Such indication should be based on the
types of ships on which the initial verification was based. Other ship types
should only be added after verification of the Company's capability to comply
with the requirements of this Code applicable to such ship types. In this
context, ship types are those referred to in regulation IX/1 of the Convention.
13.4 The validity of a Document of Compliance should be subject to
annual verification by the Administration or by an organization recognized by
the Administration or, at the request of the Administration by another
Contracting Government within three months before or after the anniversary
date.
13.5 The Document of Compliance should be withdrawn by the
Administration or, at its request, by the Contracting Government which issued
the document, when the annual verification required in paragraph 13.4 is not
requested or if there is evidence of major non- conformities with this Code.
13.5.1 All associated Safety
Management Certificates and/or Interim Safety Management Certificates should
also be withdrawn if the Document of Compliance is withdrawn.
13.6 A copy of the Document of Compliance should be placed on board
in order that the master of the ship, if so requested, may produce it for
verification by the Administration or by an organization recognized by the
Administration or for the purposes of the control referred to in regulation
IX/6.2 of the Convention. The copy of the document is not required to be
authenticated or certified.
13.7 The Safety Management Certificate should be issued to a ship for
a period which should not exceed five years by the Administration or an
organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government. The Safety Management
Certificate should be 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 this Code.
13.8 The validity of the Safety Management Certificate should be
subject to at least one intermediate verification by the Administration or an
organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government. If only one intermediate
verification is to be carried out and the period of validity of the Safety
Management Certificate is five years, it should take place between the second
and third anniversary date of the Safety Management Certificate.
13.9 In addition to the requirements of paragraph 13.5.1, the Safety
Management Certificate should be withdrawn by the Administration or, at the
request of the Administration, by the Contracting Government which has issued
it when the intermediate verification required in paragraph 13.8 is not
requested or if there is evidence of major non- conformity with this Code.
13.10 Notwithstanding the requirements of paragraphs 13.2 and 13.7, when
the renewal verification is completed within three months before the expiry
date of the existing Document of Compliance or Safety Management Certificate,
the new Document of Compliance or the new Safety Management Certificate should
be valid from the date of completion of the renewal verification for a period
not exceeding five years from the date of expiry of the existing Document of
Compliance or Safety Management Certificate.
13.11 When the renewal verification is completed more than three months
before the expiry date of the existing Document of Compliance or Safety
Management Certificate, the new Document of Compliance or the new Safety
Management Certificate should be valid from the date of completion of the
renewal verification for a period not exceeding five years from the date of
completion of the renewal verification.
13.12 When the renewal verification is completed after the expiry date of
the existing Safety Management Certificate, the new Safety Management
Certificate should be valid from the date of completion of the renewal
verification to a date not exceeding five years from the date of expiry of the
existing Safety Management Certificate.
13.13 If a renewal verification has been completed and a
new Safety Management Certificate cannot be issued or placed on board the ship
before the expiry date of the existing certificate, the Administration or
organization recognized by the Administration may endorse the existing certificate
and such a certificate should be accepted as valid for a further period which
should not exceed five months from the expiry date.
14 INTERIM
CERTIFICATION
14.1 An Interim Document of Compliance may be issued to facilitate
initial implementation of this Code when:
.1 a Company is newly established; or
.2 new ship types are to be added to an existing
Document of Compliance,
following verification that the Company has a safety management system that
meets the objectives of paragraph 1.2.3 of this Code, provided the Company
demonstrates plans to implement a safety management system meeting the full
requirements of this Code within the period of validity of the Interim Document
of Compliance. Such an Interim Document of Compliance should be issued for a
period not exceeding 12 months by the Administration or by an organization
recognized by the Administration or, at the request of the Administration, by
another Contracting Government. A copy of the Interim Document of Compliance
should be placed on board in order that the master of the ship, if so
requested, may produce it for verification by the Administration or by an
organization recognized by the Administration or for the purposes of the
control referred to in regulation IX/6.2 of the Convention. The copy of the document is not required to be
authenticated or certified.
14.2 An Interim Safety Management Certificate may be issued:
.1 to new ships on delivery;
.2 when a Company takes on responsibility for the
operation of a ship which is new to the Company; or
.3 when a ship changes flag.
Such an Interim Safety Management Certificate should be issued for a period
not exceeding 6 months by the Administration or an organization recognized by
the Administration or, at the request of the Administration, by another
Contracting Government.
14.3 An Administration or, at the request of the Administration,
another Contracting Government may, in special cases, extend the validity of an
Interim Safety Management Certificate for a further period which should not
exceed 6 months from the date of expiry.
14.4 An Interim Safety Management Certificate may be issued following
verification that:
.1 the Document of Compliance, or the Interim
Document of Compliance, is relevant to the ship concerned;
.2 the safety management system provided by the
Company for the ship concerned includes key elements of this Code and has been
assessed during the audit for issuance of the Document of Compliance or
demonstrated for issuance of the Interim Document of Compliance;
.3 the Company has planned the internal audit
of the ship within three months;
.4 the master and officers are familiar with the
safety management system and the planned arrangements for its implementation;
.5 instructions, which have been identified as
being essential, are provided prior to sailing; and
.6 relevant information on the safety management
system has been given in a working language or languages understood by the
ship's personnel.
13.14 If a ship at the time when a Safety Management Certificate
expires is not in a port in which it is to be verified, the Administration may
extend the period of validity of the Safety Management Certificate but this
extension should be granted only for the purpose of allowing the ship to
complete its voyage to the port in which it is to be verified, and then only in
cases where it appears proper and reasonable to do so. No Safety
Management Certificate should be extended for a period of longer than three
months, and the ship to which an extension is granted should not, on its
arrival in the port in which it is to be verified, be entitled by virtue of
such extension to leave that port without having a new Safety Management
Certificate. When the renewal verification is completed, the new Safety
Management Certificate should be valid to a date not exceeding five years from
the expiry date of the existing Safety Management Certificate before the
extension was granted.
15 VERIFICATION
15.1 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
16.1 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. If the language used is neither English nor French,
the text should include a translation into one of these languages.
16.2 In addition to the requirements of paragraph 13.3 the ship types
indicated on the Document of Compliance and the Interim Document of Compliance
may be endorsed to reflect any limitations in the operations of the ships
described in the safety management system.
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