Q.1. What are the basic principles of the ISM code?
Ans. The three basic principles of ISM code are:
1. Safety of people on board, 2. Safety of the ship and cargo, 3. Safety of environment.
They are in the order as above. In other words pumping out of oil to save the ship or both oil and cargo to save the people on board can be accepted.
Chapter IX of SOLAS 1974 was amended by resolution MSC.99 (73) to bring in the ISM Code. It was accepted on 1st January 2002 and entered into force with effect from 1st July 2002.
It was realised that safety culture must be inculcated in the ship and must percolate from the top management to all the operational persons on board. There was also a need to connect the umbilical chord between the ship and the shipowner. Responsibilities of safety could not be left entirely to the master of the ship alone. The corner stone of good safety management is commitment from the top.
In matters of safety and pollution prevention, it is the commitment, competence, attitude and motivation of individuals at all levels that determines the end result.
Q.2. Define the following: 1. ISM code, 2. Company, 3. Administration, 4. Safety Management System, 5. Document of Compliance, 6. Safety Management Certificate, 7.
Objective Evidence, 8. Observation, 9. Non-conformity, 10. Major Non-conformity, 11.
Anniversary Date, 12. Convention.
Ans.
1. ISM code is International Safety Management code for the safe operation of ships and for pollution prevention, as adopted by IMO assembly.
2. Company is the owner of the ship or any other organisation or person such as a manager or bareboat charterer, who has responsibility for operation of the ship from owner, and who on assuming responsibility has agreed to take over all duties and responsibilities imposed by the code.
3. Administration is the Government of the State whose flag the ship in entitled to fly.
4. Safety Management System is a structured and documented system enabling the company and its personnel to implement effectively the safety and environmental protection policy.
5. Document of Compliance is a document issued to a company complying with Code's requirements.
6. Safety Management Certificate is a document issued to a ship signifying that company and its shipboard management operate in accordance with the approved SMS.
7. Objective Evidence is qualitative or quantitative information, records or statements of fact pertaining to safety or the existence and implementation of a safety management
system element, which is based on observation, measurement or test and which can be verified.
8. Observation is a statement of fact made during a safety management audit and substantiated by objective evidence.
9. Non-conformity is an observed situation where objective evidence indicates the non-fulfilment of a specified requirement.
10. Major non-conformity is 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.
11. Anniversary date is the day and month of each year corresponding to expiry date of relevant document or certification.
12. Convention is SOLAS 1974 as amended.
Q.3. What are the objectives of SMS?
Ans. SMS should ensure:
• compliance with mandatory rules and regulations; and
• that applicable codes, guidelines and standards recommended by IMO, administrations, classification societies and maritime industry organisations are taken into account.
Q.4. What are the functional requirements for a SMS?
Ans. Every company should develop, implement and maintain a SMS which includes following functional requirements:
• a safety and environmental protection policy;
• instructions and procedures to ensure safe operation of ships and protection of environment in compliance with relevant international and flag State legislation;
• defined level of authority and lines of communication between , and amongst, shore and shipboard personnel;
• procedures for reporting accidents and non-conformities with the provisions of this Code;
• procedures to prepare for and respond to emergency situations;
• procedures for internal audits and management reviews.
Q.5. What is the Safety and Environmental Protection Policy?
Ans. The Safety and Environmental Protection Policy describes how the objectives of the ISM code be achieved.
Company should ensure that the policy is implemented and maintained at all levels of the organisation both ship-based and shore-based.
Q.6. What are the responsibilities and the authorities of the company?
Ans. If the owner is not responsible for the implementation of the code, he must inform the Flag State Administration (FSA) the name and details of the entity.
Company should define and document responsibilities, authorities, and interrelation of all personnel who manage, perform and verify work related to and affecting safety and pollution prevention.
Company is responsible to ensure that adequate resources and shore-based support are provided to enable DPA to carry out their functions.
Q.7. Who is a DPA and what are his responsibilities?
Ans. DPA is the Designated Authority Ashore. The person responsible is to ensure safe operation of each ship and provide a link between company and the crew. The DPA should have direct access to the highest level of management.
Responsibility and authority of the DPA should include monitoring safety and pollution prevention aspects of operation of each ship and ensuring adequate resources and shore based support are applied, as required.
Q.8. What are Master's responsibilities and authorities?
Ans. Master's responsibilities and authorities are:
• implementation of the safety and environmental protection policy of the company;
• motivating the crew in the observation of the policy;
• issuing appropriate orders and inspections in a clear and simple manner;
• verifying that specified requirements are observed;
• reviewing the SMS and reporting its deficiencies to shore based management.
The company should ensure that SMS operating on ship contains a clear statement emphasising the master's authority. The company should establish in SMS that the master has overriding authority and responsibility to make decisions with respect to safety and pollution prevention and to request company's assistance as may be necessary.
Q.9. How does the company ensure proper resources and personnel are provided on the ship?
Ans. Company should ensure that the master is properly qualified for command, fully conversant with the company's SMS and given the necessary support for the safe performance of the master's duties.
Company should:
• ensure that the ship is manned with qualified, certificated and medically fit seafarers in accordance with national an international requirements;
• establish procedures to ensure new personnel and personnel transferred to new assignments related to safety and environment protection are given proper familiarisation with their duties;
• identify essential pre-sailing instructions and have it documented and be given to all concerned;
• ensure all personnel are familiar with the SMS and have adequate understanding of all relevant rules, regulations, codes and guidelines;
• establish and maintain procedures for identifying any training required in support of SMS and ensure such training is provided for personnel concerned;
• establish procedures by which the ship's personnel receive relevant information on the SMS in a working language or languages understood by them;
• ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the SMS.
Q.10. How is the ISM code implemented on the ship?
Ans. The ISM code is implemented on the ship by:
1. Development of plans for shipboard operations, instructions and checklists for key shipboard operations concerning the safety of the ship and pollution prevention.
Tasks involved should be defined and assigned to qualified.
2. Emergency preparedness to respond to on board emergencies. The company should establish programmes for drills and exercises to prepare for emergency actions.
3. Reports and analysis of non-conformities, accidents and hazardous occurrences. SMS should include procedures to report and analyse above. All incidents are to be investigated with the objective of improving the safety and pollution prevention record. Procedures are established for implementation of corrective action.
4. Maintenance of the ship and equipment. This will include:
• inspections are held at appropriate intervals;
• any non-conformity is reported with its cause if possible;
• appropriate corrective action is taken; and
• records of these activities are maintained;
• all equipment and systems are tested regularly;
• inspections and measures as above must be integrated into ship's operational maintenance routine.
5.Documentation should ensure that valid documents are available at all times, changes in documentation are reviewed and approved by authorised personnel and obsolete documents are promptly removed. Documents are incorporated in the SMS manual.
6.Company verification, review and evaluation should ensure audits are conducted at regular intervals. Corrective actions should be carried out. Auditors should be independent.
Q.11. How is the certification and verification done for ISM?
Ans. Ship can only be operational with a valid DOC (Document of Compliance) issued to a company. DOC is valid for ship types it lists e.g. tanker, gas carrier, container ship etc.
DOC is issued by the FSA and valid for 5 years, with annual verification by FSA with in 3 months before or after the anniversary date. Copy of the DOC must be kept on board and need not be authenticated or certified.
DOC can be withdrawn if the annual verification is not requested or there is a reported major non-conformity. If a DOC is withdrawn, all associated SMC (Safety Management Certificate) or ISMC (Interim Safety Management Certificate) will be withdrawn.
SMC is issued to ship by the FSA. The period of validity for SMC is 5 years with annual verification within 3 months before or after the anniversary date. Interim verification is done between 2nd and 3rd anniversary dates.
SMC can be withdrawn if the annual verification is not requested or there is a reported major non-conformity.
IDOC is issued to a company newly established or a new type of ship is added to an existing DOC.
Interim Document of Compliance (IDOC) is issued by the FSA and valid for not more than 12 months.
ISMC is issued to a new ship on delivery or when a company takes on responsibility for the operation of a ship which is new to the company or when a ship changes flag. ISMC is issued by the FSA and valid for not more than 6 months but can be extended as a special case by the FSA. IMSC is issued after verification that:
• DOC or IDOC is relevant to the ship;
• SMS provided by the company for the ship includes key elements of ISM code and has been assessed during the audit for issuance of DOC or IDOC;
• company has planned a ship audit within 3 months;
• master and officers are familiar with SMS and planned arrangements for its implementation;
• essential pre-sailing inspections are provided; and
• relevant information on SMS has been given in
• working language (s) understood by ship's personnel.
Q.12. Under the ISM Code define a Safety Officer and a Safety representative and their duties.
Ans. Every ship must appoint a competent person as a safety officer. He is defined as a person who has sufficient training and experience or knowledge and other qualities to enable him properly to undertake the duty imposed under the relevant provision in these regulations. He has in addition a minimum of two years' consecutive sea service since attaining the age of 18. In case of a tanker the safety officer shall minimum six months service in a tanker included in the 2 years' sea service.
Appointment of a safety officer must be recorded in writing in the OLB.
The duties of a safety officer are:
• improve the standard of safety consciousness among the crew and ensure that the provisions of the code of Safe Working Practices and safety instructions, rules and guidance for the ship relating to health and safety are complied with;
• investigate so far as possible every accident involving death, major or serious injury and every dangerous occurrences;
• investigate all potential hazards to health and safety;
• investigate all reasonable complaints by workers about health and safety and make recommendations to the master to prevent their recurrence or to remove any hazard, provided that the duty to investigate will not extend to accidents arising from a casualty to the ship;
• ensure that health and safety inspections of the ship is carried out at least every 3 months and more frequently if there are substantial changes in the conditions of work;
• make representation and where appropriate recommendations to the master about any deficiencies in respect of health, security, safety and following of the code;
• maintain a record of all accidents involving death, major or serious injury and every dangerous occurrence and make it available to any elected Safety Representative, to the master and to any official of the FSA;
• stop any work in progress, which he believes with reasonable certainty may cause accident and report the matter immediately to the master or his deputy.
The safety officer is not to carry out above duties in case when emergency action to safe guard life or the ship is being taken. The safety officer should not be in charge of medical treatment.
The company must make rules for the election and appointment of safety representatives.
The safety representatives must be voted with the maximum votes. He must have a minimum 2 years' consecutive sea service since attaining the age of 18 years, which in case of tankers must include 6 months' tanker service.
The appointment of a safety representative will terminate on that person signing off or resigning from the company.
If the ship has crew number from 6 to 15, the officers and crew should elect one safety representative. If there are more than 16, one safety representative each should be elected from the officers and the crew respectively. If there are more than 30 ratings one safety representative from the officers and three safety representatives from the rating i.e. one from the deck, one from the engine and one from the catering department.
Appointment of a safety representative must be recorded in writing in the OLB.
The safety representative has the following powers:
• to participate subject to concurrence of the safety officer in any investigation or inspection;
• to make similar investigation or inspection on his own;
• to make representation to the employee on potential hazards and dangerous occurrences at the work place;
• to make representations to the master and the employer on general matters affecting the health and safety of workers on the ship;
• to request the safety officer to carry out any occupational health and safety inspection they consider necessary and report the findings to them.
The safety representative must have good relationship with safety officer and should work with him to raise the safety standard on board.
Q.13. What is a safety committee and what is its function?
Ans. Every ship having an elected safety representative must have a safety committee.
The master is the chairman of that committee. The safety officer and the safety representatives are the members including any competent person chosen. The appointment of any competent person must be recorded in the OLB.
The safety committee has the same powers under the regulations as the safety representatives. The secretary of the committee should not preferably be the safety officer, as he has to concentrate on the discussions. The committee should be compact and well knit to ensure its proper functioning. The meetings should be held every 4 to 6 weeks and as required by the circumstances.
Duties of a safety committee are:
• to use its best endeavour to ensure that the Code of Safe Working Procedures as laid down are followed;
• to improve the standards of safety consciousness among the crew;
• to make representations and recommendations on the crew's behalf on occupational health and safety matters;
• to inspect the safety officers records;
• to ensure the observance of the employer's occupational health and safety policies and make recommendations for their improvement;
• to consider and take appropriate action concerning any occupational health and safety matters, accident reports, MS Notices, publications etc.;
• to keep a record of the meetings and any representations, replies or action resulting therefrom.
Q.14. What are the duties of the Company and Master under the Code of Safe Working Procedures on board?
Ans. Under the Health and Safety at work regulations, the Company and the Master must co-ordinate with the employer and facilitate the work of any person appointed to provide protective and preventive services. Any safety officer or safety representative appointed in carrying out their health and safety functions must also co-ordinate and work closely with the company and the master.
The company and the master are to:
• provide a copy of the Code of Safe Working Practices for the Merchant Seamen;
• provide them with relevant information about risks and measures for protection under the regulations;
• factors known or suspected to affect the health and safety of the workers on the ship;
• arrangements for fire-fighting, first aid and emergency procedures;
• ensure that persons have necessary resources and means to carry out their functions and duties;
• allow persons to undertake necessary training in health and safety;
• receive representations and discuss and implement any agreed measures for health and safety;
• maintain a record of every accident and make it available on request to any worker, inspector or surveyor.
CHAPTER 8