THE INTERNATIONAL SAFETY

MANAGEMENT CODE

What is the ISM Code?
The International Safety Management Code (ISM) is
essentially a quality control system. It was developed from
the ISO 9002 Quality Management Standard. It was tailored
specifically to provide an international standard for the safe
management and operation of ships and to minimise the
risk of environmental pollution.

Why was it developed?
The ISM Code was developed because research into recent
ship casualties has pinpointed poor management systems as
a primary factor in increasing the risk of accidents and the
occurrence of pollution.

After the inquiry into a fire on board the passenger vessel
SCANDINAVIAN STAR where the ship management practices
were criticised, an association of Nordic countries put
proposals to the IMO to regulate the way in which ships
were managed.

How was the Code developed?
The Nordic initiative was supported by the IMO which is an
inter-governmental body comprising of representatives
from 132 maritime nations which between them control
95% of the world's fleets.
A working group was set up to develop management
standards which could be applied worldwide.
The result was the ISM Code which was finally adopted by
the IMO on 4 Nov 1993. In May 1994, the Code was
incorporated into the new Chapter IX of SOLAS 74.

To what does the Code apply?
From 1 July 1998, the Code has applied to:

•

Passenger Ships

•

Tankers

•

Chemical Tankers

•

Gas Carriers

•

Bulk Carriers

•

High-Speed Craft

of 500 GT or more, engaged in International Trade.

From 1 July 2002, the Code applies to:

•

All other cargo vessels in International trade.

It is possible that in the future, the IMO will extend that
application of the Code to encompass all vessels greater
than 500 GT.

How is the Code implemented?
The responsibility for implementing the ISM Code falls upon
the flag state.

The flag state has to decide how in detail the ISM Code will
be implemented within its jurisdiction. In general, however,
Safety Management Certificates are issued following an
audit of a companys management procedures, both onshore
and on board ship.

The flag state Administration may conduct the audits
themselves or delegate this function to an accreditation
organisation. Many countries have delegated this work to
the classification societies.

What are the Safety Management Certificates?
There are two certificates which are issued following a
successful audit of the company and the ship.

1. The Document of Compliance:
•

certifies that a company's shore-based management
systems comply with the ISM Code.

•

has a validity of five years during that period of the
company's shore based operations.

•

is subject to an annual review.

•

is specific to ship types and the company may only
operate those types of vessels shown on the
Certificate. If a company wishes to widen its scope of
operations to encompass different types of ships, it
must be re-audited.

2. The Safety Management Certificate:
•

is issued to each individual vessel following a successful
audit of the ship-board management system.

•

can only be issued after a company has successfully
obtained a Document of Compliance for that specific
ship type.

•

is valid for a period of five years.

•

is subject to an intermediate audit between the
second and third anniversary of the date of issue.

How is the ISM Code enforced?
Vessels which are unable to produce both a copy of the
company's Document of Compliance and a valid Safety
Management Certificate for the vessel are subject to
detention by Port State Control inspectors. This
effectively may result in these vessels being unable to
trade internationally.

How is compliance with the Code achieved?
The first stage in compliance is to develop, implement and
maintain both ashore and afloat a Safety Management
System (SMS).

The Safety Management System must include:

•

A company policy on safety and the protection of the
environment.

•

Instructions and procedures for the safe operation of
the company's ships and the protection of the
environment. Those procedures must comply with
the requirements of international and flag state law.

•

Clearly defined levels of authority and lines of
communication between and amongst shore and
shipboard personnel.

•

Procedures for reporting accidents and matters which
do not conform with the provisions of the Code.

•

Procedures to prepare for and respond to emergency
situations.

•

A system of internal audit and management review.

What benefits accrue from the introduction of a
S a f e t y Management System?
The implementation of a good SMS should:

•

lead to a reduction in the incidence of pollution,
damage to cargo or personal injury on board a
company's vessel.

•

an improvement in safety consciousness on board ship.

•

The establishment of a safety culture that encourages
continuous improvement in safety standards and
environmental protection.

•

Cost savings resulting from reduced disruptions to the
smooth operation of vessels.

•

an enhanced ability to measure company performance
and identify areas for improvement.

THE STCW CONVENTION 1995

Why was the Convention revised in 1995?
The first International Convention on Standards of Training
Certification and Watchkeeping for Seafarers (STCW) came
into force in 1978. It was, in its time, an important step
forward. Until then the activities of the International
Maritime Organisation had been concerned with setting
international standards on the construction of a ship and
its safety equipment. The STCW marked an expansion of
the IMO's interest into the quality of the seafarers manning
those ships.

The first Convention was a compromise between those
nations wanting to set high standards and those countries
concerned about their abilities to meet those standards.
As a result, the 1978 Convention was quite brief and had
few teeth. It failed to achieve its objective of establishing
minimum levels of competence internationally.

What did the review hope to achieve?
The review was intended to:

•

set out in detail precise standards of competence and
knowledge needed to perform shipboard functions
safely and effectively.

•

to set standards of uniformity in the assessment of
that knowledge and ability for each Certificate of
Competency.

•

to provide means of enforcing and policing high
standards of officers and watchkeepers.

•

to take account of modern developments in training
and changes in shipboard operation which have
modified the traditional divisions between deck and
engine departments.

How has the STCW been modified by the 1995
a m e n d m e n t s ?
A number of important changes have been introduced by
the 1995 amendments. These can be grouped into three
categories:

•

New responsibilities for shipping companies.

•

The establishment of detailed uniform standards of
competence.

•

New responsibilities for flag states.

What are a company's responsibilities?
With the entry in to force of the revised Convention
(FEB 97), shipping companies are responsible for:

•

ensuring that their seafarers meet minimum
international standards of competence and hold
appropriate certificates.

•

ensuring their ships are manned to at least the
minimum level set out in the Flag State Safe Manning
document.

•

maintaining detailed records of all seafarers they
employ.

•

ensuring that all seafarers are given familiarisation
training, especially on safety and pollution matters,
when they first join a vessel.

•

ensuring that crews have the ability to communicate
effectively amongst themselves.

How have standards of competence changed?
The 1995 STCW amendments established, for the first time,
standards of competence rather than knowledge.
Competence is a measure of a seafarer's ability to perform a
task safely and effectively. The 1978 Convention specified
knowledge required but did not address the question of
ability to put that knowledge into practice.

The 1995 amendments:

•

set out specific criteria on the level of knowledge,
understanding and proficiency that must be achieved
in each element of maritime skill.

•

set out the specific criteria for evaluating the
competence to categories of seafarers which were not
included in the 1978 Convention.

What is the onus on flag states?
The revised Convention contains provisions to ensure that
the Convention requirements are implemented by
governments and that flag states only issue certificates to
seafarers who meet or exceed the minimum competency
standards. Flag states are required to:

•

submit documents to the IMO evidencing the ability of
their training establishments to train seafarers to the
standards required by of the Convention.

•

show that both training establishments and the
certification process operate under a quality standards
regime which is subject to independent evaluation.

•

accept responsibility for verifying the competence of
foreign seafarers serving on their ships whose
certificates are issued by another state.

•

expand seafarers knowledge of English, both written
and spoken, to ensure they have the ability to
communicate clearly and comprehensively when their
duties require.

•

to legislate for the provision of minimum rest periods
for seafarers and give guidance on the prevention of
drug and alcohol abuse.