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Prepared by: Eng. Yasser Bayoumy
MSc. of Maritime Energy Management - WMU – Sweden
Marine Chief Engineer
Lecturer at Institute of Maritime Upgrading Studies - AASTMT
Institute of Maritime Upgrading Studies
What is IMO?
• International Maritime Organization.
• IMO is the specialized agency of the United Nations (U.N.) concerned with
Maritime Affairs located in London, England.
Institute of Maritime Upgrading Studies
History
⚫ 1948 UN Maritime Conference adopts Convention on the Inter-Governmental Maritime
Consultative Organization (IMCO)
⚫ 1958 Entry into force of Convention
⚫ 1959 First Assembly of IMCO
⚫ 1982 Name was changed to International Maritime Organization
Institute of Maritime Upgrading Studies
What Does IMO Do?
“Safe, secure and efficient shipping on
clean oceans.”
Institute of Maritime Upgrading Studies
IMO Structure
Institute of Maritime Upgrading Studies
IMO Instruments
⚫ Conventions
⚫ Codes
⚫ Protocols
⚫ Circulars
⚫ Resolutions
Institute of Maritime Upgrading Studies
IMO Conventions
Institute of Maritime Upgrading Studies
ISM Code
Institute of Maritime Upgrading Studies
Introduction
Institute of Maritime Upgrading Studies
Introduction
Institute of Maritime Upgrading Studies
Introduction
Institute of Maritime Upgrading Studies
ISM Code
Institute of Maritime Upgrading Studies
Code Objectives
▪ To ensure Safety at sea
▪ To prevent human injury or loss of life
▪ To avoid damage to the environment and to the ship
Institute of Maritime Upgrading Studies
Reasons to adopt ISM
Institute of Maritime Upgrading Studies
Reasons to adopt ISM
Institute of Maritime Upgrading Studies
Application
• IMO adopted the ISM Code, by introducing the Chapter - IX in the SOLAS - 1974 in November 1993
and made it mandatory in May 1994. The effective dates when it came in force are as follows:
• By 1st July 1998: All passenger ships / high speed crafts, all cargo high speed crafts, all tankers, all
gas carriers and all bulk carriers of GRT 500 and above.
• By 1st July 2002: All cargo ships and all mobile off shore drill units of GRT 500 and above.
• The ISM Code was amended in December 2000 by resolution MSC.104(73), and these amendments
entered into force on 1 July 2002.
Institute of Maritime Upgrading Studies
• It was further amended in December 2004 by resolution MSC.179(79), and these amendments entered
into force on 1 July 2006.
• It was further amended in May 2005 by resolution MSC.195(80), and these amendments entered into
force on 1 January 2009.
• The ISM Code was also amended in December 2008 by resolution MSC.273(85). This resolution was
adopted on 1 January 2010, and the amendments entered into force on 1 July 2010.
• The Code was further amended in June 2013 by resolution MSC.353(92) and these amendments entered
into force on 1 January 2015
Application
Institute of Maritime Upgrading Studies
Contents
Institute of Maritime Upgrading Studies
Safety Management System
Institute of Maritime Upgrading Studies
Safety Management System
Institute of Maritime Upgrading Studies
Mandatory Requirements
Institute of Maritime Upgrading Studies
Advantages
Institute of Maritime Upgrading Studies
ISM Requirements
Institute of Maritime Upgrading Studies
ISM Requirements
Institute of Maritime Upgrading Studies
ISM Requirements
Institute of Maritime Upgrading Studies
ISM Requirements
Institute of Maritime Upgrading Studies
ISM Requirements
Institute of Maritime Upgrading Studies
SMS is Dynamic
Institute of Maritime Upgrading Studies
SMS is Dynamic
Institute of Maritime Upgrading Studies
Certification, Verification and Control
• The ship should be operated by a Company, which is issued a document of compliance relevant to that ship.
• A document of compliance should be issued for every Company complying with requirements of the ISM Code
by the Administration, by an organization recognized by the Administration or by the Government of the
country acting on behalf of the Administration in which the Company has chosen to conducts its
business. This document should be accepted as evidence that the Company is capable of complying with the
requirements of the Code.
• A copy of such a document should be placed on board in order that the master, if so asked, may produce it for
the verification of the Administration or organizations recognized by it.
Institute of Maritime Upgrading Studies
Certification, Verification and Control
• A certificate, called a Safety Management Certificate, should be issued to a ship by the Administration
or organization recognized by the Administration. The Administration should, when issuing the
certificate, verify that the Company and its shipboard management operate in accordance with the
approved SMS.
• The Administration or an organization recognized by the Administration should periodically verify the
proper functioning of the ship's SMS as approved.
Institute of Maritime Upgrading Studies
a) Document of Compliance (DOC)
• DOC is issued to the Company after complying with the requirements of the ISM Code and demonstrating its
effective evidence implementation, which should include objective evidence of at least 3 months operation
ashore and a minimum of 3 months operation on one ship of each type.
• Validity: Validity of DOC is 5 years, subject to annual audits and following requirements:
1. Amendment to the ISM Code (if any) taken into account,
2. Request for periodical audits made,
3. No evidence of a major non-conformance,
4. Corrective actions completed within the agreed time frame.
Institute of Maritime Upgrading Studies
b) Safety Management Certificate (SMC)
• SMC is issued to a vessel / mobile offshore unit, which has valid DOC. The SMC shall be applicable to that
particular ship type. Objective evidence of the effective functioning of a company's SMS for at least 3 months on
board the vessel should be available, which should include records from IQA performed by the company.
• Validity: Validity of an SMC is 5 years subject to at least one intermediate audit, and
1. Amendment to the ISM Code (if any) taken into account,
2. Request for intermediate audits made,
3. There should be no evidence of a major non-conformance,
4. Corrective actions completed within the agreed time frame.
Institute of Maritime Upgrading Studies
c) Interim Certificate
• Interim Certificate validity not to exceed 12 months.
• Conditions for interim DOC and SMC issue:
I. New companies,
II. Change of flag state / company / owner,
III. New ship types added to an existing DOC (interim DOC),
IV. New ship on delivery / new acquisition (interim SMC).
Institute of Maritime Upgrading Studies
c) Interim Certificate
Before issue of interim SMC the company to demonstrate that:
1. The DOC and Interim DOC, relevant to the ship exists.
2. SMS includes all elements for that ship type and has undergone initial verification prior to
issue.
3. Master and officers are familiar with the SMS.
4. Essential instructions given prior to sailing.
5. Internal Audits plans of company (within 3 months).
6. Information on SMS provided to ship's personnel in working language.
Institute of Maritime Upgrading Studies
Types of Audits (External)
• External Audits are conducted by a Third Party or by a Ship Classification Society or a body authorized
by the National / State Administration.
• There are four stages of an External Audit (ISM Code).
1. Initial Audits:
I. For the issue of a DOC: An audit of the Company's effective functioning of a SMS including objective
evidence of its operation 3 months ashore and on one ship of each type.
II. For the issue of a SMC: The existence of a valid DOC relevant for that type of vessel, including
objective evidence of 3 months of operation of a SMS and reports of Internal Audits.
Institute of Maritime Upgrading Studies
Types of Audits (External)
2. Periodical / Annual Audits: To conform the effective functioning of a SMS and for maintaining
the validity of DOC.
3. Intermediate Audits: Take place between the 2nd and 3rd year of the certificate validity and its
purpose is to ensure continued effective functioning of a SMS.
4. Renewal Audits: Is carried out prior to expiry and for the revalidation of the DOC and the SMC
Institute of Maritime Upgrading Studies
Certification Flow Chart
Institute of Maritime Upgrading Studies
Certification
Institute of Maritime Upgrading Studies
DPA
According to the ISM Code the Designated Person Ashore (DPA) plays a key role in the
effective implementation of a Safety Management System and takes responsibility for:
• Verification and;
• Monitoring of all safety and pollution prevention activities.
Institute of Maritime Upgrading Studies
DPA !
Prepared by: Eng. Yasser Bayoumy
Lecturer at Institute of Upgrading Studies – Engineering Studies
Any Questions…..?

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ISM Code

  • 1. Prepared by: Eng. Yasser Bayoumy MSc. of Maritime Energy Management - WMU – Sweden Marine Chief Engineer Lecturer at Institute of Maritime Upgrading Studies - AASTMT
  • 2. Institute of Maritime Upgrading Studies What is IMO? • International Maritime Organization. • IMO is the specialized agency of the United Nations (U.N.) concerned with Maritime Affairs located in London, England.
  • 3. Institute of Maritime Upgrading Studies History ⚫ 1948 UN Maritime Conference adopts Convention on the Inter-Governmental Maritime Consultative Organization (IMCO) ⚫ 1958 Entry into force of Convention ⚫ 1959 First Assembly of IMCO ⚫ 1982 Name was changed to International Maritime Organization
  • 4. Institute of Maritime Upgrading Studies What Does IMO Do? “Safe, secure and efficient shipping on clean oceans.”
  • 5. Institute of Maritime Upgrading Studies IMO Structure
  • 6. Institute of Maritime Upgrading Studies IMO Instruments ⚫ Conventions ⚫ Codes ⚫ Protocols ⚫ Circulars ⚫ Resolutions
  • 7. Institute of Maritime Upgrading Studies IMO Conventions
  • 8. Institute of Maritime Upgrading Studies ISM Code
  • 9. Institute of Maritime Upgrading Studies Introduction
  • 10. Institute of Maritime Upgrading Studies Introduction
  • 11. Institute of Maritime Upgrading Studies Introduction
  • 12. Institute of Maritime Upgrading Studies ISM Code
  • 13. Institute of Maritime Upgrading Studies Code Objectives ▪ To ensure Safety at sea ▪ To prevent human injury or loss of life ▪ To avoid damage to the environment and to the ship
  • 14. Institute of Maritime Upgrading Studies Reasons to adopt ISM
  • 15. Institute of Maritime Upgrading Studies Reasons to adopt ISM
  • 16. Institute of Maritime Upgrading Studies Application • IMO adopted the ISM Code, by introducing the Chapter - IX in the SOLAS - 1974 in November 1993 and made it mandatory in May 1994. The effective dates when it came in force are as follows: • By 1st July 1998: All passenger ships / high speed crafts, all cargo high speed crafts, all tankers, all gas carriers and all bulk carriers of GRT 500 and above. • By 1st July 2002: All cargo ships and all mobile off shore drill units of GRT 500 and above. • The ISM Code was amended in December 2000 by resolution MSC.104(73), and these amendments entered into force on 1 July 2002.
  • 17. Institute of Maritime Upgrading Studies • It was further amended in December 2004 by resolution MSC.179(79), and these amendments entered into force on 1 July 2006. • It was further amended in May 2005 by resolution MSC.195(80), and these amendments entered into force on 1 January 2009. • The ISM Code was also amended in December 2008 by resolution MSC.273(85). This resolution was adopted on 1 January 2010, and the amendments entered into force on 1 July 2010. • The Code was further amended in June 2013 by resolution MSC.353(92) and these amendments entered into force on 1 January 2015 Application
  • 18. Institute of Maritime Upgrading Studies Contents
  • 19. Institute of Maritime Upgrading Studies Safety Management System
  • 20. Institute of Maritime Upgrading Studies Safety Management System
  • 21. Institute of Maritime Upgrading Studies Mandatory Requirements
  • 22. Institute of Maritime Upgrading Studies Advantages
  • 23. Institute of Maritime Upgrading Studies ISM Requirements
  • 24. Institute of Maritime Upgrading Studies ISM Requirements
  • 25. Institute of Maritime Upgrading Studies ISM Requirements
  • 26. Institute of Maritime Upgrading Studies ISM Requirements
  • 27. Institute of Maritime Upgrading Studies ISM Requirements
  • 28. Institute of Maritime Upgrading Studies SMS is Dynamic
  • 29. Institute of Maritime Upgrading Studies SMS is Dynamic
  • 30. Institute of Maritime Upgrading Studies Certification, Verification and Control • The ship should be operated by a Company, which is issued a document of compliance relevant to that ship. • A document of compliance should be issued for every Company complying with requirements of the ISM Code by the Administration, by an organization recognized by the Administration or by the Government of the country acting on behalf of the Administration in which the Company has chosen to conducts its business. This document should be accepted as evidence that the Company is capable of complying with the requirements of the Code. • A copy of such a document should be placed on board in order that the master, if so asked, may produce it for the verification of the Administration or organizations recognized by it.
  • 31. Institute of Maritime Upgrading Studies Certification, Verification and Control • A certificate, called a Safety Management Certificate, should be issued to a ship by the Administration or organization recognized by the Administration. The Administration should, when issuing the certificate, verify that the Company and its shipboard management operate in accordance with the approved SMS. • The Administration or an organization recognized by the Administration should periodically verify the proper functioning of the ship's SMS as approved.
  • 32. Institute of Maritime Upgrading Studies a) Document of Compliance (DOC) • DOC is issued to the Company after complying with the requirements of the ISM Code and demonstrating its effective evidence implementation, which should include objective evidence of at least 3 months operation ashore and a minimum of 3 months operation on one ship of each type. • Validity: Validity of DOC is 5 years, subject to annual audits and following requirements: 1. Amendment to the ISM Code (if any) taken into account, 2. Request for periodical audits made, 3. No evidence of a major non-conformance, 4. Corrective actions completed within the agreed time frame.
  • 33. Institute of Maritime Upgrading Studies b) Safety Management Certificate (SMC) • SMC is issued to a vessel / mobile offshore unit, which has valid DOC. The SMC shall be applicable to that particular ship type. Objective evidence of the effective functioning of a company's SMS for at least 3 months on board the vessel should be available, which should include records from IQA performed by the company. • Validity: Validity of an SMC is 5 years subject to at least one intermediate audit, and 1. Amendment to the ISM Code (if any) taken into account, 2. Request for intermediate audits made, 3. There should be no evidence of a major non-conformance, 4. Corrective actions completed within the agreed time frame.
  • 34. Institute of Maritime Upgrading Studies c) Interim Certificate • Interim Certificate validity not to exceed 12 months. • Conditions for interim DOC and SMC issue: I. New companies, II. Change of flag state / company / owner, III. New ship types added to an existing DOC (interim DOC), IV. New ship on delivery / new acquisition (interim SMC).
  • 35. Institute of Maritime Upgrading Studies c) Interim Certificate Before issue of interim SMC the company to demonstrate that: 1. The DOC and Interim DOC, relevant to the ship exists. 2. SMS includes all elements for that ship type and has undergone initial verification prior to issue. 3. Master and officers are familiar with the SMS. 4. Essential instructions given prior to sailing. 5. Internal Audits plans of company (within 3 months). 6. Information on SMS provided to ship's personnel in working language.
  • 36. Institute of Maritime Upgrading Studies Types of Audits (External) • External Audits are conducted by a Third Party or by a Ship Classification Society or a body authorized by the National / State Administration. • There are four stages of an External Audit (ISM Code). 1. Initial Audits: I. For the issue of a DOC: An audit of the Company's effective functioning of a SMS including objective evidence of its operation 3 months ashore and on one ship of each type. II. For the issue of a SMC: The existence of a valid DOC relevant for that type of vessel, including objective evidence of 3 months of operation of a SMS and reports of Internal Audits.
  • 37. Institute of Maritime Upgrading Studies Types of Audits (External) 2. Periodical / Annual Audits: To conform the effective functioning of a SMS and for maintaining the validity of DOC. 3. Intermediate Audits: Take place between the 2nd and 3rd year of the certificate validity and its purpose is to ensure continued effective functioning of a SMS. 4. Renewal Audits: Is carried out prior to expiry and for the revalidation of the DOC and the SMC
  • 38. Institute of Maritime Upgrading Studies Certification Flow Chart
  • 39. Institute of Maritime Upgrading Studies Certification
  • 40. Institute of Maritime Upgrading Studies DPA According to the ISM Code the Designated Person Ashore (DPA) plays a key role in the effective implementation of a Safety Management System and takes responsibility for: • Verification and; • Monitoring of all safety and pollution prevention activities.
  • 41. Institute of Maritime Upgrading Studies DPA !
  • 42. Prepared by: Eng. Yasser Bayoumy Lecturer at Institute of Upgrading Studies – Engineering Studies Any Questions…..?