International Safety Management (ISM) Code – 2018 Edition: Comprehensive Study Notes

Foreword & Publication Information

  • 2018 marks the 5th IMO edition of the ISM Code (first published 1997)
  • Developed by the International Maritime Organization (IMO); address: 4 Albert Embankment, London
  • ISBN: 978-92-801-1696-0; Sales No: ID117E; printed by CPI Group (UK)
  • Copyright © IMO 2018; reproduction requires written permission
  • Entry-into-force milestones:
    • Original SOLAS Ch. IX amendments: 1 July 1998
    • Subsequent amendments via resolutions: MSC.99(73) (2002), MSC.194(80) (2009), MSC.104(73) (2002), MSC.179(79) (2006), MSC.195(80) (2009), MSC.273(85) (2010), MSC.353(92) (2015)
  • Historical roots: 1987 Assembly res A.596(15) (ro-ro ferry management), 1989 Guidelines A.647(16), 1991 Revised A.680(17)

SOLAS Convention Chapter IX – Management for Safe Operation of Ships

  • Establishes mandatory compliance with the ISM Code for:
    • Passenger ships & passenger HSC – by 1  July  19981\;July\;1998
    • Oil, chemical, gas tankers, bulk carriers & cargo HSC ≥ 500 GT – by 1  July  19981\;July\;1998
    • All other cargo ships & MODUs ≥ 500 GT – by 1  July  20021\;July\;2002
  • Key regulatory anchors:
    • Regulation 1 – Definitions (Company, ISM Code, tanker types, etc.)
    • Regulation 3 – SMS made mandatory; ship must be operated by a company with a valid Document of Compliance (DoC)
    • Regulation 4 – Certification framework (DoC & Safety Management Certificate – SMC)
    • Regulation 6 – Ongoing verification & port-State control linkage (XI/4)

ISM Code – Preamble & Purpose

  • Provides an international standard for safe ship management & pollution prevention
  • Emphasises management commitment, competence, attitude & motivation as safety cornerstones
  • Designed to be:
    • Principle-based, adaptable to diverse companies/ships
    • Expressed in broad terms to enable scalability
  • Stresses protection of the master’s authority (res A.443(XI))

Definitions (Part A §1.1)

  • Company, Administration, Safety Management System (SMS), DoC, SMC, Objective Evidence, Observation, Non-conformity, Major Non-conformity (poses serious threat or systemic failure), Anniversary Date, Convention

Objectives (§1.2)

  • Ensure:
    • Safety at sea, injury→0\text{injury} \to 0, loss of life→0\text{loss of life} \to 0
    • Prevention of pollution & property damage
  • Company safety-management objectives:
    • Provide safe practices & safe working environment
    • Assess all risks to ships/personnel/environment & establish safeguards
    • Continuously improve safety skills & emergency preparedness
  • SMS must assure:
    • Compliance with mandatory rules/regs
    • Consideration of relevant IMO/flag/class/industry guidelines

Functional Requirements for an SMS (§1.4)

  • Bullet-point core:
    • Safety & environmental-protection policy
    • Instructions/procedures for safe operation & legal compliance
    • Defined authority lines (shore–ship)
    • Accident & non-conformity reporting
    • Emergency preparedness procedures
    • Internal audit & management-review procedures

Safety & Environmental-Protection Policy (Section 2)

  • Must describe how §1.2 objectives are achieved
  • Company responsible for implementation & maintenance at all organisational levels

Company Responsibilities & Authority (Section 3)

  • Owner must notify flag if operational control is delegated
  • Responsibilities/authority/interrelations of relevant personnel documented
  • Company must ensure adequate resources & shore support for designated person(s)

Designated Person(s) – DP (Section 4)

  • Acts as safety link between ship & shore; has direct access to highest management
  • Duties: monitor safety/pollution aspects, ensure resources/support
  • Quals/experience: see MSC-MEPC.7/Circ.6 (tertiary education OR STCW officer cert. + ISM/ audit training)

Master’s Responsibility & Authority (Section 5)

  • Implement company policy, motivate crew, issue clear orders, verify compliance, review SMS
  • Overriding authority for safety & pollution prevention; may request company assistance as needed

Resources & Personnel (Section 6)

  • Company must:
    • Provide qualified, certificated, medically fit crew (per STCW & safe manning principles – res A.1047(27))
    • Ensure new/relocated personnel receive proper familiarisation
    • Identify & deliver necessary training; maintain language competency & effective communication

Shipboard Operations (Section 7)

  • Establish documented procedures, plans & checklists for key operations; allocate tasks to qualified personnel

Emergency Preparedness (Section 8)

  • Identify potential emergency situations and create response procedures
  • Programme drills/exercises
  • Ensure 24/7 organisational response capability (refer A.852(20) contingency guidelines)

Reporting & Analysis of Non-conformities, Accidents, Hazardous Occurrences (Section 9)

  • Mandatory internal reporting, investigation & analysis
  • Implement corrective & preventive actions
  • Near-miss culture promoted (MSC-MEPC.7/Circ.7)

Maintenance of Ship & Equipment (Section 10)

  • Procedures to keep vessel in class & statutory compliance
  • Ensure:
    • Regular inspections
    • Reporting & correction of non-conformities
    • Record-keeping
  • Identify critical equipment; test stand-by & fail-safe arrangements; integrate with maintenance routine

Documentation (Section 11)

  • Control of all SMS documents & data; ensure validity, revision control, removal of obsolete docs
  • Safety Management Manual – ship to carry all relevant docs
  • Aligns with IMO list of certificates & publications FAL.2/Circ.131\text{FAL.2/Circ.131} etc.

Company Verification, Review & Evaluation (Section 12)

  • Internal audits (ship & shore) ≤ 12 months (max +3 months extension)
  • Verify performance of delegated tasks
  • Evaluate SMS effectiveness; auditors independent where practicable
  • Document audits, disseminate results, and ensure timely corrective action

Certification & Verification (Part B)

  • Company must hold DoC; ships must hold SMC
  • Validity periods:
    • DoC: ≤5\le 5 years; annual verification (±3 months)
    • SMC: ≤5\le 5 years; one intermediate verification (between 2nd–3rd anniversaries)
  • Renewal timing rules (§13.10-13.14) define early/late completion & extension windows (max 3 months voyage allowance; 5-month endorsement option)
  • Interim certificates:
    • Interim DoC ≤ 12 months (new company or new ship types)
    • Interim SMC ≤ 6 months (new ship, change of flag/company); one extra 6-month extension possible
  • Additional verification may be required on “clear grounds” (PSC detention, major NC, reactivation, etc.)

Forms of Certificates & Appendices

  • IMO-prescribed templates for DoC, SMC, Interim versions; include endorsement sections for annual/intermediate/additional verifications
  • Require company IMO Identification Number & ship IMO Number

Guidelines & Resolution Framework Overview

  • Res A.741(18) – Original ISM Code text (amended by MSC.104, 179, 195, 273, 353)
  • Res A.1118(30) – 2017 Revised Guidelines on Implementation by Administrations (replaces A.1071(28))
  • MSC-MEPC.7/Circ.8 – Revised Guidelines for Operational Implementation by Companies
  • MSC-MEPC.7/Circ.6 – DP qualification guidance
  • MSC-MEPC.7/Circ.7 – Near-miss reporting guidance
  • MSC.428(98) – Cyber Risk Management in SMS (compliance required by first DoC annual verification after 1  Jan  20211\;Jan\;2021)
  • MSC-FAL.1/Circ.3 – High-level Maritime Cyber Risk Management Guidelines

Key Points from Revised Guidelines on Implementation by Administrations (Res A.1118(30))

  • Emphasises risk-based, non-prescriptive audits focusing on SMS effectiveness
  • Outlines certification processes: interim, initial, annual, intermediate, renewal, additional
  • Details auditor competence standards: ≥ 5 years relevant experience; formal education + ISM/audit training; participation in ≥ 4 tutored audits (≥ 1 company & ≥ 1 ship)
  • Clarifies responsibilities of Administrations, recognised organisations (ROs), companies & audit teams

Operational Implementation by Companies (MSC-MEPC.7/Circ.8)

  • Highlights importance of management review, DP monitoring, internal audit rigour
  • Encourages just-culture reporting, data analysis, and SMS continual improvement

Designated Person Qualifications (MSC-MEPC.7/Circ.6)

  • Education routes:
    • Tertiary management/engineering/physical science degree, OR
    • STCW-certificated officer + sea service, OR
    • Other education + ≥ 3 years senior-level ship-management experience
  • Training topics: ISM Code, mandatory rules, risk assessment, audit techniques, ship operations, communication
  • Experience: Ability to present to top management, verify SMS compliance, analyse data & promote safety culture

Near-Miss Reporting Essentials (MSC-MEPC.7/Circ.7)

  • Defines near miss: sequence that could have caused loss but didn’t
  • Promotes “Just Culture” – non-punitive, confidential environment
  • Investigation steps: gather info (who/what/when/where), analyse, identify causal factors, recommend & implement actions, archive for trend analysis

Maritime Cyber Risk Management Highlights

  • Cyber risk = threat to tech assets that may impair operational safety/security
  • Vulnerable systems list: bridge, cargo, propulsion, access control, comms, admin, etc.
  • Five functional elements (align with NIST): Identify, Protect, Detect, Respond, Recover
  • IMO encourages inclusion of cyber risk in SMS by 2021
  • Reference industry standard: “Guidelines on Cyber Security Onboard Ships” (BIMCO et al.) & ISO/IEC 27001

Corrigendum (2018)

  • A.1118(30) §4.3.4: deletion of words “of the ships” for clarity in text regarding initial verification

Connections, Foundational Principles & Real-World Relevance

  • ISM Code operationalises SOLAS safety philosophy via management systems akin to ISO 9001
  • Builds continuous-improvement loop (Plan-Do-Check-Act) into maritime operations
  • Enhances Flag-State/Port-State oversight through objective evidence & audit trails
  • Supports environmental conventions (MARPOL) by embedding pollution-prevention culture
  • Cyber, near-miss & DP guidelines demonstrate IMO’s adaptive approach to emerging risks & human factors
  • Ethical implications: fosters transparency, accountability, crew empowerment, and protection of the marine environment

Numerical & Statistical References / Formula Recap

  • Certificate validity ≤5  years\le 5\;\text{years}
  • Annual verification window: ±3  months\pm 3\;\text{months} around anniversary
  • Intermediate SMC audit between 2nd2^{nd} & 3rd3^{rd} anniversary dates
  • Interim DoC ≤12  months\le 12\;\text{months}; Interim SMC ≤6  months\le 6\;\text{months} (+66-month extension possible)
  • Cyber-risk inclusion deadline: first DoC annual verification after 1  January  20211\;January\;2021

Practical Study Tips

  • Map each ISM section to real shipboard procedures you’ve seen (e.g., lifeboat drill ↔ §8 drills)
  • Memorise certificate timelines using “5-3-1” rule: 55 yrs validity, 33 months annual window, 11 intermediate audit window
  • Use DP guidance as a checklist if asked to evaluate a candidate’s suitability
  • Relate cyber guidance to everyday tools (ECDIS USB use, satellite comms firewall)
  • Practice drafting a near-miss report to demonstrate understanding of §9 & Circ.7 requirements