International Ship Management Code (ISM Code)

1989 IMO guidelines on Management for the Safe operation of ships by resolution A.647 (16) 1991 IMO guidelines on Management for the Safe operation of ships by resolution A.680 (17)

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International Ship Management Code (ISM Code)1993 The ISM Code was adopted by the International Maritime Organization (IMO) by resolution A.741(18) 1994 Compliance with the ISM Code became mandatory with the adoption of a new SOLAS, Chapter IX, "Management for the Safe Operation of Ships" (24.05.1994). 1995 Guidelines for the implementation of the ISM Code by Administrations adopted by IMO resolution A.788 (19)ISM-Einfhrung 2

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ISM CodeResolution A.741(18)

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International Ship Management Code (ISM Code)

Chapter IX

Guidelines

Flag State Requirements4

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Flagstate requirements regarding the ISM Code

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Applicability of the ISM Code

SOLAS, Chapter IX, and the ISM-Code applies to ships, regardless of the date of construction, as follows: Passenger ships, including passenger high-speed craft, Oil tankers, chemical tankers, gas carriers, bulk carriers and Other cargo ships and mobile offshore drilling units (MODUs) >500 gt or more, including Cargo high-speed craft

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ISM-Code - 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 the property.

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Working principles The ISM Code is the standard for establishing a system for the safe management and operation of vessels and for pollution prevention. It sets rules for the organisation of the owner or company management in relation to safety and pollution prevention, and for the implementation of a Safety Management System (SMS). The system will have to be approved by the flag Administration, or an organisation recognised by it, then a Certificate is issued.

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SMS - Objectives1.2.2 Safety management objectives of the Company should, inter alia : .1 provide for safe practices in ship operation and safe working environment ; .2 establish safeguards against all identified risks ; and .3 continuously improve safety management skills of personnel ashore and aboard ships, including preparing for the emergencies related both to safety and environmental protection.

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Funktionaler Ansatz

Recognizing that no two shipping companies or shipowners are the same, and that ships operate under a wide range of different conditions, the ISM-Code is based on general principles and objectives.

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Safety Management System

Shipboard Manual

Company Manual

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ISM 13 Elements1. General Description

2. Safety And Environmental Protection Policy 3. Company Responsibility 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 & Analysis Of Non-Conformities, Accidents & Hazardous Occurrences 10. Maintenance 11. Documentation 12. Company Verification, Review and Evluation 13. Certification, Verification and Controlrkr

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SMS - Objectives

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.

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SMS - Objectives

Das Erfllen von Mu-Bestimmungen und das Anwenden von Kann-Bestimmungen sind wichtige Voraussetzungen fr Sicherheit und Umweltschutz

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Inhalte eines Safety Management SystemesEvery Company should develop, implement and maintain a SMS which includes the following functional requirements : .1 a safety and environmental protection policy ; .2 instructions and procedures to ensure safe operation of the 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.

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2. - Safety and Environmental Policy

The owner or his appointed shore-based managers (the Company) should establish a safety and environmental protection policy which describes how the objectives will be achieved.

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2. - Safety and Environmental Policy

The owner or his appointed shore-based managers (the Company) should establish a safety and environmental protection policy which describes how the objectives will be achieved.

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3. - Company Responsibilities and AuthorityThe Managing owner must report the full name and details to the Flag State Administration. The Company has to define and document who does what responsibilities and authority - (ashore and on board), and make sure that enough resources are available to enable the persons responsible to carry out their tasks

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4. - Designated PersonTo ensure the safe operation of each ship and to provide a link between the company and those on board, the company should: Designate a person (s) ashore having direct access to the highest level of management to: Monitor the safety and pollution prevention aspects of the operation of each ship Ensure that adequate resources and shore-based support are applied as required

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5. - Masters Responsibility and AuthorityThe company should clearly define and document the masters responsibility with regard to: Implementing the safety and environmental policy of the company Motivating the crew in observation of that policy Issuing appropriate orders and instructions in a clear and simple manner Verifying that specified requirements are observed reviewing the SMS and reporting its deficiencies to the shorebased management

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6. - Resources and PersonnelTHE COMPANY SHOULD: Ensure that each vessel is manned with qualified, certified and medically fit seafarers Enshure that the crew must be familiarized with the SMS, and training for new crew before sailing is compulsory

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7. - Key Shipboard Operations

Key Shipboard Operations an Bord sind alle wichtigen sicherheitsrelevanten Ablufe umweltrelevanten Ablufe

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7. - Key Shipboard Operations

Key Shipboard Operations sind Routineablufe, die durch fehlerhaftes Handeln zu gefhrlichen Situationen fhren knnen.

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7. - Key Shipboard Operations

Verfahrensanweisungen fr die Key Shipboard Operations haben vorbeugenden Charakter

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8. - Emergency Preparedness

THE COMPANY SHOULD: Establish procedures to indentify, describe and respond to potential emergency shipboard situations Establish programmes for drills and exercises to prepare for emergency action THE SMS SHOULD: Provide for measures ensuring that the companys organisation can respond at any time to hazards, accidents and emergency situations involving its ships

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9. - Reports of Non-Conformities, Accidents and Hazardous Ocurrences Unfallberichte Protokolle von Sicherheitsbungen Inspektionsberichte Verbesserungsvorschlge von Mitarbeitern Prfberichte der Klassifikationsggesellschaft Prfberichte von Hafenstaatkontrollen (PSC) Reisebeicht (Kapitn, Charterer) Kundenbeschwerden Abweichungs- oder Fehlerreports Auditprotokolle (internes, externes)

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9. - Reports of Non-Conformities, Accidents and Hazardous Ocurrences

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9. - Reports of Non-Conformities, Accidents and Hazardous Ocurrences

Ein Fehler darf nur einmal geschehen Korrekturmanahmen mssen in der Lage sein, eine Wiederholung auszuschlieen

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9. - Reports of Non-Conformities, Accidents and Hazardous OcurrencesMgliche Korrekturmanahmen sind: Schulungen nderungen in der Dokumentation Benutzung von anderen Werkzeugen, Materialien Austausch von Gerten, Maschinen nderung von Zustndigkeiten nderung der verwendeten Standards / Ablufe Strengere Kontrolle von Subunternehmern nderung der Anforderung an die Beschaffung

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10.- Maintenance

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10.- Maintenance

Kontrolle Instandhaltung Reparatur

Vorbeugung

Reaktion

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10.- Maintenance

PROCEDURES AND PLANS MUST BE MADE FOR: Inspections at regular intervals Any non-conformity to be reported with its possible cause Appropriate corrective action can be taken Records of these activities are maintained Testing of operational failures which may result in hazardous situations and actions for emergency operations are available

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10.- Maintenance

Equipment ?

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10.- Maintenance

Records ?Ships log book Engine log book Loading Gear book Deviation journal Radio journal Checklist Life saving equipment Checklist Fire figthing equipment34

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11. - Documentation

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11. - Documentation

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11. - Documentation - SMS

Shipboard Manual Checklists, Forms, Records, Plans Emergency Procedures Checklists, Forms, Records, Plans

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11. - Documentation SMS-Documentation, including the Emergency Response Plan Rules and Regulations (International, Flag State, Port State Charts, Notice to Mariners Log books, including Bell book and supplementary documentation Ships Certificates Maintenance Instructions

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11. - Documentation

THE COMPANY SHOULD: Establish and maintain procedures to control all documents and data which is relevant to SMS to ensure that: Valid documents are available at all relevant locations Changes to documents are reviewed and approved by authorised personnel Obsolete documents are promptly removed Each ship should carry on board all the documentation relevant to that ship.ISM-Einfhrung 39

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11. - Documentation

THE COMPANY SHOULD: Establish and maintain procedures to control all documents and data which is relevant to SMS to ensure that: Valid documents are available at all relevant locations Changes to documents are reviewed and approved by authorised personnel Obsolete documents are promptly removed Each ship should carry on board all the documentation relevant to that ship.ISM-Einfhrung 40

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12. - Company Verification, Review and Evaluation

berprfung und Betrachtung des ISM Systems hinsichtlich seiner Wirksamkeit

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12. - Company Verification, Review and Evaluation

Ziel der internen Audits ist es in regelmigen Abstnden die Einhaltung von Verfahren (Prozessen) zu berprfen

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12. - Company Verification, Review and Evaluation

Ein Audit ist eine systematische unabhngige Untersuchung, um festzustellen, ob die qualittsbezogenen Ttigkeiten und damit zusammenhngenden Ergebnisse den geplanten Anforderungen entsprechen, und ob diese Anforderungen tatschlich verwirklicht und geeignet sind, die Ziele zu erreichen.

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12. - Company Verification, Review and EvaluationIm internen Audit prft die Organisation ihr eigenes System, die Verfahrensanweisungen und die Durchfhrung im Hinblick auf Nachweis und bereinstimmung. Es ist das wichtigste aller Audits, es liefert der Leitung die Information ber die Wirksamkeit und die Leistungsfhigkeit ihres Systems, ob ihre Ziele verfolgt werden oder nicht, und welche nderungen angeordnet werden sollten.

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13. - Certification, Verification and Controlo

Der ISM-Code schreibt eine Zertifizierung des Systems (externes Audit )durch den Flaggenstaat oder durch eine vom Flaggenstaat anerkannte Organisation (z.B. Klassifikationsgesellschaft) vor.

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12. - Prfung und Bewertung des Systems

External audits By Flag State or Classification surveyor

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12. - Prfung und Bewertung des Systems

Major Non-conformity Non-conformity Observation

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12. - Prfung und Bewertung des Systems - Observation

A statement of fact made during a Safety Management Audit and substantiated by objective evidence. It may also be a statement made by the Auditor referring to the SMS elements which, if not corrected, may lead to a nonconformity in the future.

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12. - Prfung und Bewertung des Systems - Non-conformity

A deviation where objective evidence indicates the nonfulfilment of a specified requirement of the ISM Code.

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12. - Prfung und Bewertung des Systems Major Non-conformity

An identifiable deviation, which may pose a serious threat to personnel or ship safety or a serious risk to the environment and requires immediate corrective action; in addition, the lack of effective and systematic implementation of a requirement of the ISM Code is also considered as a major nonconformity.rkr

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13. - CertificationInitial Audit Companypassedyes no

DOC

Initial Shipboard Auditpassedyes no

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13. - Certification (DOC)

Das Document of compliance bescheinigt dem Unternehmen, ein SMS eingefhrt zu haben Eine Kopie des DOC mu sich an Bord befinden Laufzeit 5 Jahre, jhrliche berprfung

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13. - Certification (SMC)

Das Safety Management Certificate bescheinigt dem jeweiligen Schiff, ein SMS eingefhrt zu haben Das SMC mu sich an Bord befinden Laufzeit 5 Jahre, Zwischenberprfung

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13. - CertificationNach erfolgreicher Prfung und Bewertung des Safety Management Systems (SMS) erhlt die Reederei 2 Zertifikate durch den Flaggenstaat das Document of compliance (DOC); das Safety Management Certificate (SMC).

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