Revoked
by
MSC-MEPC.7/Circ.8
Circular
Letter
MSC-MEPC.7/Circ.5
GUIDELINES FOR THE OPERATIONAL
IMPLEMENTATION OF THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE BY COMPANIES
(19 October 2007)
1.
The Maritime Safety Committee at its eighty-second session (29 November to
8 December 2006) and the Marine Environment Protection Committee at its
fifty-sixth session (9 to 13 July 2007) considered the report of the Group of
Independent Experts on the impact of the ISM Code and its effectiveness in the
enhancement of safety of life at sea and protection of the marine environment
and agreed that guidelines and associated training should be developed to
assist companies and seafarers in improving the implementation of the Code.
2.
The Marine Environment Protection Committee at its fifty - sixth session (9 to
13 July 2007) and the Maritime Safety Committee at its eighty-third session (3
to 12 October 2007) further agreed that it was essential to review the existing
guidelines and develop new guidelines to assist companies in effective and
efficient operational implementation of the ISM Code.
3.
Accordingly, the Committees approved the Guidelines for operational
implementation of the ISM Code by Companies as set out in the Annex.
4.
Member Governments and international organizations concerned are recommended to
bring this circular to the attention of all parties concerned.
ANNEX
GUIDELINES FOR THE OPERATIONAL IMPLEMENTATION OF THE INTERNATIONAL SAFETY
MANAGEMENT (ISM) CODE BY COMPANIES
1.1
The ISM Code
1.1.1
The International Management Code for the Safe Operation of Ships and for
Pollution Prevention (International Safety Management (ISM) Code) was adopted
by the Organization by resolution A.741(18) and became mandatory by virtue of
the entry into force on 1 July 1998 of SOLAS chapter IX on Management for the
Safe Operation of Ships. The ISM Code provides an international standard for
the safe management and operation of ships and for pollution prevention.
1.1.2
The Maritime Safety Committee, at its seventy-third session, adopted amendments
to chapter IX of SOLAS by resolution MSC.99(73), and to sections 1, 7, 13, 14,
15 and 16 of the ISM Code by resolution MSC.104(73).
1.1.3
The ISM Code requires that Companies establish safety objectives as described
in section 1.2 of the ISM Code, and in addition that the Companies develop,
implement and maintain a safety management system which includes functional
requirements as listed in section 1.4 of the ISM Code.
1.1.4
The application of the ISM Code should support and encourage the
development of a safety culture in shipping. Success factors for the
development of a safety culture are, inter alia, commitment, values and
beliefs.
The
terms used in these Guidelines have the same meaning as those given in the ISM
Code.
2.2.1
These Guidelines establish the basic principles for:
.1 reviewing the
safety management system by a Company;
.2 the role of
the Designated Person under the ISM Code;
.3 reporting and
analysing of non-conformities, accidents and hazardous occurrences (including
near-misses); and
.4 performing
internal audits and management reviews, and do not reduce or replace the
Company's responsibilities outlined in the ISM Code.
3. DEVELOPMENT OF THE
SAFETY MANAGEMENT SYSTEM
3.1
The ISM Code requires that Companies establish safety objectives as described
in section 1.2 of the ISM Code, and in addition that Companies develop,
implement and maintain a safety management system (SMS) which includes
functional requirements as listed in section 1.4 of the ISM Code.
3.2
Given the self-regulatory principles of the ISM Code, the internal verification
and review processes are key elements in the implementation of each SMS. The
Company should consider the outcome of internal audits, internal SMS reviews
and analysis of non-conformities, accidents and hazardous occurrences to
enhance the effectiveness of operations and procedures within their SMS. To comply
with the Code, the Company should:
.1 designate a
person or persons with direct access to the highest level of management who
should monitor the safe operation of each ship (section 4);
.2 ensure that
adequate resources and shore-based support are provided to enable the
designated person or persons to carry out their functions (section 3.3);
.3 define and
document the master's responsibility with regard to reviewing the safety
management system and reporting its deficiencies to the shore-based management
(section 5.1);
.4 establish
procedures for reporting and analysis of non-conformities, accidents and
hazardous occurrences (section 9.1);
.5 periodically
evaluate the effectiveness of, and when needed, review the safety management
system (section 12.2); and
.6 perform
internal audits to verify whether safety management activities comply with the
requirements of the safety management system (section 12.1).
4.1
A key role, as identified by the ISM Code, in the effective implementation of a
safety management system is that of the Designated Person. This is the person
based ashore whose influence and responsibilities should significantly affect
the development and implementation of a safety culture within the Company.
4.2
The designated person should verify and monitor all safety and pollution
prevention activities in the operation of each ship. This monitoring should
include, at least, the following internal processes:
.1 communication
and implementation of the safety and environmental protection policy;
.2 evaluation
and review of the effectiveness of the safety management system;
.3 reporting and
analysis of non-conformities, accidents and hazardous occurrences;
.4 organizing
and monitoring of internal audits;
.5 appropriate
revisions to the SMS; and
.6 ensuring that
adequate resources and shore-based support are provided.
4.3
To enable the designated person to carry out this role effectively, the Company
should provide adequate resources and shore-based support. These include:
.1 personnel
resources;
.2 material
resources;
.3 any training
required;
.4 clearly
defined and documented responsibility and authority; and
.5 authority for
reporting non-conformities and observations to the highest level of management.
4.4
Designated Person(s) should have the qualifications, training and experience as
set out in MSC-MEPC.7/Circ.6, to effectively verify and monitor the
implementation of the safety management system in compliance with the ISM Code.
5. REVIEW OF THE
SAFETY MANAGEMENT SYSTEM
5.1
The Company should, when needed, review and evaluate the effectiveness of the
SMS in accordance with procedures established by the Company. Further, it is
one of the master's responsibilities to review the safety management system and
to report its deficiencies to the shore-based management. Shore based and ship