mikepwlee 1

 Introduction
 General Description
 Safety And Environmental
Protection Policy
 Company Responsibility/Authority
 Designated Person(s)
 Master’s Responsibility/Authority
 Resources & Personnel
 Development of Plans
 Emergency Preparedness
A741(18)
mikepwlee 2
 International Safety Management Code
means
the International Management Code:
 for the Safe operation of ships and
 for Pollution Prevention

mikepwlee 3
Emphasises that every company should:
 develop,
 implement and
 maintain
a Safety Management System (SMS)
to the Code

mikepwlee 4
This does not mean that the code is trying
to tell the company how to go about running
their business.
It is up to the company how to go about
implementing the codes.
The cornerstone of good safety management
is commitment from the top.
In matters of safety and pollution prevention
it is the commitment, competence, attitudes
and motivation of individuals at all levels
that determines the end result.
mikepwlee 5
The SMS must incorporate the following:
 A safety and environment protection policy.
 Instruction and procedure to ensure safe operation of
ships and protection of the environment in compliance
with relevant international and flag state legislation.
 Flag state legislation.
 Defined levels of authority and lines of communication
between and amongst shore and shipboard personnel.
 Procedures for reporting accidents & non-conformities.
 Procedures to prepare for and respond to emergency
situation.
 Procedures for internal audits and management reviews

mikepwlee 6
To achieve the aims of the ISM Code,
each Company should establish a
Safety and Environmental Protection
(SEP) policy which is implemented by
all Staff both ashore and onboard ship

mikepwlee 7
IMO Resolution A.443(XI) Nov 1979
invited all Governments to take the
necessary steps to safeguard the
shipmaster in the proper discharge
of his responsibilities with regard to
maritime safety and protection of the
marine environment.

A443(XI)

mikepwlee 8
IMO Resolution A.680(17) Nov 1991
recognised the need for appropriate
Organisation of Management to
enable it to respond to the need of
those on board ships to achieve and
maintain high standards of Safety
and Environmental Protection.

A680(17)

mikepwlee 9
ISM Code aims to ensure:
 safety at sea,
 prevention of human injury or loss of life,
and
 avoidance of damage to the environment,
particularly the marine environment,
and to the property.

mikepwlee 10
Company Objectives should:
 Provide for safe practices in ship operation and safe
working environment,
 Establish safeguards against all identified risks, and
 Continuously improves safety management skills of
personnel ashore and aboard ships including
preparing for emergencies related both to safety
and environmental protection.

mikepwlee 11
Safety & Management systems should ensure:
 compliance with mandatory rules and regulations and,
 that applicable codes, guidelines and standards
recommended by IMO, Administrations, Classification
Societies and Maritime Industry are taken into
account.

mikepwlee 12
Every Company should develop, implement and
maintain a SMS which includes the following:
 a Safety & Environmental Protection Policy,
 Instructions & Procedures to ensure Safe Operation of
Ships and Protection of the Environment
 define Levels of Authority and Lines of Communication
between, and amongst, shore and shipboard personnel
 Procedures for reporting accidents and non-
conformities with the provisions of this Code
 Procedures to prepare for and respond to emergency
situations and
 Procedures for Internal Audits & Management Reviews

mikepwlee 13
The Company should:
 Establish a Safety and Environmental
Protection Policy which describes how the
Objectives will be achieved
 Ensure that the Policy is Implemented and
Maintained at all levels of the Organisation,
both ship based as well as shore based.

mikepwlee 14
 The Policy should be a concise and clear statement.
 It should describe the aim of the SMS and outline a
strategy & plan of action to achieve ad maintain the aim.
 Consideration should be given to the policy’s interaction
with existing Company Policies and Procedures.
 It should strive to encourage continuous improvement in
safety awareness and safety management skills.
 It should be signed by the Chief Executive or comparable
senior decision maker to indicate top level management
commitment
 It should be reviewed at regular intervals to ensure that it
remains relevant and effective.

mikepwlee 15
A Strategy for Implementation should
be considered at the time the policy is
developed, including how best to
ensure that all employees understand
its content and the commitment
displayed by senior management to its
objectives

mikepwlee 16
 If the Entity who is responsible for the
Operation of the Ship is other than the Owner,
the Owner must report the Full Name and
Details of such Entity to the Administration
 The Company should Define and Document
the Responsibility, Authority and Interaction of
all Personnel who Manage, Perform and Verify
work relating to and affecting the Safety and
Pollution Prevention.

mikepwlee 17
 The reason for documenting the Responsibility and
Authority of Personnel is to Ensure that those
involved the Management of Safety and
Environmental Protection know what is expected of
them to make the system function effectively
 Personnel concerned with the SMS, on shore and at
sea, should be given clearly worded, unambiguous
definitions of their responsibilities and authority, to
assist in motivating them to understand the vital
importance of their performance in the success of
the safety management system.
contd

mikepwlee 18
 The level of competence for the tasks involved should
be clearly defined and senior management should
ensure that shore and sea personnel are adequately
qualified and experienced to undertake their duties.
 The use of diagrammatical charts of the organisation
should be considered to show how the defined
responsibilities of shore and sea personnel interrelate
to achieve the system's objectives.

mikepwlee 19
 To ensure the safe operation of each ship and to
provide a link between the company and those
onboard, every company should designate a
person(s) ashore having direct access to the
highest level of management.
 The responsibility & authority of the designated
person(s) should include monitoring the safety &
pollution prevention aspects of the operation of
each ship and to ensure that adequate resources
& shore based support are applied.

contd

mikepwlee 20
 For any Management System to be
adequately maintained, it is necessary for:
 its effectives and degree of implementation
to be verified
 deficiencies to be reported to the
responsible level of management
 persons responsible for rectifying the
deficiencies to be identified

mikepwlee 21
 The task of implementing and maintaining the SMS is a line
management responsibility
 Verification and monitoring activities should be carried out by a
person independent of the Responsibility and Implementation
 The DP(s) should be suitably qualified & experienced in the Safety
& Pollution control aspects of ship operations & should be fully
conversant with the Company’s Safety and Environmental
Protection Policies
 The DP(s) should have the independence and authority to report
deficiencies observed to the Highest Level of Management
 The DP(s) should have the responsibility for organising Safety
Audits, and should ensure that Corrective Action has to be taken.

mikepwlee 22
The Company should clearly define & document the
Master’s Responsibility with regards to:
 Implementing the Safety & Environmental Protection
Policy of the Company;
 Motivating the crew in the Observation of that Policy
 Issuing Appropriate Orders & Instructions in a Clear &
Simple manner;
 Verifying that Specified Requirements are observed;
and
 Reviewing the SMS and reporting its deficiencies to
the Shore based Management

mikepwlee 23
 The Company should ensure that he SMS operating
onboard the ship contains a clear statement
emphasizing the Master’s Authority
 The Company should establish in the SMS that the
Master has the Overriding Authority & the
Responsibility to make decisions with respect to
Safety and Pollution.
 Clear guidance on matters affecting the Safety of the
Crew, the Environment, the Ship and its Cargo is an
important element in the link between ship and shore.

contd

mikepwlee 24
 Masters should be given every encouragement
& assistance to implement the system.
 Any system of checks and balances
implemented by shore based management
should allow for, and sit comfortably with, the
master's overriding authority and discretion to
take whatever action he considers to be in the
best interests of passengers, crew, the ship
and the marine environment

mikepwlee 25
 The Company should ensure that
the Master is:
 Properly qualified for command
 Fully conversant with the Company SMS
and
 Given the necessary support so that the
Master’s Duties can be safety performed.

contd

mikepwlee 26
 With regards to the Master’s Qualification and
Competence, it is essential that the Company
only appoints Masters:
 Who have the required level of training
 Hold appropriate internationally recognised certificates and
 Are considered by the Company to have the Competence
to command the type of vessel to which they are to be
assigned.

mikepwlee 27
 The Company should ensure that each ship
is manned with qualified, certificated and
medically fit seafarers in accordance with
national and international requirements
 When considering manning, the right
commitment & motivation need to be instilled
in those shipboard personnel upon whose
attitude the effectiveness of the SMS will
depend.

mikepwlee 28
 The Company should consider the
following when addressing manning in
the context of SMS:
 The trade in which the ship is engaged &
workload of the crew
 The skills required for the safe execution of the
task the crew is expected to perform in normal
operations & during emergencies.
 The crew’s awareness with respect to his/her
SMS duties
 The availability of the appropriate records of
qualifications and medical fitness

mikepwlee 29
 The Familiarisation of the crew with their
SMS related duties is important from the
point of view of maintaining the continuity
& Effective levels of the SMS.
 The Company should ensure that new
personnel and personnel transferred to
new assignments related to safety &
Protection of the Environment are given
proper familiarization with their duties
 Instructions which are essential to be
provided prior to sailing should be
identified, documented and given

mikepwlee 30
 Companies should ensure that relevant
personnel are also familiar with other
Conventions which are incorporated in
and published as national legislation,
dealing with aspects of safe ship
operation and pollution prevention as
well as applicable Classification
Societies’ rules and regulations

contd

mikepwlee 31
 Other relevant information & guidelines
published by Classification Societies and
helpful Technical Guides on Safe
Operations and Safe Working routines
issued by various organisations, particularly
The International Chamber of Shipping (ICS),
the Oil Companies International Marine
Forum (OCIMF), & the Society of International
Gas Tanker & Terminal Operators (SIGTTO)
should also covered as appropriate under
this requirement.
contd

mikepwlee 32
 Companies should consider the
establishment of Libraries ashore
and onboard where safety reference
material is available. These areas
should be supervised & maintained
with up to date publications.

mikepwlee 33
 The Company should establish & maintain
procedures for identifying any training which
may be required in support of the SMS & ensure
that such training is provided for all personnel
concerned.
 Safety training drills should be carried out in accordance
with the procedures & requirements laid down in the SMS.
The drills should cover likely emergency situations &
should aim to ensure that crew members meet the
Company’s SMS standard & gain confidence in controlling
situations that are likely to arise should an emergency
occur.

mikepwlee 34
 Results of safety audits, drills & the analysis of accidents,
hazardous occurrences & non-conformities may assist in
identifying additional company training requirements or
necessary changes to SMS procedures.
 The Company should establish and maintain procedures
for identifying any training which may be required in
support of the SMS & ensure that such training is
provided for all personnel concerned.
 The Company should consider ways of reviewing
individual training needs and for checking the validity of
recorded qualifications in line with International, National
and Special Company requirements.

mikepwlee 35
 The Company should establish procedures by
which the ship’s personnel receive relevant
information on the SMS in a working language
or languages understood by them
 All procedures & instructions established are
written in a clear and simple manner
 Where contracted crewing agencies are used,
Companies should issue them with copies of the
relevant provisions of the SMS, together with
necessary instructions on their use, before
selected personnel are appointed.

mikepwlee 36
 The Company should ensure that the ship’
personnel are able to communicate effectively in
the execution of their duties related to the SMS
 A vital factor in the successful implementation of
a SMS is the selection of the right personnel to
fill positions affecting its performance.
 In events leading up to & during Emergency
Situations, the ability of the crew to
communicate between themselves & with
passengers has proved to be a crucial factor in
the outcome of many shipping incidents.

mikepwlee 37
 Effective communication should be an
aim at all times in the enhancement of
safety and pollution prevention.
 The ability of personnel to communicate
effectively with other crew members
should be reviewed at the recruitment
stage and during crew appraisals.

contd

mikepwlee 38
 Companies using the services of
crewing agencies should ensure that
requirements on this matter are fully
understood at the recruitment stage
 The performance of the agency in the
supply of crew that meet these
requirements should be monitored
and appropriate records kept.

mikepwlee 39
 The Company should establish procedures for
the preparation of plans & instructions for key
shipboard operations concerning the safety of
the ship & the prevention of pollution.
 The various tasks involved should be defined
and assigned to qualified personnel.
 Emphasis should be placed on Preventive
Actions while maintaining the ability to respond
to & correct non-conformities or hazardous
situations should they occur.

contd

mikepwlee 40
 Companies identify key shipboard operations
and issue instructions on the manner in which
these operations are to be performed.
 Continuing supervision & verification of
compliance with these instructions is important
 Relevant International and National rules that
govern certain aspects of these operations need
to be incorporated into Company procedures,
plans and instructions.

mikepwlee 41
 In addition, Companies should refer
to helpful technical guides issued by
various industry organisations
 All written procedures, instructions
or plans should be kept simple and
unambiguous.

contd

mikepwlee 42
 Checklists may be of considerable help in
insuring that all routines in a particular
operational phase are covered.
 While recognising that all shipboard
operations can affect safety & pollution
prevention, Companies may consider
dividing Safety related shipboard
operations into two categories:
 Special Operations
 Critical Operations

mikepwlee 43
 This may be done to prioritise operational planning & allow
the maximum level of attention to be paid to those
shipboard operations which are crucial to safety and to the
protection of the environment.
 Special shipboard operations are those where errors may
become apparent only after they have created hazardous
situations or when accidents have occurred.
 Procedures and instructions for special operations should
cover precautions and checks that aim to correct unsafe
practices before accident occur.

mikepwlee 44
 Examples of Critical Operations are (but not limited to):
 Ensuring watertight integrity
 Navigational safety, including the correction of charts &
publications
 Operations affecting the reliability of the equipment
(such as steering gear) & associated standby machinery
 Maintenance operations
 Bunkering operations and oil transfers in port
 Maintaining stability & preventing overloading & over
stressing
 Lashing of containers, cargo and other items; and
 Ship security, terrorism and piracy

mikepwlee 45
 Critical shipboard operations are those
where a error may immediately cause an
accident or a situation which could threaten
people, the environment or the ship
 Particular attention should be drawn to the
need to adhere to strict instructions in the
conduct of critical operations, and
satisfactory performance should be closely
monitored.

mikepwlee 46
 Examples of critical shipboard operations are: (but not limited
to):
 Navigation in confined waters or high density traffic
areas
 Operations that may cause a sudden loss of
manoeuvrability in close or high density traffic areas
 Navigation in conditions of reduced visibility
 Operations in heavy weather conditions
 The handling & stowage of hazardous cargoes &
noxious substances
 Bunkering & oil transfer at sea
 Cargo operations on gas, chemical and oil tankers; and
 Critical machinery operations contd
mikepwlee 47
 Arrangements should be put in
place to monitor the operational
competence of crew undertaking
critical shipboard operations

mikepwlee 48
 The Company should establish
procedures to Identify, Describe &
Respond to Potential Emergency
Shipboard Situations
 The Company should establish
Programmes for Drills & Exercises
to prepare for Emergency Actions

contd

mikepwlee 49
 The SMS should provide for measures
ensuring that the company’s
organisation can respond at any time to
hazards, accidents & emergency
situations involving its ships.
 It is important that company shore &
shipboard contingency planning is
consistent and appropriately integrated.

mikepwlee 50
 Shore based Contingency Plans may include:
 The composition & duties of the persons acting within
the Contingency Plan
 Procedures for the mobilisation of an appropriate
company emergency respond (which may include the
establishment of an emergency respond team)
 Procedures to follow in respond to different types of
accidents or hazardous occurences
 Procedures for establishing & maintaining contact
between the ship & management ashore
 The availability of ship particulars, plans, stability
information, & safety & environmental protection
equipment carried onboard contd

mikepwlee 51
 Checklists appropriate to the type of emergency
which may assist in the systematic questioning
of the ship during the response
 Lists of contact names & telecommunication
details of all relevant parties who may need to
be notified & consulted
 Reporting methods for both ship & shore based
management
 Procedures for notifying & liaising with the next
of kin of persons onboard
contd

mikepwlee 52
 Procedures for issuing information bulletins to &
answering queries from the media & the public
 Back up arrangements for the company’s initial
respond in the event of a protracted emergency
 The roistering of the company personnel &
specialists dedicated to support the response &
adequate relief for the maintenance of their
routine duties

mikepwlee 53
 Shipboard Contingency Plans should take
into account of the various types of
emergency which may arise on a particular
ship and may include:
 The allocation of duties & responsibilities onboard
 Actions to be taken to regain control of a situation
 Communication methods to be used onboard

contd

mikepwlee 54
 Procedures for requesting assistance from third parties
 Procedures for notifying the company & reporting to
relevant authorities
 Maintaining communications between the ship and
shore; and
 Procedures for dealing with the media or other outside
parties

mikepwlee 55
 Contingency Plans should be established to
describe how to deal with emergency situations
related to damage, fire, pollution, personnel,
security and cargo. Examples include:
 Failures – Structural, Main Engine, Steering Gear,
Electrical Power
 Collision
 Cargo – Shifting, Spillage, Contamination, Jettison
 Fire

contd

mikepwlee 56
 Flooding
 Abandoning ship
 Man overboard / search & rescue
 Entry into enclosed spaces
 Serious injury
 Terrorism or piracy
 Helicopter operations and
 Heavy weather damages

mikepwlee 57
 The list is by no means exhaustive & the
Company should attempt to identify all possible
situations where shipboard contingency
planning would be required, relative to the ship,
its construction, equipment and trade
 International regulation under MARPOL 73/78,
Annex 1 regulation 26 requires every oil tanker
of 150 GRT and above and every ship other
than tanker of 400 GRT and above, to have a
shipboard oil pollution emergency plan (SOPEP)

mikepwlee 58
 Actions to counter potential Emergency
Situations should be practised in Drills
 A programme of such drills, additional to
those required by SOLAS Convention
should be conducted to develop & maintain
confidence & proficiency onboard

contd

mikepwlee 59
 These drills should be developed to exercise
the emergency plans established for critical
situations and should, as appropriate, mobilise
the shore based management emergency
contingency plans under simulated conditions.
 Emergency drills and exercises should be
carried out regularly to test the effectiveness
and clarity of emergency plans, and to develop
the confidence and competence of the
personnel who may be involved in actual
emergencies.

mikepwlee 60
 Records of all emergency drills &
exercises conducted ashore & on board
should be maintained be available for
verification purposes
 Appropriate personnel should evaluate
the results of these drills & exercises as
an aid to determining the effectiveness of
documented procedures.

mikepwlee 61
TS Maritime Sdn. Bhd

mikepwlee 62