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  • MSIS 2/Rev 10/15 Page 1

    International Management Code for the Safe Operation of Ships and for

    Pollution Prevention (The ISM Code)

    Instructions for the Guidance of Surveyors

    Crown Copyright

  • MSIS 2/Rev 10/15 Page 2

    CHAPTER 0.2

    AMENDMENT RECORD

    Complete redraft & reissue March 2015

  • MSIS 2/Rev 10/15 Page 3

    CHAPTER 0.2 ............................................................................................................................. 2

    AMENDMENT RECORD ............................................................................................................. 2

    CHAPTER 1 ................................................................................................................................ 5

    INTRODUCTION AND BACKGROUND ..................................................................................... 5

    1.1 PURPOSE OF THE INSTRUCTIONS ....................................................................................... 5 1.2 THE ISM CODE ................................................................................................................. 5 1.3 WHY IS THERE AN ISM CODE? .......................................................................................... 5 1.4 UK AND IMO MEASURES TOWARDS SAFE MANAGEMENT OF SHIPS ..................................... 6 1.5 PRINCIPLES AND OBJECTIVES OF THE ISM CODE ............................................................... 6 1.6 THE SAFETY CULTURE ...................................................................................................... 7 1.7 THE UK POLICY ................................................................................................................ 7 1.8 THE ISM AUDIT FOR COMPLIANCE ..................................................................................... 7 1.9 INDEX OF DOCUMENTS ...................................................................................................... 7

    CHAPTER 2 ................................................................................................................................ 9

    LEGISLATIVE REQUIREMENTS ............................................................................................... 9

    2.1 INTERNATIONAL LEGISLATION ............................................................................................ 9 2.2 EUROPEAN UNION LEGISLATION ........................................................................................ 9 2.3 MERCHANT SHIPPING (ISM CODE) REGULATIONS 2014 ..................................................... 9

    CHAPTER 3 ..............................................................................................................................10

    THE CERTIFICATION PROCESS ............................................................................................10

    3.1 THE DOCUMENT OF COMPLIANCE (DOC) .........................................................................10 3.2 THE SAFETY MANAGEMENT CERTIFICATE (SMC) .............................................................10 3.3 ISSUE OF INTERIM DOC AND SMC ...................................................................................10 3.4 COMPANIES OPERATING A MULTI-FLAGGED-FLEET ............................................................11 3.5 AMENDING THE DOC TO INCLUDE NEW SHIP TYPES ..........................................................11 3.6 CANCELLATION OR SUSPENSION OF DOC OR SMC ..........................................................12

    CHAPTER 4 ..............................................................................................................................13

    CONDUCTING THE AUDIT ......................................................................................................13

    4.1 AUDITOR QUALIFICATIONS: BASIC COMPETENCE FOR PERFORMING VERIFICATION............13 4.1.1 MINIMUM EDUCATIONAL REQUIREMENTS ..........................................................................13 4.1.2 MININUM TRAINING REQUIREMENTS ..................................................................................13 4.1.3 THEORETICAL TRAINING ..................................................................................................13 4.1.4 PRACTICAL TRAINING ......................................................................................................14 4.2 THE SAFETY MANAGEMENT SYSTEM................................................................................14 4.3 REQUEST FOR AUDIT .......................................................................................................15 4.4 DOCUMENT REVIEW AND PLANNING .................................................................................15 4.5 INITIAL AUDITS ................................................................................................................16 4.6 DECLARATION OF AUDIT AND ISSUE OF CERTIFICATES .......................................................17 4.7 THE DOCUMENT OF COMPLIANCE (DOC) AUDIT ...............................................................17 4.8 THE SAFETY MANAGEMENT CERTIFICATE (SMC) AUDIT ...................................................19 4.9 ANNUAL VERIFICATION (DOC) AND INTERMEDIATE VERIFICATION (SMC) AUDITS .............20 4.10 DOC AND SMC RENEWAL AUDIT ....................................................................................20 4.11 RESPONSIBILITIES OF LEAD AUDITOR ..............................................................................21 4.12 THE AUDIT PLAN .............................................................................................................21 4.13 GUIDANCE ON TYPICAL AGENDA FOR OPENING AND CLOSING MEETINGS ..........................21 4.14 CATEGORIES OF AUDIT FINDINGS .....................................................................................23 4.14.1 OBSERVATION ................................................................................................................23 4.14.2 NON-CONFORMITY ..........................................................................................................23 4.14.3 MAJOR NON-CONFORMITY ..............................................................................................23 4.15 NON-CONFORMITY NOTE .................................................................................................24 4.16 HUMAN ELEMENT ............................................................................................................24 4.17 AUDIT REPORT ...............................................................................................................25 4.17.1 AUDIT REPORT FOR DOCUMENT OF COMPLIANCE AUDIT ...................................................25 4.17.2 AUDIT REPORT FOR SAFETY MANAGEMENT CERTIFICATE AUDIT.......................................25

  • MSIS 2/Rev 10/15 Page 4

    4.18 CLOSE-OUT OF NON-CONFORMITIES ................................................................................25 4.19 CORRECTIVE ACTION ......................................................................................................26 4.20 CONFIDENTIALITY OF AUDIT .............................................................................................26

    CHAPTER 5 ..............................................................................................................................27

    EXTRACT OF ISM CODE & UK (POLICY) INTERPRETATION .............................................27

    PART A IMPLEMENTATION .................................................................................................27

    5.1 GENERAL ....................................................................................................................27 5.1.1 DEFINITIONS ...................................................................................................................27 5.1.2 OBJECTIVES ...................................................................................................................28 5.1.3 APPLICATION ..................................................................................................................29 5.1.4 FUNCTIONAL REQUIREMENTS FOR A SAFETY MANAGEMENT SYSTEM ................................29 5.2 SAFETY AND ENVIRONMENTAL PROTECTION POLICY ........................................................29 5.3 COMPANY RESPONSIBILITIES AND AUTHORITY .................................................................30 5.4 DESIGNATED PERSON(S) .................................................................................................31 5.5 MASTERS RESPONSIBILITY AND AUTHORITY ....................................................................31 5.6 RESOURCES AND PERSONNEL .........................................................................................32 5.7 SHIPBOARD OPERATIONS ................................................................................................34 5.8 EMERGENCY PREPAREDNESS ..........................................................................................34 5.9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES ......................................................................................................................................35 5.10 MAINTENANCE OF THE SHIP AND EQUIPMENT ...................................................................36 5.11 DOCUMENTATION ............................................................................................................38 5.12 COMPANY VERIFICATION, REVIEW AND EVALUATION ........................................................38

    PART B CERTIFICATION AND VERIFICATION ..................................................................40

    5.13

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